Sumeet Puri
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sumeet Puri ( ), a licensed former licensee with CE reference AFX929. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2007-09-19 | 2009-11-05 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2007-09-19 | 2009-11-05 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2005-05-19 | 2007-06-30 |
| Merrill Lynch Far East Limited | Rep | Type 4 - Advising on securities | 2005-05-19 | 2007-06-30 |
| Merrill Lynch Far East Limited | Rep | Type 6 - Advising on corporate finance | 2005-05-19 | 2007-06-30 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | present | 2007-06-30 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | present | 2007-06-30 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | present | 2007-06-30 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 - Providing automated trading services | present | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 9 - Asset management | present | 2005-01-25 |