Nicholas James Marsh
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicholas James Marsh ( ), a licensed former licensee with CE reference ANH720. Total licence records on file: 9.
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 1 - Dealing in securities | 2012-04-27 | 2013-04-06 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 5 - Advising on futures contracts | 2011-06-22 | 2013-04-06 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 5 - Advising on futures contracts | 2011-06-22 | 2013-04-06 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2008-03-03 | 2013-04-06 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2008-03-03 | 2013-04-06 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 - Dealing in securities | 2007-07-26 | 2008-02-04 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2007-07-26 | 2008-02-04 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2006-04-28 | 2007-06-16 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2006-04-28 | 2007-06-16 |