SFC Licences of GUPTA Ajay

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

Institution	Role	Licences	Start date	End date
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司	RO	2	14 February 2014	06 December 2014
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司	RO	1	14 February 2014	06 December 2014
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司	RE	5	14 February 2014	06 December 2014
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司	RE	4	14 February 2014	06 December 2014
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司	RE	2	26 August 2013	14 February 2014
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司	RE	1	26 August 2013	14 February 2014
Merrill Lynch Far East Limited	RO	2	27 August 2010	25 May 2013
Merrill Lynch Far East Limited	RO	1	06 August 2010	25 May 2013
Merrill Lynch (Asia Pacific) Limited	RO	1	06 August 2010	25 May 2013
Merrill Lynch Futures (Hong Kong) Limited	RO	2	06 August 2010	31 December 2010
Merrill Lynch Futures (Hong Kong) Limited	RE	2	19 August 2008	06 August 2010
Merrill Lynch Far East Limited	RE	1	19 August 2008	06 August 2010
Merrill Lynch (Asia Pacific) Limited	RE	1	19 August 2008	06 August 2010
Merrill Lynch (Asia Pacific) Limited	RE	1	01 April 2003	01 February 2004
Merrill Lynch (Asia Pacific) Limited	RE	9	01 April 2003	01 February 2004
Merrill Lynch (Asia Pacific) Limited	RE	7	01 April 2003	01 February 2004
Merrill Lynch (Asia Pacific) Limited	RE	4	01 April 2003	01 February 2004
Merrill Lynch (Asia Pacific) Limited	RE	6	01 April 2003	01 February 2004