Shilpa Gautam
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shilpa Gautam, a licensed former licensee with CE reference AWU840. This person has 1.0 year of SFC licence history. Total licence records on file: 4.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2011-02-18 | 2012-02-01 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 - Dealing in securities | 2011-02-18 | 2012-02-01 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2011-02-18 | 2012-02-01 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2011-02-18 | 2012-02-01 |