Stuart Riley
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stuart Riley ( ), a licensed former licensee with CE reference BAK697. Total licence records on file: 4.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
RO | Type 1 — Dealing in securities | 2013-01-25 | 2015-04-18 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2013-01-25 | 2015-04-18 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2012-11-09 | 2013-01-25 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2012-11-09 | 2013-01-25 |