Karan Soni
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Karan Soni ( ), a licensed former licensee with CE reference AXD895. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 - Dealing in securities | 2013-07-19 | 2014-02-07 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 6 - Advising on corporate finance | 2013-07-19 | 2014-02-07 |
| Macquarie Corporate (Hong Kong) Limited | Rep | Type 6 - Advising on corporate finance | 2013-07-19 | 2014-02-07 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2011-04-18 | 2013-06-08 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2011-04-18 | 2013-06-08 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2011-04-18 | 2013-06-08 |