Ashish Sharma
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ashish Sharma ( ), a licensed former licensee with CE reference ASW394. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2017-11-22 | 2018-03-03 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 4 - Advising on securities | 2017-11-22 | 2018-03-03 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2013-05-02 | 2017-11-22 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2013-05-02 | 2017-11-22 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2012-11-13 | 2013-02-28 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2012-11-13 | 2013-02-28 |
| Merrill Lynch Far East Limited | Rep | Type 4 - Advising on securities | 2012-11-13 | 2013-02-28 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | 2012-11-13 | 2013-02-28 |
| Merrill Lynch Far East Limited | Rep | Type 6 - Advising on corporate finance | 2012-11-13 | 2013-02-28 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2009-04-27 | 2013-02-28 |