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. This person has 9.6 years of SFC licence history. Total licence records on file: 24.
Information
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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 | Pre-2003 | 2004-09-23 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | Pre-2003 | 2004-09-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | Pre-2003 | 2004-09-23 |
| Merrill Lynch Far East Limited | Rep | Type 4 - Advising on securities | Pre-2003 | 2004-09-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-09-23 |
| Merrill Lynch Far East Limited | Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-09-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 - Providing automated trading services | Pre-2003 | 2004-08-10 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 9 - Asset management | Pre-2003 | 2004-08-10 |
| Merrill Lynch Far East Limited | Rep | Type 9 - Asset management | Pre-2003 | 2004-08-10 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Kalpana Desai during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.