Karan Dharam Wadhera
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Karan Dharam Wadhera ( ), a licensed former licensee with CE reference ANH727. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Instinet Pacific Limited 極訊亞太有限公司 |
Rep | Type 1 - Dealing in securities | 2013-06-17 | 2015-02-14 |
| Instinet Pacific Limited 極訊亞太有限公司 |
Rep | Type 4 - Advising on securities | 2013-06-17 | 2015-02-14 |
| Instinet Pacific Limited 極訊亞太有限公司 |
Rep | Type 7 - Providing automated trading services | 2013-06-17 | 2015-02-14 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2010-01-07 | 2013-06-16 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2010-01-07 | 2013-06-16 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2006-10-23 | 2008-04-26 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2006-04-28 | 2008-04-26 |