SFC licenceholder BDW962 FRIES JR Donald Brian

Licences

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

Updated: 08 April 2020

Institution Role Licences Start date End date
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RE [1] (Dealing in Securities) 18 April 2017
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) 18 April 2017
Pine River Capital Management (HK) Limited RO [9] (Asset Management) 15 May 2015 30 November 2016
Pine River Capital Management (HK) Limited RE [9] (Asset Management) 29 July 2014 15 May 2015