Frederick Towfigh
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Frederick Towfigh ( ), a licensed former licensee with CE reference ADD816. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
RO | Type 1 — Dealing in securities | 2016-10-11 | 2017-09-01 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
RO | Type 2 — Dealing in futures contracts | 2016-10-11 | 2017-09-01 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
RO | Type 4 — Advising on securities | 2016-10-11 | 2017-09-01 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
RO | Type 7 — Providing automated trading services | 2013-07-11 | 2014-10-10 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
RO | Type 1 — Dealing in securities | 2011-08-25 | 2016-10-10 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2011-08-25 | 2016-10-10 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
RO | Type 4 — Advising on securities | 2011-08-25 | 2016-10-10 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
RO | Type 7 — Providing automated trading services | 2010-01-06 | 2014-10-10 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-08-21 | 2011-08-25 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
RO | Type 1 — Dealing in securities | 2004-09-16 | 2017-09-01 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | present | 2004-09-16 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 4 — Advising on securities | present | 2004-09-16 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-09-16 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 9 — Asset management | present | 2004-09-16 |