Pankaj Jain
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Pankaj Jain, a licensed Representative with CE reference AWN126. Currently licensed at 1 firm(s): J.P. Morgan Broking (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 4 - Advising on securities; Type 5 - Advising on futures contracts. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2025-07-09 | present |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2025-07-09 | present |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2025-07-09 | present |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | 2025-07-09 | present |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2020-04-17 | 2025-05-09 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2020-04-17 | 2025-05-09 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2016-07-07 | 2019-11-22 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2016-07-07 | 2019-11-22 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2014-12-10 | 2016-04-23 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2014-12-10 | 2016-04-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2011-01-04 | 2014-09-17 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2011-01-04 | 2014-09-17 |
| Merrill Lynch Far East Limited | Rep | Type 2 - Dealing in futures contracts | 2011-01-04 | 2014-09-17 |