Gautam Saxena
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Gautam Saxena ( ), a licensed former licensee with CE reference AJC402. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2015-11-20 | 2015-12-11 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2015-11-20 | 2015-12-11 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2015-11-20 | 2015-12-11 |
| Merrill Lynch Far East Limited | Rep | Type 4 - Advising on securities | 2015-11-20 | 2015-12-11 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | 2015-11-20 | 2015-12-11 |
| Merrill Lynch Far East Limited | Rep | Type 6 - Advising on corporate finance | 2015-11-20 | 2015-12-11 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2003-07-29 | 2005-05-10 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2003-07-29 | 2005-05-10 |