SFC Licences of GUHA ROY Tathagata

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

Institution Role Licences Start date End date
Aletheia Technologies Limited RE 4 15 October 2014 16 October 2014
Aletheia Technologies Limited RO 4 22 August 2014 15 October 2014
Aletheia Technologies Limited RE 4 30 April 2014 22 August 2014
Aletheia Technologies Limited RE 5 30 April 2014 10 June 2014
Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 RE 4 15 June 2011 29 August 2012
Daiwa Institute of Research (Hong Kong) Limited 大和總研(香港)有限公司 RE 4 15 June 2011 30 January 2012
Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 RE 4 03 November 2010 20 January 2011
AT Asset Management (Asia-Pacific) Limited 聯信亞太區資產管理有限公司 RO 9 06 October 2006 31 December 2008
Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 RO 5 04 April 2005 01 August 2005
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務) RO 5 04 April 2005 01 August 2005
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務) RO 1 24 January 2005 01 August 2005
Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 RO 4 24 January 2005 01 August 2005
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務) RO 4 24 January 2005 01 August 2005
Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 RO 9 24 January 2005 24 July 2005
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務) RO 9 24 January 2005 24 July 2005
Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 RE 9 30 November 2004 24 January 2005
Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 RE 4 30 November 2004 24 January 2005
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務) RE 9 30 November 2004 24 January 2005
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務) RE 4 30 November 2004 24 January 2005
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務) RE 1 30 November 2004 24 January 2005