SFC Licences of GUPTA Puneet
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 | RE | 2 | 11 October 2016 | |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 | RE | 1 | 11 October 2016 | |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 | RE | 1 | 03 October 2014 | 10 October 2016 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 | RE | 2 | 12 August 2014 | 10 October 2016 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 | RE | 1 | 12 August 2014 | |
| UBS Derivatives Hong Kong Limited | RE | 2 | 03 May 2011 | 14 June 2014 |
| UBS Securities Asia Limited | RE | 2 | 03 May 2011 | 14 June 2014 |
| UBS Securities Asia Limited | RE | 1 | 03 May 2011 | 14 June 2014 |
| UBS Securities Hong Kong Limited | RE | 1 | 03 May 2011 | 14 June 2014 |