Deepak Joshi
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Deepak Joshi ( ), a licensed former licensee with CE reference AZI921. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2018-09-10 | 2020-08-03 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2018-09-10 | 2020-08-03 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2017-06-01 | 2017-06-09 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2017-06-01 | 2017-06-09 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2017-06-01 | 2017-06-09 |
| UBS Securities Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | 2017-06-01 | 2017-06-09 |
| UBS Derivatives Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | 2014-03-05 | 2016-05-20 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2012-04-23 | 2016-05-20 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2012-04-23 | 2016-05-20 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2012-04-23 | 2016-05-20 |