Vikram Malhotra
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Vikram Malhotra, a licensed Responsible Officer with CE reference ALC941. Currently licensed at 1 firm(s): Lugard Capital Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Lugard Capital Limited |
RO | Type 1 - Dealing in securities | 2023-03-13 | present |
| Lugard Capital Limited |
RO | Type 4 - Advising on securities | 2023-03-13 | present |
| Lugard Capital Limited |
RO | Type 9 - Asset management | 2023-03-13 | present |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2007-03-01 | 2023-03-08 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 4 - Advising on securities | 2007-03-01 | 2023-03-08 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | 2007-03-01 | 2021-02-04 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2005-03-19 | 2007-03-01 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2004-08-25 | 2007-03-01 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2004-08-25 | 2007-03-01 |