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. This person has 9.5 years of SFC licence history. Total licence records on file: 9.
Information
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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 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Sumit Syal 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.