Puri, Sumeet (SFC:AFX929)
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 | Merrill Lynch (Asia Pacific) Limited | Rep | Asset management | 2005-01-25 | Rep | Automated trading services | 2005-03-23 | Rep | Advising on corporate finance | 2007-06-30 | Rep | Advising on securities | 2007-06-30 | Rep | Dealing in securities | 2007-06-30 |
| 2 | Merrill Lynch Far East Limited | Rep | Advising on corporate finance | 2005-05-19 | 2007-06-30 | Rep | Advising on securities | 2005-05-19 | 2007-06-30 | Rep | Dealing in securities | 2005-05-19 | 2007-06-30 |
| 3 | Morgan Stanley Asia Limited | Rep | Advising on corporate finance | 2007-09-19 | 2009-11-05 | Rep | Dealing in securities | 2007-09-19 | 2009-11-05 |
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