SFC Licences of GUPTA Abhishek
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Capstone Investment Advisors (HK) Limited | RO | 9 | 20 November 2023 | |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RO | 2 | 18 October 2021 | 13 September 2023 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RO | 1 | 18 October 2021 | 13 September 2023 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 2 | 04 September 2013 | 18 October 2021 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 1 | 04 September 2013 | 18 October 2021 |
| Merrill Lynch Far East Limited | RE | 2 | 16 May 2011 | 04 June 2013 |
| Merrill Lynch Far East Limited | RE | 1 | 16 May 2011 | 04 June 2013 |
| Merrill Lynch (Asia Pacific) Limited | RE | 1 | 16 May 2011 | 04 June 2013 |
| Merrill Lynch (Asia Pacific) Limited | RE | 1 | 25 May 2007 | 15 March 2008 |
| Merrill Lynch Far East Limited | RE | 1 | 25 May 2007 | 15 March 2008 |
| Merrill Lynch Futures (Hong Kong) Limited | RE | 2 | 25 May 2007 | 15 March 2008 |