SFC licenceholder AZH668 SPITZER Mark Steven

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 [1] (Dealing in Securities), [7] (Providing Automated Trading Services) 18 January 2019
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) 19 January 2015
Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 RE [2] (Dealing in Futures Contracts) 19 January 2015 10 October 2016
Brevan Howard (Hong Kong) Limited RE [1] (Dealing in Securities), [9] (Asset Management) 10 October 2013 01 October 2014
Barclays Capital Asia Limited 巴克萊亞洲有限公司 RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 17 April 2012 17 July 2013