Anupom Hazarika

CE No. AWY734 Ceased

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

FirmRoleRegulated activityFromTo
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

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