Chris Hsieh
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chris Hsieh ( ), a licensed former licensee with CE reference AEU791. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2013-10-30 | 2019-05-18 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 6 - Advising on corporate finance | 2013-10-30 | 2019-05-18 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 1 - Dealing in securities | 2012-01-13 | 2013-07-19 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 - Advising on securities | 2012-01-13 | 2013-07-19 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 6 - Advising on corporate finance | 2012-01-13 | 2013-07-19 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2006-05-02 | 2006-05-02 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2006-05-02 | 2006-05-02 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2005-07-29 | 2005-10-19 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2005-07-29 | 2005-10-19 |