Vanessa Lee Ying Koo
顧琍瀅
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Vanessa Lee Ying Koo (顧琍瀅), a licensed former licensee with CE reference AFX588. This person has 21.0 years of SFC licence history. Total licence records on file: 8.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
RO | Type 1 - Dealing in securities | 2014-08-21 | 2025-05-31 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2011-05-18 | 2014-08-21 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
RO | Type 6 - Advising on corporate finance | 2011-05-18 | 2025-05-31 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
RO | Type 6 - Advising on corporate finance | 2008-04-10 | 2010-03-11 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2008-01-10 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-10-13 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2008-04-10 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-10-13 |