SFC licenceholder ANE752 LOH Jenn Yeh, Adrian

Licences

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Updated: 08 April 2020

Institution Role Licences Start date End date
Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 RE [2] (Dealing in Futures Contracts) 11 October 2016
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RE [1] (Dealing in Securities) 26 May 2014
Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 RE [2] (Dealing in Futures Contracts) 26 May 2014 10 October 2016
Morgan Stanley Hong Kong Securities Limited RE [2] (Dealing in Futures Contracts) 06 December 2010 12 February 2014
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 RE [1] (Dealing in Securities) 28 June 2010 12 February 2014
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 RE [7] (Providing Automated Trading Services) 28 June 2010 05 September 2013
Morgan Stanley Hong Kong Futures Limited RE [2] (Dealing in Futures Contracts), [7] (Providing Automated Trading Services) 28 June 2010 06 December 2010
Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 RE [1] (Dealing in Securities) 26 May 2006 19 March 2007
Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 RE [1] (Dealing in Securities) 20 March 2006 19 March 2007