Robert David Drake-Brockman
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Robert David Drake-Brockman, CE reference BTE290. Currently licensed at 2 firm(s): Goldman Sachs (Asia) L.L.C., Goldman Sachs (Asia) Securities Limited. Total licence records on file: 16.
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 | 2024-06-26 | present |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
RO | Type 1 — Dealing in securities | 2024-06-26 | present |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
RO | Type 2 — Dealing in futures contracts | 2024-06-26 | present |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
RO | Type 4 — Advising on securities | 2024-06-26 | present |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
RO | Type 4 — Advising on securities | 2024-06-26 | present |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
RO | Type 5 — Advising on futures contracts | 2024-06-26 | present |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
RO | Type 5 — Advising on futures contracts | 2024-06-26 | present |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
RO | Type 7 — Providing automated trading services | 2024-06-26 | present |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 1 — Dealing in securities | 2024-05-22 | 2024-06-26 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 4 — Advising on securities | 2024-05-22 | 2024-06-26 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 4 — Advising on securities | 2024-05-22 | 2024-06-26 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 5 — Advising on futures contracts | 2024-05-22 | 2024-06-26 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 5 — Advising on futures contracts | 2024-05-22 | 2024-06-26 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 7 — Providing automated trading services | 2024-05-22 | 2024-06-26 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2022-11-15 | 2024-06-26 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2022-11-15 | 2024-06-26 |