Fries Jr, Donald Brian
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 | PINE RIVER CAPITAL MANAGEMENT (HK) LIMITED | Rep | Asset management | 2014-07-29 | 2015-05-15 |
| 2 | PINE RIVER CAPITAL MANAGEMENT (HK) LIMITED | RO | Asset management | 2015-05-15 | 2016-11-30 |
| 3 | PINE RIVER CAPITAL MANAGEMENT (HK) LIMITED | Rep | Asset management | 2016-11-30 | 2017-02-24 |
| 4 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2017-04-18 | 2020-12-26 |
| 5 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | Dealing in futures contracts | 2017-04-18 | 2020-12-26 |
| 6 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | Dealing in securities | 2017-04-18 | 2020-12-26 |
| 7 | SFM HK Management Limited | Rep | Asset management | 2021-02-08 | 2021-02-18 |
| 8 | SFM HK Management Limited | Rep | Dealing in futures contracts | 2021-02-08 | 2021-02-18 |
| 9 | SFM HK Management Limited | Rep | Dealing in securities | 2021-02-08 | 2021-02-18 |
| 10 | SFM HK Management Limited | RO | Asset management | 2021-02-18 | 2024-04-24 |
| 11 | SFM HK Management Limited | RO | Dealing in futures contracts | 2021-02-18 | 2024-04-24 |
| 12 | SFM HK Management Limited | RO | Dealing in securities | 2021-02-18 | 2024-04-24 |
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