Sanjiv Duggal
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sanjiv Duggal ( ), a licensed former licensee with CE reference APW681. Total licence records on file: 34.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2024-05-24 | 2024-06-07 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2024-05-24 | 2024-06-07 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2024-05-24 | 2024-06-07 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2024-05-24 | 2024-06-07 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2017-03-23 | 2023-08-14 |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2017-03-23 | 2023-08-14 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2017-03-23 | 2023-08-14 |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2017-03-23 | 2023-08-14 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2017-03-23 | 2023-08-14 |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2017-03-23 | 2023-08-14 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 9 — Asset management | 2017-03-23 | 2023-08-14 |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 9 — Asset management | 2017-03-23 | 2023-08-14 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2013-06-25 | 2017-03-23 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2013-06-25 | 2017-03-23 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2013-06-25 | 2023-08-14 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2013-06-25 | 2017-03-23 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2013-06-25 | 2017-03-23 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2013-06-25 | 2017-03-23 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2013-06-25 | 2017-03-23 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2013-06-25 | 2017-03-23 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 9 — Asset management | 2013-06-25 | 2017-03-23 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2013-03-18 | 2013-03-31 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2013-03-18 | 2013-03-31 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2013-01-25 | 2013-02-08 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2013-01-25 | 2013-02-08 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2012-09-10 | 2012-09-24 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2012-09-10 | 2012-09-24 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2010-09-07 | 2010-09-21 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2010-09-07 | 2010-09-21 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2010-09-07 | 2010-09-21 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2009-08-31 | 2009-10-31 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2009-08-31 | 2009-10-31 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2009-08-31 | 2009-10-31 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2007-10-25 | 2007-11-01 |