Anand Swaminathan
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Anand Swaminathan ( ), a licensed former licensee with CE reference AUW975. Total licence records on file: 31.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2025-11-07 | 2025-11-14 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2025-09-05 | 2025-09-12 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2025-08-01 | 2025-08-08 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2025-06-13 | 2025-06-20 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2025-02-28 | 2025-03-07 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2024-10-04 | 2024-10-11 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2024-06-07 | 2024-06-14 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2024-01-30 | 2024-02-02 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2024-01-12 | 2024-01-19 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2023-06-30 | 2023-07-07 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2023-01-13 | 2023-01-20 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2022-11-25 | 2022-12-02 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2020-01-10 | 2020-01-17 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2019-08-05 | 2019-08-14 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2019-02-08 | 2019-02-22 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2018-11-16 | 2018-11-22 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2018-09-11 | 2018-09-13 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2018-05-11 | 2018-05-15 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2018-01-11 | 2018-01-17 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2018-01-11 | 2018-01-17 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2017-09-14 | 2017-09-20 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2017-09-14 | 2017-09-20 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2017-05-19 | 2017-05-24 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2017-05-19 | 2017-05-24 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2017-02-07 | 2017-02-09 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2017-02-07 | 2017-02-09 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2016-11-21 | 2016-11-26 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2016-11-21 | 2016-11-26 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2016-09-13 | 2016-09-15 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2016-09-13 | 2016-09-15 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2010-03-19 | 2010-04-19 |