Kim, So Yeon
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | DEUTSCHE SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2009-06-23 | 2010-01-30 | Rep | Dealing in securities | 2010-03-01 | 2013-02-01 | Rep | Advising on securities | 2012-06-14 | 2013-02-01 |
| 2 | DWS Investments Hong Kong Limited | Rep | Advising on securities | 2017-03-31 | 2019-10-23 | Rep | Dealing in securities | 2017-03-31 | 2019-10-23 | RO | Advising on securities | 2019-10-23 | RO | Dealing in securities | 2019-10-23 |
| 3 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2005-09-23 | 2008-03-20 |
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