Parth Arya
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Parth Arya ( ), a licensed former licensee with CE reference APS569. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2017-12-13 | 2021-03-03 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2017-12-13 | 2021-03-03 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2017-12-13 | 2021-03-03 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2007-10-02 | 2012-01-01 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2007-10-02 | 2012-01-01 |