Goldman Sachs (Asia) L.L.C.
高盛(亞洲)有限責任公司
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Goldman Sachs (Asia) L.L.C. (高盛(亞洲)有限責任公司), a Hong Kong-based licensed corporation with CE reference ACC536. Currently licensed for regulated activity type(s) 1 - Dealing in securities; 4 - Advising on securities; 5 - Advising on futures contracts; 6 - Advising on corporate finance; 9 - Asset management. Current licensed staff on file: 894 (total recorded over time: 4459). Earliest licence on file: 2009-02-19.
Registered address
68/F, Cheung Kong Center, 2 Queen's Road Central, Central
Licence history
| Activity | From | To |
|---|---|---|
| Type 1 - Dealing in securities | present | present |
| Type 4 - Advising on securities | present | present |
| Type 5 - Advising on futures contracts | present | present |
| Type 6 - Advising on corporate finance | present | present |
| Type 9 - Asset management | present | present |
| Type 7 - Providing automated trading services | 2009-02-19 | 2014-10-10 |
| Type 7 - Providing automated trading services | present | 2004-03-16 |
Licensed staff (all-time) (4459)
Active on date
| Name | Activities | First licensed | To |
|---|---|---|---|
| John Joseph Adair | RO 1 Rep 1, 4, 6, 9 | Pre-2003 | 2007-02 |
| Mark Edward Agne | RO 1 Rep 1 | 2006-06 | 2016-05 |
| Syed Hyder Ahmad | RO 1 | Pre-2003 | 2006-08 |
| Sanggyun Ahn | RO 1, 4 Rep 1, 4, 6, 9 | Pre-2003 | 2012-04 |
| Christian Scott Alexander | RO 1 Rep 1 | 2004-02 | 2009-07 |
| Yusuf Abdulla Yusuf Akbar Alireza | RO 1 Rep 1 | 2008-06 | 2011-12 |
| Gohir Naseem Anwar | RO 1 Rep 1 | 2009-10 | 2012-12 |
| Aaron Michael Arth | RO 1, 6 Rep 1, 6 | 2014-12 | 2025-07 |
| Christopher Thomas Bae | RO 1 Rep 1 | 2008-01 | 2009-07 |
| Steven Kass Barg | RO 1 Rep 1 | 2010-09 | 2013-05 |
| Christian Beerli | RO 1 Rep 1 | 2017-09 | Present |
| Paul Daniel Bernard | RO 1, 4, 6, 9 | Pre-2003 | 2011-12 |
| Oliver Robert Morgan Bolitho | RO 1, 9 Rep 1, 9 | 2007-03 | 2013-12 |
| Stefan Rolf Bollinger | RO 1 Rep 1 | 2010-07 | 2013-10 |
| Shane Michael Christopher Bolton | RO 1 Rep 1 | 2008-01 | 2019-04 |
| Jason Matthew Brown | RO 1 Rep 1, 4, 6, 9 | Pre-2003 | 2013-09 |
| James McAlpine Busby | RO 1, 5 Rep 1 | 2016-03 | 2025-11 |
| Edward Sangmin Byun | RO 1 Rep 1 | 2005-08 | 2025-03 |
| Jinyong Cai 蔡金勇 | RO 6 | Pre-2003 | 2012-09 |
| Wei Cai 蔡衛 | RO 1, 6 Rep 1, 6 | 2018-07 | 2026-02 |
| Richard Mark Campbell-Breeden | RO 1, 6 Rep 1, 6 | 2008-09 | 2016-10 |
| Michael John Carr | RO 4, 6, 9 | Pre-2003 | 2003-06 |
