Goldman Sachs (Asia) Securities Limited
高盛(亞洲)證券有限公司
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Goldman Sachs (Asia) Securities Limited (高盛(亞洲)證券有限公司), a Hong Kong-based licensed corporation with CE reference AAA849. Current licensed staff on file: 546 (total recorded over time: 1437). Earliest licence on file: 2013-07-11.
Licence history
| Activity | From | To |
|---|---|---|
| Type 1 — Dealing in securities | present | 2016-10-10 |
| Type 4 — Advising on securities | present | 2016-10-10 |
| Type 6 — Advising on corporate finance | present | 2011-08-26 |
| Type 7 — Providing automated trading services | 2013-07-11 | 2016-10-10 |
| Type 9 — Asset management | present | 2005-01-27 |
Licensed staff (all-time) (1437)
Active on date
| Name | Activities | First licensed | To |
|---|---|---|---|
| John Joseph Adair | RO 1, 4 | 2005-04 | 2007-02 |
| Mark Edward Agne | RO 1, 4 Rep 1, 4 | 2006-06 | 2016-05 |
| Syed Hyder Ahmad | RO 1, 4 | Pre-2003 | 2006-08 |
| Yusuf Abdulla Yusuf Akbar Alireza | RO 1, 4 | 2011-05 | 2011-12 |
| Christopher Thomas Bae | RO 1 Rep 1 | 2008-01 | 2009-07 |
| Christian Beerli | RO 4 Rep 1, 2, 4 | 2021-10 | Present |
| Guillaume Gerard Marie Besson | RO 1 Rep 1 | 2010-08 | 2016-03 |
| Stefan Rolf Bollinger | RO 1 | 2011-12 | 2013-10 |
| Jonathan Paul Brunello | RO 1 | 2012-05 | 2012-07 |
| James McAlpine Busby | RO 1, 2, 5 Rep 1 | 2016-03 | 2025-11 |
| Michael John Carr | RO 4, 6, 9 | Pre-2003 | 2003-06 |
| Philippe Olivier Challande | RO 2 Rep 2 | 2016-10 | 2026-03 |
| Henry Lin Chen 陳林正 | RO 6 | 2007-07 | 2008-08 |
| Siddharth Deepak Chhabria | RO 1 Rep 1, 2, 7 | 2015-09 | Present |
| Jean-Paul Antony Churchouse | RO 2 Rep 1 | 2012-04 | 2020-09 |
| Canute Howard Dalmasse | RO 1, 2, 4, 5, 7 | 2012-07 | 2023-05 |
| Robert David Drake-Brockman | RO 1, 2, 4, 5, 7 Rep 1, 2, 4, 5, 7 | 2022-11 | Present |
| James Michael Ellery | RO 2 Rep 2 | 2016-10 | Present |
| John Michael Evans | RO 1, 6 Rep 1, 6 | 2004-11 | 2008-04 |
| Benjamin William Ferguson | RO 1, 2, 7 | 2013-03 | 2022-04 |
| Timothy George Freshwater | RO 4, 6, 9 | Pre-2003 | 2011-08 |
| Rajiv Arvind Ghatalia | RO 4, 6 | 2003-07 | 2005-06 |
| Richard John Gnodde | RO 4, 6, 9 | Pre-2003 | 2005-01 |
| Jamie Macnaught Rodber Goodman | RO 1 Rep 1, 2, 7 | 2012-04 | 2021-10 |
| Bo Fredrik Grunberger | RO 1 Rep 1, 2, 7 | 2012-04 | 2023-03 |
| Edouard Vincent Philippe Hervey | RO 2 | 2016-10 | 2019-07 |
| James Patrick Houghton | RO 2 | 2016-10 | Present |
| Hidehiro Imatsu | RO 2 | 2016-10 | 2024-08 |
| Philip Theverkattil Jacob | RO 1, 7 Rep 1, 2, 7 | 2018-03 | Present |
| Paul Anthony Johnson | RO 1, 2, 7 Rep 1, 2 | 2015-08 | 2024-10 |
| Jean Denis Joly | RO 1 Rep 1 | 2005-10 | 2016-05 |
| Tanweer Kabir | RO 1, 2 Rep 1, 2 | 2014-06 | Present |
| Shuya Kekke 結解秀哉 | RO 1 | 2012-09 | 2013-03 |
| Carsten Norbert Kengeter | RO 1, 4 | 2007-02 | 2008-09 |
| Cheung Kuo 郭強 | RO 1 Rep 1 | 2003-04 | 2011-03 |
| Ronald Suk Bae Lee 李碩培 | RO 2 | 2017-12 | Present |
| Samuel Yan Ben Lee 李仁本 | RO 1, 7 Rep 1, 2, 7 | 2013-08 | 2020-06 |
| Leon Leung | RO 2 | 2023-09 | Present |
| Hans Johan Leven | RO 6 | 2007-12 | 2009-07 |
| Martin Ma 馬丁 | RO 2 Rep 2 | 2016-10 | Present |
| Peter Bremner MacDonald | RO 1, 4 | 2007-01 | 2007-04 |
| Mark Gordon Adam MacHin | RO 6 | 2006-09 | 2011-08 |
