John Stephen Daly
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for John Stephen Daly, a licensed former licensee with CE reference AGI963. This person has 0.4 years of SFC licence history. Total licence records on file: 4.
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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 | Pre-2003 | 2003-09-08 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
RO | Type 4 - Advising on securities | Pre-2003 | 2003-09-08 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
RO | Type 6 - Advising on corporate finance | Pre-2003 | 2003-09-08 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
RO | Type 9 - Asset management | Pre-2003 | 2003-09-08 |