Sumit Syal
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sumit Syal ( ), a licensed former licensee with CE reference AXL025. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nuvama Investment Advisors (Hongkong) Private Limited |
RO | Type 1 — Dealing in securities | 2020-12-14 | 2023-11-30 |
| Nuvama Investment Advisors (Hongkong) Private Limited |
RO | Type 2 — Dealing in futures contracts | 2020-12-14 | 2023-11-30 |
| Nuvama Investment Advisors (Hongkong) Private Limited |
RO | Type 4 — Advising on securities | 2020-12-14 | 2023-11-30 |
| Nuvama Investment Advisors (Hongkong) Private Limited |
RO | Type 5 — Advising on futures contracts | 2020-12-14 | 2023-11-30 |
| Nuvama Investment Advisors (Hongkong) Private Limited |
Rep | Type 1 — Dealing in securities | 2020-05-15 | 2020-12-14 |
| Nuvama Investment Advisors (Hongkong) Private Limited |
Rep | Type 2 — Dealing in futures contracts | 2020-05-15 | 2020-12-14 |
| Nuvama Investment Advisors (Hongkong) Private Limited |
Rep | Type 4 — Advising on securities | 2020-05-15 | 2020-12-14 |
| Nuvama Investment Advisors (Hongkong) Private Limited |
Rep | Type 5 — Advising on futures contracts | 2020-05-15 | 2020-12-14 |
| Religare Capital Markets (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2011-06-16 | 2017-06-02 |