SFC licenceholder BFY835 LI Alice

Licences

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

Updated: 04 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) 28 August 2019
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), [7] (Providing Automated Trading Services) 28 August 2019
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 RE [1] (Dealing in Securities) 17 August 2015 17 May 2019
Morgan Stanley Hong Kong Securities Limited RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [7] (Providing Automated Trading Services) 17 August 2015 17 May 2019