SFC Licences of SHUM Tsz Yuet, Agnes 岑子悅
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
Institution | Role | Licences | Start date | End date |
---|---|---|---|---|
Morgan Stanley Hong Kong Securities Limited | RE | 2 | 27 August 2018 | 06 March 2020 |
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 1 | 27 August 2018 | 06 March 2020 |
Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 | RE | 2 | 11 October 2016 | 20 June 2018 |
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 | RE | 1 | 04 June 2015 | 20 June 2018 |
Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 | RE | 2 | 04 June 2015 | 10 October 2016 |