SFC licenceholder AYD212 RA Helen

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) Securities Limited 高盛(亞洲)證券有限公司 RE [7] (Providing Automated Trading Services) 01 November 2019
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RE [1] (Dealing in Securities) 30 October 2019
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) 30 October 2019
Deutsche Securities Asia Limited 德意志證券亞洲有限公司 RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 28 June 2017 08 July 2019
Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 RE [2] (Dealing in Futures Contracts) 31 May 2013 12 May 2017
Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 RE [1] (Dealing in Securities) 26 September 2011 12 May 2017
Citigroup Global Markets Hong Kong Futures and Securities Limited RE [2] (Dealing in Futures Contracts) 26 September 2011 31 August 2013