Koda, Ritsubun 黃田立文
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 | BEAR STEARNS ASIA LIMITED | Rep | Dealing in futures contracts | 2007-11-22 | 2008-02-05 | Rep | Dealing in securities | 2007-11-22 | 2008-02-05 | RO | Dealing in futures contracts | 2008-02-05 | 2008-07-01 | RO | Dealing in securities | 2008-02-05 | 2008-07-01 |
2 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2008-07-30 | 2010-02-09 |
3 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2009-08-12 | 2010-02-09 |
4 | Wells Fargo Securities Asia Limited | RO | Advising on securities | 2019-04-08 | 2020-08-05 | RO | Asset management | 2019-04-08 | 2020-08-05 | RO | Dealing in securities | 2019-04-08 | 2020-08-05 |
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