SFC Licences of SHARMA Rohit
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 | RE | 9 | 12 August 2022 | |
| CLSA Limited 中信里昂證券有限公司 | RE | 1 | 08 December 2015 | 24 June 2022 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 | RE | 1 | 10 July 2015 | 01 December 2015 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 | RE | 4 | 18 February 2013 | 01 December 2015 |