Sun, Yiqian (SFC:ATV809) 孫逸潜
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 | UBS DERIVATIVES HONG KONG LIMITED | Rep | Dealing in futures contracts | 2009-10-05 | 2011-04-13 |
| 2 | UBS SECURITIES ASIA LIMITED | Rep | Dealing in futures contracts | 2009-10-05 | 2011-04-13 |
| 3 | UBS SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2009-10-05 | 2011-04-13 |
| 4 | UBS SECURITIES HONG KONG LIMITED | Rep | Dealing in securities | 2009-10-05 | 2011-04-13 |
| 5 | Credit Suisse (Hong Kong) Limited | Rep | Automated trading services | 2011-10-28 | 2013-05-25 |
| 6 | Credit Suisse (Hong Kong) Limited | Rep | Dealing in futures contracts | 2011-10-28 | 2013-05-25 |
| 7 | Credit Suisse (Hong Kong) Limited | Rep | Dealing in securities | 2011-10-28 | 2013-05-25 |
| 8 | Credit Suisse Securities (Hong Kong) Limited | Rep | Dealing in securities | 2011-10-28 | 2013-05-25 |
| 9 | Credit Suisse (Hong Kong) Limited | Rep | Advising on securities | 2012-10-09 | 2013-05-25 |
| 10 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | Dealing in securities | 2013-09-24 | 2016-10-10 |
| 11 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2013-09-24 | 2016-10-10 |
| 12 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2013-09-24 | 2018-04-26 |
| 13 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | Dealing in futures contracts | 2016-10-11 | 2018-04-26 |
| 14 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | Dealing in securities | 2016-10-11 | 2018-04-26 |
| 15 | Morgan Stanley Asia Limited | Rep | Dealing in securities | 2018-07-30 | 2020-03-17 |
| 16 | Morgan Stanley Hong Kong Securities Limited | Rep | Dealing in futures contracts | 2018-07-30 | 2020-03-17 |
| 17 | Morgan Stanley Hong Kong Securities Limited | Rep | Dealing in securities | 2018-07-30 | 2020-03-17 |
| 18 | Morgan Stanley Hong Kong Securities Limited | Rep | Automated trading services | 2018-08-17 | 2020-03-17 |
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