Ashish Malhotra
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ashish Malhotra ( ), a licensed former licensee with CE reference ADQ307. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | RO | Type 1 — Dealing in securities | 2012-12-28 | 2013-04-09 |
| Merrill Lynch Far East Limited | RO | Type 1 — Dealing in securities | 2012-12-28 | 2013-04-09 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 4 — Advising on securities | 2012-12-28 | 2013-04-09 |
| Merrill Lynch Far East Limited | RO | Type 4 — Advising on securities | 2012-12-28 | 2013-04-09 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2012-04-18 | 2012-12-28 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2012-04-18 | 2012-12-28 |
| Merrill Lynch Far East Limited | Rep | Type 4 — Advising on securities | 2012-04-18 | 2012-12-28 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | 2012-04-18 | 2013-04-09 |
| Merrill Lynch Far East Limited | Rep | Type 6 — Advising on corporate finance | 2012-04-18 | 2013-04-09 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2004-03-29 | 2012-12-28 |