| Philippe Olivier Challande | RO 1 Rep 1 | 2009-03 | 2026-03 |
| Lik Shuen Chan 陳力旋 | RO 1 Rep 1, 4, 6, 9 | Pre-2003 | 2012-04 |
| Michael Lee Chandler | RO 1 Rep 1, 4, 5, 6, 9 | Pre-2003 | 2017-07 |
| Kuo Chun Chang 張果軍 | RO 1, 4, 6, 9 | Pre-2003 | 2004-09 |
| Henry Lin Chen 陳林正 | RO 6 Rep 1, 4, 6, 9 | Pre-2003 | 2008-08 |
| Winston Shao-Min Cheng 鄭孝明 | RO 1, 6 Rep 1, 6 | 2007-04 | 2013-06 |
| Martin Soon Heng Cher | RO 1 Rep 1, 4, 6, 9 | Pre-2003 | 2012-02 |
| Siddharth Deepak Chhabria | RO 1 Rep 1 | 2015-09 | Present |
| Bee Geok Alina Chiew 周美玉 | RO 1, 9 Rep 1, 9 | 2009-10 | 2017-04 |
| Michael Man Yat Chiu 趙文逸 | RO 1, 6 Rep 1, 6 | 2018-10 | Present |
| Tin Tak Cho 曹天德 | RO 1, 6 Rep 1, 6 | 2025-12 | Present |
| Han Ching Choong 鍾漢青 | RO 1 Rep 1, 4, 6, 9 | Pre-2003 | 2008-09 |
| David Tse Young Chou 周之揚 | RO 1 Rep 1, 4, 6, 9 | Pre-2003 | 2020-11 |
| Chaoyang Chu 儲朝陽 | RO 1, 6 Rep 1, 6 | 2017-10 | 2022-10 |
| Peter I-Chun Chu 朱逸群 | RO 1, 6 Rep 1, 6 | 2004-08 | 2015-09 |
| Pierre Wang Chung Chu 朱宏中 | RO 1, 6 Rep 1, 6 | 2007-07 | Present |
| Chul Chung | RO 1 Rep 1, 4, 6, 9 | Pre-2003 | 2009-01 |
| Jean-Paul Antony Churchouse | RO 1 Rep 1, 7 | 2005-08 | 2020-09 |
| Henry Cornell | RO 4 Rep 4 | Pre-2003 | 2013-05 |
| Canute Howard Dalmasse | RO 1, 4, 5 Rep 1, 5, 7 | 2006-03 | 2023-05 |
| John Stephen Daly | RO 1, 4, 6, 9 | Pre-2003 | 2003-09 |
| Yu Dang 党宇 | RO 1, 6 Rep 1, 6 | 2004-08 | 2012-10 |
| Leopold Frans Joseph de Win | RO 1, 6 Rep 1, 6 | 2016-04 | 2021-04 |
| Daniel Ledbetter Dees | RO 1, 6 Rep 1, 6 | 2007-12 | 2013-12 |
| Robert David Drake-Brockman | RO 1, 4, 5 Rep 1, 4, 5 | 2022-11 | Present |
| Iain Nicholas Drayton | RO 1, 6 Rep 1, 6 | 2010-02 | Present |
| Vincent Duhamel | RO 1, 9 Rep 1, 9 | 2005-08 | 2008-06 |
| James Michael Ellery | RO 1 Rep 1 | 2015-07 | Present |
| Peter Currie Enns | RO 1, 6 Rep 1, 6 | 2010-05 | 2014-09 |
| Christopher Han Eoyang | RO 4, 5 Rep 1, 4, 5 | 2004-06 | 2014-10 |
| John Michael Evans | RO 1, 6 Rep 1, 6 | 2004-11 | 2014-03 |
| Douglas Lehman Feagin | RO 1, 6 Rep 1, 6 | 2004-07 | 2010-09 |
| Benjamin William Ferguson | RO 1, 4 Rep 1 | 2009-06 | 2022-04 |
| Stephen Charles FitzGerald | RO 1, 9 Rep 1, 9 | 2003-09 | 2008-03 |
| Timothy George Freshwater | RO 4, 6, 9 Rep 6 | Pre-2003 | 2022-01 |
| Shirley Fung 馮雪麗 | RO 4, 6, 9 Rep 1, 6 | Pre-2003 | 2004-07 |
| Ramani Ganesh | RO 1 Rep 1 | 2012-01 | 2014-09 |
| Hui Gao 高卉 | RO 1, 9 Rep 1, 4, 9 | 2008-11 | 2017-04 |
| Philip Lloyd Gardner | RO 1, 4, 9 | Pre-2003 | 2005-04 |
