SFC licenceholder BAQ711 HOUGHTON James Patrick

Licences

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Updated: 07 April 2020

Institution Role Licences Start date End date
Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 RO [2] (Dealing in Futures Contracts) 11 October 2016
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RO [1] (Dealing in Securities) 09 April 2013
Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 RO [2] (Dealing in Futures Contracts) 09 April 2013 10 October 2016
Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 RE [2] (Dealing in Futures Contracts) 28 December 2012 09 April 2013
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RE [1] (Dealing in Securities) 28 December 2012 09 April 2013