SFC licenceholder ARA235 CHEN Yuan 陳縓

Licences

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

Updated: 01 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) 11 September 2015
Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 RE [2] (Dealing in Futures Contracts) 11 September 2015 10 October 2016
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 09 October 2008 07 August 2015
Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 19 May 2008 29 September 2008