Kim, Bum Soo

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

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