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

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