Ghosh, Soujit
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 | BEAR STEARNS ASIA LIMITED | Rep | Dealing in futures contracts | 2007-01-02 | 2008-11-25 | Rep | Dealing in securities | 2007-01-02 | 2008-11-25 |
| 2 | HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2018-12-14 | 2020-05-22 |
| 3 | HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Advising on securities | 2018-12-14 | 2020-05-22 | Rep | Dealing in securities | 2018-12-14 | 2020-05-22 |
| 4 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2008-06-05 | 2008-11-25 | Rep | Dealing in securities | 2008-06-05 | 2008-11-25 | Rep | Advising on futures contracts | 2008-06-24 | 2008-11-25 | Rep | Advising on securities | 2008-06-24 | 2008-11-25 |
| 5 | Nomura Asia Investment (Hong Kong) Limited | Rep | Dealing in futures contracts | 2009-12-09 | 2010-02-19 |
| 6 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2009-12-09 | 2011-11-12 | Rep | Dealing in securities | 2009-12-09 | 2011-11-12 |
| 7 | NOMURA SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2009-12-09 | 2011-11-12 | Rep | Dealing in futures contracts | 2010-02-02 | 2011-11-12 |
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