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SUN Jie

孫杰
CE ARO381Licensed IndividualExecutive OfficerNo active licence
Official SFC record

SUN Jie (CE number ARO381) is an individual licensed by the Hong Kong SFC. First licensed on 2008-08-29. Their SFC licence is currently not active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 5 (Advising on futures).

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts

Roles & Accreditations (1)

CapacityCompany / Institution
Executive OfficerHongkong and Shanghai Banking Corporation Limited, The
香港上海滙豐銀行有限公司

Licence Record (5)

2016-10-11 – 2017-08-19
Goldman Sachs (Asia) Securities Limited Rep
RA 2
2012-11-16 – 2017-08-19
Goldman Sachs (Asia) L.L.C. Rep
RA 1
2012-11-16 – 2016-10-10
Goldman Sachs Futures (Asia) Limited Rep
RA 2
2008-10-29 – 2012-09-18
Nomura International (Hong Kong) Limited Rep
RA 1
2008-08-29 – 2008-09-29
Lehman Brothers Asia Limited Rep
RA 1

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/ARO381