Ajay Gupta
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ajay Gupta ( ), a licensed former licensee with CE reference AIR435. Total licence records on file: 18.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2014-02-14 | 2014-12-06 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | 2014-02-14 | 2014-12-06 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2014-02-14 | 2014-12-06 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2014-02-14 | 2014-12-06 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2013-08-26 | 2014-02-14 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-08-26 | 2014-02-14 |
| Merrill Lynch Far East Limited | RO | Type 2 — Dealing in futures contracts | 2010-08-27 | 2013-05-25 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 1 — Dealing in securities | 2010-08-06 | 2013-05-25 |
| Merrill Lynch Far East Limited | RO | Type 1 — Dealing in securities | 2010-08-06 | 2013-05-25 |
| Merrill Lynch Futures (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2010-08-06 | 2010-12-31 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2008-08-19 | 2010-08-06 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2008-08-19 | 2010-08-06 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2008-08-19 | 2010-08-06 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | present | 2004-02-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | present | 2004-02-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | present | 2004-02-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 — Providing automated trading services | present | 2004-02-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 9 — Asset management | present | 2004-02-01 |