SFC Licences of LOH Jenn Yeh, Adrian
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
Institution | Role | Licences | Start date | End date |
---|---|---|---|---|
Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 | RE | 2 | 11 October 2016 | |
Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 | RE | 2 | 26 May 2014 | 10 October 2016 |
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 | RE | 1 | 26 May 2014 | |
Morgan Stanley Hong Kong Securities Limited | RE | 2 | 06 December 2010 | 12 February 2014 |
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 1 | 28 June 2010 | 12 February 2014 |
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 7 | 28 June 2010 | 05 September 2013 |
Morgan Stanley Hong Kong Futures Limited | RE | 7 | 28 June 2010 | 06 December 2010 |
Morgan Stanley Hong Kong Futures Limited | RE | 2 | 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 | 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 | 20 March 2006 | 19 March 2007 |