Ritsubun Koda
黃田立文
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ritsubun Koda (黃田立文), a licensed former licensee with CE reference AGE030. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Wells Fargo Securities Asia Limited | RO | Type 1 — Dealing in securities | 2019-04-08 | 2020-08-05 |
| Wells Fargo Securities Asia Limited | RO | Type 4 — Advising on securities | 2019-04-08 | 2020-08-05 |
| Wells Fargo Securities Asia Limited | RO | Type 9 — Asset management | 2019-04-08 | 2020-08-05 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2009-08-12 | 2010-02-09 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2008-07-30 | 2010-02-09 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2008-02-05 | 2008-07-01 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
RO | Type 2 — Dealing in futures contracts | 2008-02-05 | 2008-07-01 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2007-11-22 | 2008-02-05 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-11-22 | 2008-02-05 |