Gupta, Ajay (SFC:AIR435)
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 | Merrill Lynch (Asia Pacific) Limited | Rep | Advising on corporate finance | 2004-02-01 | Rep | Advising on securities | 2004-02-01 | Rep | Asset management | 2004-02-01 | Rep | Automated trading services | 2004-02-01 | Rep | Dealing in securities | 2004-02-01 | Rep | Dealing in securities | 2008-08-19 | 2010-08-06 | RO | Dealing in securities | 2010-08-06 | 2013-05-25 |
| 2 | Merrill Lynch Far East Limited | Rep | Dealing in securities | 2008-08-19 | 2010-08-06 | RO | Dealing in securities | 2010-08-06 | 2013-05-25 | RO | Dealing in futures contracts | 2010-08-27 | 2013-05-25 |
| 3 | MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2008-08-19 | 2010-08-06 | RO | Dealing in futures contracts | 2010-08-06 | 2010-12-31 |
| 4 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2013-08-26 | 2014-02-14 | Rep | Dealing in securities | 2013-08-26 | 2014-02-14 | Rep | Advising on futures contracts | 2014-02-14 | 2014-12-06 | Rep | Advising on securities | 2014-02-14 | 2014-12-06 | RO | Dealing in futures contracts | 2014-02-14 | 2014-12-06 | RO | Dealing in securities | 2014-02-14 | 2014-12-06 |
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