SFC licenceholder AOU635 BEKKU Yumiko

Licences

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

Updated: 29 March 2020

Institution Role Licences Start date End date
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RE [1] (Dealing in Securities) 01 June 2017
Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [7] (Providing Automated Trading Services) 01 June 2017
Morgan Stanley Hong Kong Securities Limited RE [7] (Providing Automated Trading Services) 24 July 2013 09 November 2016
Morgan Stanley Hong Kong Securities Limited RE [1] (Dealing in Securities) 03 July 2013 09 November 2016
Morgan Stanley Hong Kong Securities Limited RE [2] (Dealing in Futures Contracts) 06 December 2010 09 November 2016
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 RE [1] (Dealing in Securities) 19 April 2007 09 November 2016
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 RE [7] (Providing Automated Trading Services) 19 April 2007 24 July 2013
Morgan Stanley Hong Kong Futures Limited RE [2] (Dealing in Futures Contracts), [7] (Providing Automated Trading Services) 19 April 2007 06 December 2010