SFC licenceholder ARN059 LI Sisi 黎思斯

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) L.L.C. 高盛(亞洲)有限責任公司 RE [9] (Asset Management) 01 February 2018
Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 RE [2] (Dealing in Futures Contracts) 01 February 2018
CGS-CIMB Securities (Hong Kong) Limited 銀河—聯昌證券(香港)有限公司 RE [1] (Dealing in Securities) 30 October 2013 14 July 2014
Keywise Capital Management (HK) Limited 凱思博投資管理(香港)有限公司 RE [9] (Asset Management) 03 September 2010 15 November 2012
Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 RE [2] (Dealing in Futures Contracts) 02 September 2009 26 June 2010
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RE [1] (Dealing in Securities) 25 August 2008 26 June 2010