Gupta, Rahul (SFC:AGZ998)
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | CALF Investment Advisors Limited | RO | Asset management | 2007-11-28 | 2008-04-18 | RO | Dealing in securities | 2007-11-28 | 2008-04-18 |
| 2 | LEHMAN BROTHERS ASIA LIMITED | Rep | Dealing in securities | 2008-05-05 | 2008-09-29 | Rep | Dealing in futures contracts | 2008-05-14 | 2008-09-29 |
| 3 | LMR Partners Limited | Rep | Asset management | 2019-09-03 | 2023-04-19 |
| 4 | Nomura Asia Investment (Hong Kong) Limited | Rep | Dealing in futures contracts | 2008-12-10 | 2009-04-08 |
| 5 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2008-10-10 | 2009-04-08 | Rep | Dealing in securities | 2008-10-10 | 2009-04-08 | Rep | Advising on securities | 2017-06-12 | 2019-06-28 | Rep | Dealing in securities | 2017-06-12 | 2019-06-28 |
| 6 | NOMURA SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2008-12-10 | 2009-04-08 |
| 7 | OMNIX CAPITAL LIMITED | Rep | Asset management | 2009-05-21 | 2011-03-31 |
| 8 | PINE RIVER CAPITAL MANAGEMENT (HK) LIMITED | Rep | Asset management | 2015-09-21 | 2017-04-28 |
| 9 | UBS SECURITIES ASIA LIMITED | Rep | Advising on securities | 2006-05-25 | 2007-06-15 |
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