Shivam Gupta
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shivam Gupta, CE reference APC574. Currently licensed at 1 firm(s): Millennium Capital Management (Hong Kong) Limited. Total licence records on file: 15.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Millennium Capital Management (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2025-11-10 | present |
| Millennium Capital Management (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2025-11-10 | present |
| Millennium Capital Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2023-10-30 | 2025-11-10 |
| Millennium Capital Management (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2023-10-30 | 2025-11-10 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2017-12-20 | 2023-08-04 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2017-12-20 | 2023-08-04 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2014-03-31 | 2017-03-07 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-10-12 | 2023-08-04 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-06-17 | 2017-12-20 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2011-06-17 | 2017-12-20 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | 2011-06-17 | 2013-11-01 |
| UBS Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2009-08-10 | 2011-04-02 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2007-06-18 | 2011-04-02 |
| UBS Derivatives Hong Kong Limited | Rep | Type 2 — Dealing in futures contracts | 2007-06-18 | 2011-04-02 |
| UBS Securities Asia Limited | Rep | Type 2 — Dealing in futures contracts | 2007-06-18 | 2011-04-02 |