Anupom Hazarika
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Anupom Hazarika ( ), a licensed former licensee with CE reference AWY734. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2021-10-11 | 2022-09-19 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2015-04-30 | 2021-07-16 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 - Dealing in securities | 2015-04-30 | 2021-07-16 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2015-04-30 | 2021-07-16 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 7 - Providing automated trading services | 2015-04-30 | 2021-07-16 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 1 - Dealing in securities | 2013-05-15 | 2015-03-18 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 - Advising on securities | 2013-05-15 | 2015-03-18 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2011-03-10 | 2015-03-18 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 1 - Dealing in securities | 2011-03-10 | 2012-05-23 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2011-03-10 | 2015-03-18 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2011-03-10 | 2015-03-18 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 - Advising on securities | 2011-03-10 | 2012-05-23 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | 2011-03-10 | 2015-03-18 |