Abhishek Rawat
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Abhishek Rawat ( ), a licensed former licensee with CE reference ALQ696. Total licence records on file: 23.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Hong Kong Asset Management Limited 香港資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2023-01-20 | 2023-12-31 |
| Hong Kong Asset Management Limited 香港資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2023-01-20 | 2023-12-31 |
| Hong Kong Asset Management Limited 香港資產管理有限公司 |
Rep | Type 9 — Asset management | 2023-01-20 | 2023-12-31 |
| Hong Kong Asset Management Limited 香港資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2019-06-13 | 2023-01-20 |
| Hong Kong Asset Management Limited 香港資產管理有限公司 |
RO | Type 4 — Advising on securities | 2019-06-13 | 2023-01-20 |
| Hong Kong Asset Management Limited 香港資產管理有限公司 |
RO | Type 9 — Asset management | 2019-06-13 | 2023-01-20 |
| Hong Kong Asset Management Limited 香港資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2019-05-02 | 2019-06-13 |
| Hong Kong Asset Management Limited 香港資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2019-05-02 | 2019-06-13 |
| Hong Kong Asset Management Limited 香港資產管理有限公司 |
Rep | Type 9 — Asset management | 2019-05-02 | 2019-06-13 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2016-10-04 | 2018-12-10 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 9 — Asset management | 2015-01-26 | 2018-12-10 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2014-12-16 | 2018-12-10 |
| orientiert International Markets Limited | Rep | Type 1 — Dealing in securities | 2013-09-25 | 2014-11-25 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-11-07 | 2012-08-21 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | 2008-11-07 | 2012-08-21 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-07-14 | 2012-08-21 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2008-07-14 | 2008-11-24 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Type 7 — Providing automated trading services | 2008-07-14 | 2008-11-24 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 — Dealing in futures contracts | 2007-08-15 | 2008-04-21 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2007-07-13 | 2008-04-21 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2005-06-17 | 2007-06-09 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2005-06-17 | 2007-06-09 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 4 — Advising on securities | 2005-01-20 | 2005-03-24 |