Simon Montague Robertson
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Simon Montague Robertson ( ), a licensed former licensee with CE reference AGI097. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2016-10-11 | 2017-05-20 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2013-07-11 | 2017-05-20 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2013-07-11 | 2016-10-10 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2010-05-05 | 2013-03-23 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2010-05-05 | 2013-03-23 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2008-06-05 | 2010-04-09 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | present | 2010-04-09 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | present | 2005-03-24 |
| UBS Securities Asia Limited | Rep | Type 6 - Advising on corporate finance | present | 2005-03-24 |
| UBS Securities Asia Limited | Rep | Type 9 - Asset management | present | 2005-02-04 |