Gupta, Shivam (SFC:APC574)
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | Credit Suisse (Hong Kong) Limited | Rep | Automated trading services | 2011-06-17 | 2013-11-01 | Rep | Dealing in futures contracts | 2011-06-17 | 2017-12-20 | Rep | Dealing in securities | 2011-06-17 | 2017-12-20 | Rep | Advising on securities | 2014-03-31 | 2017-03-07 | RO | Dealing in futures contracts | 2017-12-20 | 2023-08-04 | RO | Dealing in securities | 2017-12-20 | 2023-08-04 |
| 2 | Credit Suisse Securities (Hong Kong) Limited | Rep | Dealing in securities | 2011-10-12 | 2023-08-04 |
| 3 | MILLENNIUM CAPITAL MANAGEMENT (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2023-10-30 | Rep | Dealing in securities | 2023-10-30 |
| 4 | UBS DERIVATIVES HONG KONG LIMITED | Rep | Dealing in futures contracts | 2007-06-18 | 2011-04-02 |
| 5 | UBS SECURITIES ASIA LIMITED | Rep | Dealing in futures contracts | 2007-06-18 | 2011-04-02 | Rep | Dealing in securities | 2007-06-18 | 2011-04-02 |
| 6 | UBS SECURITIES HONG KONG LIMITED | Rep | Dealing in securities | 2009-08-10 | 2011-04-02 |
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