Puneet Gupta
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Puneet Gupta, a licensed former licensee with CE reference AXF254. This person has 14.2 years of SFC licence history. Total licence records on file: 9.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 1 - Dealing in securities | 2016-10-11 | 2025-09-16 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2016-10-11 | 2025-09-16 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 1 - Dealing in securities | 2014-10-03 | 2016-10-10 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2014-08-12 | 2025-09-16 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2014-08-12 | 2016-10-10 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2011-05-03 | 2014-06-14 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2011-05-03 | 2014-06-14 |
| UBS Derivatives Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | 2011-05-03 | 2014-06-14 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2011-05-03 | 2014-06-14 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Puneet Gupta during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.