Ashutosh Gupta
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ashutosh Gupta, a licensed former licensee with CE reference AJE577. This person has 6.5 years of SFC licence history. Total licence records on file: 4.
Information
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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 | 2009-12-30 | 2010-06-08 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2009-12-30 | 2010-06-08 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2008-10-10 | 2010-06-08 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 - Dealing in securities | 2003-11-26 | 2008-09-29 |