SFC Licences of SARWAL Neal James Shyam
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 | 13 August 2015 | 10 October 2016 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 | RE | 1 | 13 August 2015 | |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 5 | 22 August 2011 | 16 June 2015 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 4 | 22 August 2011 | 16 June 2015 |