Sheren, Peter Jay
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 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2008-08-26 | Rep | Automated trading services | 2009-03-24 | 2014-10-10 |
2 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | Dealing in futures contracts | 2016-10-11 | |
3 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2008-08-26 | 2016-10-10 |
4 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on securities | 2007-05-17 | 2008-07-28 | Rep | Dealing in securities | 2007-05-17 | 2008-07-28 | Rep | Advising on futures contracts | 2007-10-15 | 2008-07-28 | Rep | Dealing in futures contracts | 2007-10-15 | 2008-07-28 |
5 | UBS SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2004-06-01 | 2005-06-15 | Rep | Dealing in futures contracts | 2005-03-31 | 2005-06-15 |
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