Goldfeld, Leon
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 | Amundi Hong Kong Limited | Rep | Advising on securities | 2012-04-23 | 2012-08-03 | Rep | Asset management | 2012-04-23 | 2012-08-03 | Rep | Dealing in securities | 2012-04-23 | 2012-08-03 | RO | Advising on securities | 2012-08-03 | 2016-04-30 | RO | Asset management | 2012-08-03 | 2016-04-30 | RO | Dealing in securities | 2012-08-03 | 2016-04-30 |
2 | AXA Investment Managers Asia Limited | RO | Advising on futures contracts | 2004-05-31 | RO | Advising on securities | 2004-05-31 | RO | Asset management | 2004-05-31 |
3 | AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED | RO | Advising on corporate finance | 2004-05-31 | RO | Advising on futures contracts | 2004-05-31 | RO | Advising on securities | 2004-05-31 | RO | Asset management | 2004-05-31 | RO | Dealing in securities | 2004-05-31 |
4 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2010-06-30 | 2012-04-17 |
5 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2010-07-07 | 2012-04-17 |
6 | Halbis Capital Management (Hong Kong) Limited | Rep | Dealing in securities | 2004-07-20 | 2004-08-30 | RO | Advising on futures contracts | 2005-06-23 | 2010-06-18 | RO | Advising on securities | 2005-06-23 | 2010-06-18 | RO | Asset management | 2005-06-23 | 2010-06-18 | RO | Dealing in securities | 2005-06-23 | 2010-06-18 |
7 | HSBC Global Asset Management (Hong Kong) Limited | Rep | Advising on futures contracts | 2004-07-20 | 2004-09-09 | Rep | Advising on securities | 2004-07-20 | 2004-09-09 | Rep | Asset management | 2004-07-20 | 2004-09-09 | RO | Advising on futures contracts | 2004-09-09 | 2010-06-18 | RO | Advising on securities | 2004-09-09 | 2010-06-18 | RO | Asset management | 2004-09-09 | 2010-06-18 | RO | Dealing in securities | 2006-03-29 | 2010-06-18 |
8 | HSBC Global Asset Management Holdings (Bahamas) Limited | Rep | Advising on futures contracts | 2004-07-20 | 2004-09-09 | Rep | Advising on securities | 2004-07-20 | 2004-09-09 | Rep | Asset management | 2004-07-20 | 2004-09-09 | RO | Advising on futures contracts | 2004-09-09 | 2010-06-18 | RO | Advising on securities | 2004-09-09 | 2010-06-18 | RO | Asset management | 2004-09-09 | 2010-06-18 |
9 | HSBC INVESTMENT FUNDS (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2004-07-20 | 2004-09-09 | Rep | Advising on securities | 2004-07-20 | 2004-09-09 | Rep | Asset management | 2004-07-20 | 2004-09-09 | Rep | Dealing in securities | 2004-07-20 | 2004-09-09 | RO | Advising on futures contracts | 2004-09-09 | 2010-06-18 | RO | Advising on securities | 2004-09-09 | 2010-06-18 | RO | Asset management | 2004-09-09 | 2010-06-18 | RO | Dealing in securities | 2004-09-09 | 2010-06-18 |
10 | JPMorgan Asset Management (Asia Pacific) Limited | Rep | Advising on securities | 2016-05-06 | 2016-07-25 | Rep | Asset management | 2016-05-06 | 2016-07-25 | RO | Advising on securities | 2016-07-25 | RO | Asset management | 2016-07-25 | RO | Advising on futures contracts | 2018-08-07 |
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