Spitzer, Mark Steven
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 | 2012-04-17 | 2013-07-17 |
| 2 | BARCLAYS CAPITAL ASIA LIMITED | Rep | Dealing in securities | 2012-04-17 | 2013-07-17 |
| 3 | BREVAN HOWARD (HONG KONG) LIMITED | Rep | Asset management | 2013-10-10 | 2014-10-01 |
| 4 | BREVAN HOWARD (HONG KONG) LIMITED | Rep | Dealing in securities | 2013-10-10 | 2014-10-01 |
| 5 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2015-01-19 | 2016-10-10 |
| 6 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2015-01-19 | 2020-07-30 |
| 7 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | Dealing in futures contracts | 2016-10-11 | 2020-07-30 |
| 8 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | Automated trading services | 2019-01-18 | 2020-07-30 |
| 9 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | Dealing in securities | 2019-01-18 | 2020-07-30 |
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