Sanjay Kumar Mookim
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sanjay Kumar Mookim ( ), a licensed former licensee with CE reference AUW976. Total licence records on file: 22.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2020-01-17 | 2020-01-24 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2019-07-26 | 2019-08-06 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2019-02-25 | 2019-03-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2018-11-27 | 2018-12-06 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2018-05-18 | 2018-05-29 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2018-01-19 | 2018-01-26 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2018-01-19 | 2018-01-26 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2017-10-20 | 2017-10-27 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2017-10-20 | 2017-10-27 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2017-06-20 | 2017-06-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2017-06-20 | 2017-06-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2017-01-24 | 2017-01-27 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2017-01-24 | 2017-01-27 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2016-09-22 | 2016-09-28 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2016-09-22 | 2016-09-28 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2016-04-13 | 2016-04-15 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2016-04-13 | 2016-04-15 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2015-12-09 | 2015-12-11 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2015-12-09 | 2015-12-11 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2011-02-22 | 2015-05-30 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2010-08-04 | 2010-09-04 |
| 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 |