Sun, James Pui Yin 辛沛賢
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 | 2006-09-04 | 2010-07-24 |
| 2 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2006-09-04 | 2010-07-24 |
| 3 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2011-06-29 | 2012-08-28 | Rep | Advising on securities | 2011-06-29 | 2012-08-28 | Rep | Dealing in futures contracts | 2011-06-29 | 2012-08-28 | Rep | Dealing in securities | 2011-06-29 | 2012-08-28 |
| 4 | Morgan Stanley Asia Limited | Rep | Automated trading services | 2005-02-16 | 2006-08-07 | Rep | Dealing in securities | 2005-02-16 | 2006-08-07 |
| 5 | Morgan Stanley Hong Kong Futures Limited | Rep | Dealing in futures contracts | 2005-04-06 | 2006-08-07 | Rep | Automated trading services | 2005-10-25 | 2006-08-07 |
| 6 | Morgan Stanley Hong Kong Securities Limited | Rep | Dealing in securities | 2005-02-16 | 2006-08-07 |
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