Mark Steven Spitzer
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Mark Steven Spitzer ( ), a licensed former licensee with CE reference AZH668. 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 | 2019-01-18 | 2020-07-30 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 7 — Providing automated trading services | 2019-01-18 | 2020-07-30 |
| 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 | 2020-07-30 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2015-01-19 | 2020-07-30 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2015-01-19 | 2016-10-10 |
| Brevan Howard (Hong Kong) Limited |
Rep | Type 1 — Dealing in securities | 2013-10-10 | 2014-10-01 |
| Brevan Howard (Hong Kong) Limited |
Rep | Type 9 — Asset management | 2013-10-10 | 2014-10-01 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2012-04-17 | 2013-07-17 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2012-04-17 | 2013-07-17 |