Warwick Dean Simons
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Warwick Dean Simons ( ), a licensed former licensee with CE reference AWT996. Total licence records on file: 4.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| AOP Capital Limited | Rep | Type 9 — Asset management | 2020-05-08 | 2020-05-26 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2013-02-27 | 2016-08-25 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 4 — Advising on securities | 2013-02-27 | 2016-08-25 |
| Gavekal Capital Limited | Rep | Type 9 — Asset management | 2011-03-11 | 2012-02-07 |