Gupta, Abhishek (SFC:AOY906)
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 | Capstone Investment Advisors (HK) Limited | RO | Asset management | 2023-11-20 | |
| 2 | Merrill Lynch (Asia Pacific) Limited | Rep | Dealing in securities | 2007-05-25 | 2008-03-15 | Rep | Dealing in securities | 2011-05-16 | 2013-06-04 |
| 3 | Merrill Lynch Far East Limited | Rep | Dealing in securities | 2007-05-25 | 2008-03-15 | Rep | Dealing in futures contracts | 2011-05-16 | 2013-06-04 | Rep | Dealing in securities | 2011-05-16 | 2013-06-04 |
| 4 | MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2007-05-25 | 2008-03-15 |
| 5 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2013-09-04 | 2021-10-18 | Rep | Dealing in securities | 2013-09-04 | 2021-10-18 | RO | Dealing in futures contracts | 2021-10-18 | 2023-09-13 | RO | Dealing in securities | 2021-10-18 | 2023-09-13 |
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