Tathagata Guha Roy
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tathagata Guha Roy ( ), a licensed former licensee with CE reference ALN138. Total licence records on file: 20.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Aletheia Technologies Limited | Rep | Type 4 — Advising on securities | 2014-10-15 | 2014-10-16 |
| Aletheia Technologies Limited | RO | Type 4 — Advising on securities | 2014-08-22 | 2014-10-15 |
| Aletheia Technologies Limited | Rep | Type 4 — Advising on securities | 2014-04-30 | 2014-08-22 |
| Aletheia Technologies Limited | Rep | Type 5 — Advising on futures contracts | 2014-04-30 | 2014-06-10 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 4 — Advising on securities | 2011-06-15 | 2012-08-29 |
| Daiwa Institute of Research (Hong Kong) Limited 大和總研(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2011-06-15 | 2012-01-30 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 4 — Advising on securities | 2010-11-03 | 2011-01-20 |
| AT Asset Management (Asia-Pacific) Limited 聯信亞太區資產管理有限公司 |
RO | Type 9 — Asset management | 2006-10-06 | 2008-12-31 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
RO | Type 5 — Advising on futures contracts | 2005-04-04 | 2005-08-01 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
RO | Type 5 — Advising on futures contracts | 2005-04-04 | 2005-08-01 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
RO | Type 1 — Dealing in securities | 2005-01-24 | 2005-08-01 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
RO | Type 4 — Advising on securities | 2005-01-24 | 2005-08-01 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
RO | Type 4 — Advising on securities | 2005-01-24 | 2005-08-01 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
RO | Type 9 — Asset management | 2005-01-24 | 2005-07-24 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
RO | Type 9 — Asset management | 2005-01-24 | 2005-07-24 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 1 — Dealing in securities | 2004-11-30 | 2005-01-24 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 4 — Advising on securities | 2004-11-30 | 2005-01-24 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 4 — Advising on securities | 2004-11-30 | 2005-01-24 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 9 — Asset management | 2004-11-30 | 2005-01-24 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 9 — Asset management | 2004-11-30 | 2005-01-24 |