| Raghav Maliah | RO 6 | 2011-06 | 2011-08 |
| Matthew James Mason | RO 1, 2, 7 Rep 1, 2, 7 | 2014-09 | Present |
| Robert Anthony Mc Tamaney III | RO 1 Rep 1 | 2007-02 | 2011-07 |
| Christina Ma McFarland | RO 1, 2, 5 | 2012-07 | 2022-10 |
| Qiu Meng 孟秋 | RO 2 Rep 2 | 2023-12 | Present |
| Takashi Murata | RO 2 Rep 2 | 2019-01 | 2023-10 |
| Sean Patrick Navin | RO 1, 2 Rep 1, 2, 7 | 2012-04 | Present |
| James Richard Paradise | RO 1, 2, 4, 5, 7 Rep 1, 4 | 2012-02 | 2021-02 |
| Jignesh Patel | RO 2 | 2016-10 | 2023-04 |
| Nicholas Xavier Aidan Peach | RO 1, 7 Rep 1, 2, 7 | 2014-08 | 2023-03 |
| Dhruv Piplani | RO 1 Rep 1 | 2007-05 | 2013-06 |
| Ling Cherng Pong | RO 2 Rep 2 | 2016-10 | Present |
| Dmitri Potishko | RO 1, 2, 4, 5, 7 Rep 1 | 2013-06 | Present |
| Frederic Anders David Pripp | RO 1, 7 Rep 1, 2 | 2023-08 | Present |
| Eugene T Reilly | RO 1, 4 | 2007-03 | 2009-12 |
| Alexandre Richard Harald Reinert | RO 1, 7 Rep 1, 2 | 2011-08 | Present |
| Andrew Kenneth Rennie | RO 1, 2, 4 Rep 1, 2, 4 | 2012-01 | 2020-01 |
| David Michael Ryan | RO 1, 4 Rep 1, 4 | 2006-09 | 2012-05 |
| Akshay Sahni | RO 1, 2, 7 Rep 1, 2 | 2009-07 | 2023-09 |
| Alexander Schrantz | RO 6 | 2006-09 | 2011-03 |
| Ales Sladic | RO 1, 2, 4, 5 Rep 2 | 2016-10 | Present |
| Ian Micheal Corfield Smith | RO 1, 2, 7 Rep 1, 2, 7 | 2013-10 | 2019-11 |
| Ming Chit Suen 孫明哲 | RO 1, 4 | 2011-12 | 2023-02 |
| Robert James Taylor | RO 1, 2 Rep 2 | 2019-10 | 2026-02 |
| David Geoffrey Torrible 大衛德利保 | RO 1, 4 Rep 1, 4 | 2008-07 | 2013-01 |
| Frederick Towfigh | RO 1, 2, 4, 7 | 2011-08 | 2017-09 |
| Padideh Nora Trojanow | RO 2 Rep 2 | 2016-10 | 2022-06 |
| Eiji Ueda | RO 1, 2, 4 Rep 1, 4 | 2012-02 | 2019-03 |
| David Hian-Fook Voon 溫賢福 | RO 1, 4 | Pre-2003 | 2007-03 |
| Wai Lam Willie Wong 黃偉霖 | RO 2 Rep 2 | 2016-10 | 2018-05 |
| Tsz Yin Wu 胡子賢 | RO 2 Rep 2 | 2016-10 | Present |
| Vincent Shu Hang Yeung 楊書恆 | RO 1, 2, 7 Rep 1, 2, 7 | 2012-04 | Present |
| Nic Wan Yim 嚴力耘 | RO 2 | 2016-10 | 2025-07 |
| Kumar Sundaram | Rep 1, 2 | 2015-04 | Present |
| Angus Alfred McIntyre Aboud | Rep 1 | 2013-03 | 2014-02 |
| Katherine Anna Abrat | Rep 2 | 2016-10 | 2018-02 |
| Laura Faye Achoneftos | Rep 2 | 2024-05 | Present |
| Nabil Adoum | Rep 1, 2, 7 | 2020-06 | Present |
| Alokik Indru Advani | Rep 2 | 2016-10 | 2018-08 |
| Ankit Agarwal | Rep 2 | 2016-10 | 2018-03 |
| Shantanu Agarwal | Rep 1, 2 | 2015-05 | 2021-02 |
| Tarun Agarwal | Rep 1 | 2015-07 | 2016-05 |
| Madhusudan Aggarwal | Rep 2 | 2023-06 | 2023-08 |
| Sahil Aggarwal | Rep 2 | 2016-10 | 2017-03 |
| Saurabh Aggarwala | Rep 1, 2, 7 | 2012-08 | Present |
| Anurag Agrawal | Rep 1, 2 | 2016-05 | 2020-03 |
| Chan Ahn | Rep 2 | 2016-10 | 2021-12 |
| Elia Alfay | Rep 2 | 2016-10 | 2018-02 |
| Cristy Almeida | Rep 2 | 2018-06 | 2020-11 |
| Spyros Alogoskoufis | Rep 1 | 2012-04 | 2014-03 |
| Gustavo Alves de Souza | Rep 1, 2 | 2025-10 | Present |
| Madoka Amari | Rep 2 | 2023-02 | 2026-03 |
| Jiangze An 安江泽 | Rep 1, 2 | 2019-01 | Present |
| Vishweshwar Anantharam | Rep 2 | 2021-09 | 2023-02 |
| Stian Andersen | Rep 1, 2 | 2022-03 | Present |
| Thomas William Anglin | Rep 2 | 2019-08 | 2024-05 |
| Predee Anuvatnujotikul 溫俊堅 | Rep 2 | 2018-03 | 2024-03 |
| Benjamin Richard Arnold | Rep 1, 7 | 2014-06 | 2016-02 |
Showing 1–100 of 1437