| Xin (SFC:AMJ748) Ge 葛新 | RO 1, 6 Rep 1, 6 | 2005-08 | 2014-05 |
| Rajiv Arvind Ghatalia | RO 4, 6, 9 | Pre-2003 | 2005-06 |
| Gary Thomas Giglio | RO 1, 5, 9 | Pre-2003 | 2004-08 |
| Richard John Gnodde | RO 4, 6, 9 Rep 4, 6 | Pre-2003 | 2005-10 |
| Jamie Macnaught Rodber Goodman | RO 1 Rep 1, 7 | 2007-06 | 2021-10 |
| Paul William Graves | RO 1, 6 Rep 1, 6 | 2010-04 | 2012-09 |
| Eric Scott Greenberg | RO 1 Rep 1, 6 | 2006-07 | 2012-10 |
| Bo Fredrik Grunberger | RO 1 Rep 1, 7 | 2007-10 | 2023-03 |
| Jiawen Gu 顧佳文 | RO 1, 6 Rep 1, 6 | 2017-12 | 2025-01 |
| Rumiko Hasegawa | RO 1 Rep 1 | 2010-08 | 2012-06 |
| Keith Leslie Hayes | RO 1, 4 Rep 4 | 2009-03 | 2014-06 |
| Edouard Vincent Philippe Hervey | RO 1 Rep 1 | 2008-07 | 2019-07 |
| Kenneth Walton Hitchner III | RO 1, 4, 5, 6, 9 Rep 1, 6 | 2013-09 | 2019-07 |
| Ryan Hans Holsheimer | RO 1, 7 Rep 1 | 2008-04 | 2011-05 |
| Shin Horie | RO 1, 4 Rep 1, 4 | 2014-10 | 2022-01 |
| James Patrick Houghton | RO 1 Rep 1 | 2012-12 | Present |
| Dawei Huang 黃大為 | RO 1, 6 Rep 1, 6 | 2019-07 | Present |
| Edward Yale Huang 黃耀迪 | RO 1, 9 Rep 1, 9 | 2003-05 | 2014-02 |
| Stephanie Ming Yunn Hui 許明茵 | RO 1, 4 Rep 1, 4, 6, 9 | Pre-2003 | Present |
| Hidehiro Imatsu | RO 1 Rep 1 | 2015-04 | 2024-08 |
| Philip Theverkattil Jacob | RO 1 Rep 1 | 2018-03 | Present |
| Thomas Francis Jessop Jr | RO 1 Rep 1 | 2008-08 | 2012-07 |
| Jean Denis Joly | RO 1 Rep 1 | 2005-10 | 2016-05 |
| John Collins Joyce | RO 1, 4 Rep 1, 4 | 2016-09 | Present |
| Pierre-Emmanuel Yves Juillard | RO 1 Rep 1 | 2010-11 | 2016-01 |
| Tanweer Kabir | RO 1 Rep 1 | 2014-06 | Present |
| Shafiq Amirali Karmali | RO 1 Rep 1, 4, 6, 9 | Pre-2003 | 2008-08 |
| Dimitrios Kavvathas | RO 1, 5 Rep 1 | 2009-03 | 2013-02 |
| Shuya Kekke 結解秀哉 | RO 1 Rep 1, 7 | 2009-07 | 2013-03 |
| Carsten Norbert Kengeter | RO 1, 5 Rep 1, 5 | 2006-06 | 2008-09 |
| John Johng Yun Kim | RO 1, 6 Rep 1, 6 | 2003-12 | 2019-11 |
| Sun Bae Kim 金瑄培 | RO 4 Rep 1, 4, 6, 9 | Pre-2003 | 2007-08 |
| Andrew Jay Kleeger | RO 1 Rep 1 | 2006-09 | 2010-02 |
| Helena Koo 顧浩明 | RO 1 Rep 1 | 2004-04 | Present |
| Vanessa Lee Ying Koo 顧琍瀅 | RO 6 Rep 1, 4, 6, 9 | Pre-2003 | 2010-03 |
| Kenneth Tak Sing Kwok 郭德勝 | RO 1, 4, 5, 9 Rep 1, 4, 6, 9 | Pre-2003 | 2009-01 |
| John Il Kwun 權俊一 | RO 6 Rep 6 | Pre-2003 | 2003-06 |
| Tuan Lam | RO 1, 9 Rep 1, 9 | 2006-05 | 2017-07 |
| Shane Michael Lanoway | RO 1 Rep 1 | 2007-11 | 2008-12 |
Showing 1–100 of 4459
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