Kalpana Desai
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kalpana Desai ( ), a licensed former licensee with CE reference ADZ437. Total licence records on file: 24.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 — Dealing in securities | 2013-03-19 | 2013-04-23 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 6 — Advising on corporate finance | 2013-03-19 | 2013-04-23 |
| Macquarie Corporate (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | 2013-03-19 | 2013-04-23 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
RO | Type 1 — Dealing in securities | 2010-06-03 | 2013-03-19 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
RO | Type 6 — Advising on corporate finance | 2010-06-03 | 2013-03-19 |
| Macquarie Corporate (Hong Kong) Limited | RO | Type 6 — Advising on corporate finance | 2010-06-03 | 2013-03-19 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 — Dealing in securities | 2009-10-29 | 2010-06-03 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 6 — Advising on corporate finance | 2009-10-29 | 2010-06-03 |
| Macquarie Corporate (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | 2009-10-29 | 2010-06-03 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 1 — Dealing in securities | 2004-09-23 | 2009-05-25 |
| Merrill Lynch Far East Limited | RO | Type 1 — Dealing in securities | 2004-09-23 | 2009-05-25 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 4 — Advising on securities | 2004-09-23 | 2009-05-25 |
| Merrill Lynch Far East Limited | RO | Type 4 — Advising on securities | 2004-09-23 | 2009-05-25 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 6 — Advising on corporate finance | 2004-09-23 | 2009-05-25 |
| Merrill Lynch Far East Limited | RO | Type 6 — Advising on corporate finance | 2004-09-23 | 2009-05-25 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | present | 2004-09-23 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | present | 2004-09-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | present | 2004-09-23 |
| Merrill Lynch Far East Limited | Rep | Type 4 — Advising on securities | present | 2004-09-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | present | 2004-09-23 |
| Merrill Lynch Far East Limited | Rep | Type 6 — Advising on corporate finance | present | 2004-09-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 — Providing automated trading services | present | 2004-08-10 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 9 — Asset management | present | 2004-08-10 |
| Merrill Lynch Far East Limited | Rep | Type 9 — Asset management | present | 2004-08-10 |