Lalita Raman
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lalita Raman ( ), a licensed former licensee with CE reference AEQ060. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2009-07-24 | 2012-01-09 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2007-08-15 | 2009-07-06 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2007-08-15 | 2009-07-06 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | 2007-08-15 | 2009-07-06 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2007-08-01 | 2009-07-06 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2004-11-18 | 2007-07-16 |
| MIB Securities (Hong Kong) Limited 馬銀證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2003-07-23 | 2004-02-24 |
| MIB Futures (Hong Kong) Limited 馬銀期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2003-07-23 | 2004-02-24 |