SFC licenceholder AXF254 GUPTA Puneet

Licences

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

Updated: 08 April 2020

Institution Role Licences Start date End date
Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 11 October 2016
Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 RE [1] (Dealing in Securities) 03 October 2014 10 October 2016
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RE [1] (Dealing in Securities) 12 August 2014
Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 RE [2] (Dealing in Futures Contracts) 12 August 2014 10 October 2016
UBS Securities Hong Kong Limited RE [1] (Dealing in Securities) 03 May 2011 14 June 2014
UBS Securities Asia Limited RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 03 May 2011 14 June 2014
UBS Derivatives Hong Kong Limited RE [2] (Dealing in Futures Contracts) 03 May 2011 14 June 2014