McCarthy, Sean Joseph (SFC:AWI446)
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 futures contracts | 2015-01-28 | 2015-01-30 | Rep | Dealing in securities | 2015-01-28 | 2015-01-30 | Rep | Dealing in futures contracts | 2018-08-03 | 2018-11-02 | Rep | Dealing in securities | 2018-08-03 | 2018-11-02 |
| 2 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2010-11-17 | 2011-08-30 |
| 3 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2010-11-17 | 2011-08-30 |
| 4 | UBS SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2019-10-10 | 2019-10-17 | Rep | Dealing in securities | 2019-11-15 | 2019-11-22 |
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