SFC Licences of GUPTA Rahul

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution	Role	Licences	Start date	End date
LMR Partners Limited	RE	9	03 September 2019	19 April 2023
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司	RE	4	12 June 2017	28 June 2019
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司	RE	1	12 June 2017	28 June 2019
Pine River Capital Management (HK) Limited	RE	9	21 September 2015	28 April 2017
Omnix Capital Limited	RE	9	21 May 2009	31 March 2011
Nomura Securities (Hong Kong) Limited	RE	1	10 December 2008	08 April 2009
Nomura Futures (Hong Kong) Limited	RE	2	10 December 2008	08 April 2009
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司	RE	2	10 October 2008	08 April 2009
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司	RE	1	10 October 2008	08 April 2009
Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司	RE	2	14 May 2008	29 September 2008
Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司	RE	1	05 May 2008	29 September 2008
CALF Investment Advisors Limited	RO	9	28 November 2007	18 April 2008
CALF Investment Advisors Limited	RO	1	28 November 2007	18 April 2008
UBS Securities Asia Limited	RE	4	25 May 2006	15 June 2007