Lee, Samuel Yan Ben (SFC:ANU564) 李仁本

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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 J.P. MORGAN BROKING (HONG KONG) LIMITED Rep Advising on securities 2006-08-24 2008-05-07
2 Reciprocus Asset Management Limited RO Asset management 2023-04-19 2024-02-05
Zentific Investment Management Limited Rep 2024-04-23
3 Credit Suisse Futures (Hong Kong) Limited Rep Automated trading services 2008-07-24 2008-11-24
Credit Suisse (Hong Kong) Limited Rep 2008-11-05 2012-04-03
GOLDMAN SACHS (ASIA) SECURITIES LIMITED Rep 2013-08-01 2016-10-10
GOLDMAN SACHS (ASIA) SECURITIES LIMITED Rep 2016-10-11 2019-12-17
GOLDMAN SACHS (ASIA) SECURITIES LIMITED RO 2019-12-17 2020-06-20
4 Credit Suisse Futures (Hong Kong) Limited Rep Dealing in futures contracts 2008-07-24 2008-11-24
Credit Suisse (Hong Kong) Limited Rep 2008-11-05 2012-04-03
GOLDMAN SACHS FUTURES (ASIA) LIMITED Rep 2012-07-11 2016-10-10
GOLDMAN SACHS (ASIA) SECURITIES LIMITED Rep 2016-10-11 2020-06-20
5 J.P. MORGAN BROKING (HONG KONG) LIMITED Rep Dealing in securities 2006-08-24 2008-05-07
Credit Suisse (Hong Kong) Limited Rep 2008-06-18 2012-04-03
Credit Suisse Securities (Hong Kong) Limited Rep 2010-08-27 2012-04-03
GOLDMAN SACHS (ASIA) L.L.C. Rep 2012-07-11 2019-12-17
GOLDMAN SACHS (ASIA) SECURITIES LIMITED Rep 2013-08-01 2016-10-10
GOLDMAN SACHS (ASIA) SECURITIES LIMITED Rep 2016-10-11 2019-12-17
GOLDMAN SACHS (ASIA) L.L.C. RO 2019-12-17 2020-06-20
GOLDMAN SACHS (ASIA) SECURITIES LIMITED RO 2019-12-17 2020-06-20

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