SFC Licences of LAM Norman Kwok 林諾文
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
Institution | Role | Licences | Start date | End date |
---|---|---|---|---|
HSBC Corporate Finance (Hong Kong) Limited | RE | 6 | 03 March 2017 | 18 January 2019 |
Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 | RE | 2 | 11 October 2016 | 12 November 2016 |
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 | RE | 1 | 28 June 2012 | 12 November 2016 |
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 | RE | 9 | 28 June 2012 | 12 November 2016 |
Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 | RE | 2 | 28 June 2012 | 10 October 2016 |