SFC Licences of PIPLANI Dhruv
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Brevan Howard (Hong Kong) Limited | RO | 1 | 09 October 2014 | 31 October 2014 |
| Brevan Howard (Hong Kong) Limited | RO | 9 | 06 December 2013 | 31 October 2014 |
| Brevan Howard (Hong Kong) Limited | RE | 9 | 15 October 2013 | 06 December 2013 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 | RO | 1 | 12 December 2011 | 22 June 2013 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 | RE | 1 | 17 November 2010 | 12 December 2011 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 | RO | 1 | 27 May 2009 | 22 June 2013 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 | RO | 2 | 27 May 2009 | 22 June 2013 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 | RO | 1 | 27 May 2009 | 17 November 2010 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 | RE | 1 | 11 May 2007 | 27 May 2009 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 | RE | 2 | 11 May 2007 | 27 May 2009 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 | RE | 1 | 11 May 2007 | 27 May 2009 |