Clappier, John Frederick
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2015-07-06 | 2019-08-03 |
| 2 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | Dealing in securities | 2015-11-27 | 2016-10-10 | Rep | Dealing in futures contracts | 2016-10-11 | 2019-08-03 | Rep | Dealing in securities | 2016-10-11 | 2019-08-03 |
| 3 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2015-07-06 | 2016-10-10 |
| 4 | Morgan Stanley Asia Limited | Rep | Dealing in securities | 2007-11-26 | 2007-12-03 | Rep | Dealing in securities | 2009-09-25 | 2009-10-02 | Rep | Dealing in securities | 2010-03-29 | 2011-05-24 |
| 5 | Morgan Stanley Hong Kong Futures Limited | Rep | Dealing in futures contracts | 2009-09-25 | 2009-10-02 | Rep | Dealing in futures contracts | 2010-03-29 | 2010-12-06 |
| 6 | Morgan Stanley Hong Kong Securities Limited | Rep | Dealing in futures contracts | 2010-12-06 | 2011-05-24 |
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