James Roger Francis Shipton
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Roger Francis Shipton ( ), a licensed former licensee with CE reference AJD463. Total licence records on file: 2.
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 | 2004-09-27 | 2013-06-18 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2004-09-27 | 2013-06-18 |