Naito, Kazuma 內藤一真
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 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2005-12-30 | 2008-08-05 |
| 2 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2005-12-30 | 2008-08-05 |
| 3 | GOLDMAN SACHS (ASIA) L.L.C. | RO | Dealing in securities | 2008-08-05 | 2011-02-15 |
| 4 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | RO | Dealing in futures contracts | 2008-08-05 | 2011-02-15 |
| 5 | GOLDMAN SACHS (ASIA) L.L.C. | RO | Automated trading services | 2009-02-27 | 2010-01-18 |
| 6 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2011-05-19 | 2012-04-13 |
| 7 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on securities | 2011-05-19 | 2012-04-13 |
| 8 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2011-05-19 | 2012-04-13 |
| 9 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Dealing in securities | 2011-05-19 | 2012-04-13 |
| 10 | J.P. MORGAN SECURITIES (FAR EAST) LIMITED | RO | Advising on securities | 2012-04-13 | 2014-09-30 |
| 11 | J.P. MORGAN SECURITIES (FAR EAST) LIMITED | RO | Dealing in securities | 2012-04-13 | 2014-09-30 |
| 12 | J.P. MORGAN BROKING (HONG KONG) LIMITED | RO | Advising on securities | 2012-04-13 | 2016-06-28 |
| 13 | J.P. MORGAN BROKING (HONG KONG) LIMITED | RO | Dealing in securities | 2012-04-13 | 2016-06-28 |
| 14 | J.P. MORGAN BROKING (HONG KONG) LIMITED | RO | Advising on futures contracts | 2012-04-13 | 2019-07-31 |
| 15 | J.P. MORGAN BROKING (HONG KONG) LIMITED | RO | Dealing in futures contracts | 2012-04-13 | 2019-07-31 |
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