SFC licenceholder ANU564 LEE Yan Ben, Samuel 李仁本

Licences

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

Updated: 03 April 2020

Institution Role Licences Start date End date
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RO [1] (Dealing in Securities) 17 December 2019
Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 RO [1] (Dealing in Securities), [7] (Providing Automated Trading Services) 17 December 2019
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) Securities Limited 高盛(亞洲)證券有限公司 RE [1] (Dealing in Securities), [7] (Providing Automated Trading Services) 11 October 2016 17 December 2019
Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 RE [1] (Dealing in Securities), [7] (Providing Automated Trading Services) 01 August 2013 10 October 2016
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RE [1] (Dealing in Securities) 11 July 2012 17 December 2019
Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 RE [2] (Dealing in Futures Contracts) 11 July 2012 10 October 2016
Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 RE [1] (Dealing in Securities) 27 August 2010 03 April 2012
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE [2] (Dealing in Futures Contracts), [7] (Providing Automated Trading Services) 05 November 2008 03 April 2012
Credit Suisse Futures (Hong Kong) Limited RE [2] (Dealing in Futures Contracts), [7] (Providing Automated Trading Services) 24 July 2008 24 November 2008
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE [1] (Dealing in Securities) 18 June 2008 03 April 2012
J.P. Morgan Broking (Hong Kong) Limited RE [1] (Dealing in Securities), [4] (Advising on Securities) 24 August 2006 07 May 2008