Swati Chopra
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Swati Chopra ( ), a licensed former licensee with CE reference BAW702. Total licence records on file: 17.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2018-09-21 | 2018-10-12 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2018-01-26 | 2018-02-02 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2018-01-26 | 2018-02-02 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2017-04-13 | 2017-04-21 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2017-04-13 | 2017-04-21 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2016-01-25 | 2016-01-26 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2016-01-25 | 2016-01-26 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2015-06-24 | 2015-06-26 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2015-06-24 | 2015-06-26 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2015-01-22 | 2015-01-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2015-01-22 | 2015-01-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2014-09-10 | 2014-09-11 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2014-09-10 | 2014-09-11 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2013-08-26 | 2013-08-27 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2013-08-26 | 2013-08-27 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2013-02-20 | 2013-02-22 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2013-02-20 | 2013-02-22 |