Neal James Shyam Sarwal
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Neal James Shyam Sarwal, a licensed Representative with CE reference AXV308. Currently licensed at 2 firm(s): Goldman Sachs (Asia) Securities Limited, Goldman Sachs (Asia) L.L.C.. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts. Total licence records on file: 5.
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 2 - Dealing in futures contracts | 2016-10-11 | present |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2015-08-13 | present |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2015-08-13 | 2016-10-10 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2011-08-22 | 2015-06-16 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 5 - Advising on futures contracts | 2011-08-22 | 2015-06-16 |