SFC licenceholder APC574 GUPTA Shivam

Licences

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

Updated: 01 April 2020

Institution Role Licences Start date End date
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RO [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 20 December 2017
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE [4] (Advising on Securities) 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] (Dealing in Securities) 12 October 2011
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 17 June 2011 20 December 2017
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE [7] (Providing Automated Trading Services) 17 June 2011 01 November 2013
UBS Securities Hong Kong Limited RE [1] (Dealing in Securities) 10 August 2009 02 April 2011
UBS Securities Asia Limited RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 18 June 2007 02 April 2011
UBS Derivatives Hong Kong Limited RE [2] (Dealing in Futures Contracts) 18 June 2007 02 April 2011