SFC Licences of GUPTA Shivam

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

Institution	Role	Licences	Start date	End date
Millennium Capital Management (Hong Kong) Limited	RE	2	30 October 2023
Millennium Capital Management (Hong Kong) Limited	RE	1	30 October 2023
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司	RO	2	20 December 2017	04 August 2023
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司	RO	1	20 December 2017	04 August 2023
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司	RE	4	31 March 2014	07 March 2017
Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司	RE	1	12 October 2011	04 August 2023
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司	RE	2	17 June 2011	20 December 2017
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司	RE	1	17 June 2011	20 December 2017
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司	RE	7	17 June 2011	01 November 2013
UBS Securities Hong Kong Limited	RE	1	10 August 2009	02 April 2011
UBS Derivatives Hong Kong Limited	RE	2	18 June 2007	02 April 2011
UBS Securities Asia Limited	RE	2	18 June 2007	02 April 2011
UBS Securities Asia Limited	RE	1	18 June 2007	02 April 2011