Kim, Bum Soo
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 | BARCLAYS CAPITAL ASIA LIMITED | Rep | Dealing in futures contracts | 2017-08-07 | Rep | Dealing in securities | 2017-08-07 |
| 2 | BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2004-09-14 | 2006-04-15 | Rep | Dealing in futures contracts | 2014-06-11 | 2017-03-03 | Rep | Dealing in securities | 2014-06-11 | 2017-03-03 |
| 3 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Advising on corporate finance | 2003-09-11 | Rep | Advising on securities | 2003-09-11 | Rep | Asset management | 2003-09-11 | Rep | Dealing in securities | 2003-09-11 |
| 4 | Morgan Stanley Asia Limited | Rep | Automated trading services | 2006-04-18 | 2010-08-16 | Rep | Dealing in securities | 2006-04-18 | 2010-08-16 |
| 5 | Morgan Stanley Hong Kong Futures Limited | Rep | Automated trading services | 2006-04-18 | 2010-08-16 | Rep | Dealing in futures contracts | 2006-04-18 | 2010-08-16 |
| 6 | Morgan Stanley Hong Kong Securities Limited | Rep | Dealing in securities | 2006-04-18 | 2010-08-16 |
| 7 | PARIBAS ASIA EQUITY LIMITED | Rep | Dealing in securities | 2004-09-14 | 2006-04-15 |
| 8 | Standard Chartered Securities (Hong Kong) Limited | Rep | Advising on futures contracts | 2013-02-27 | 2014-03-29 | Rep | Dealing in futures contracts | 2013-02-27 | 2014-03-29 |
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