Dhaliwal, Gurvinder Singh (SFC:AML714)
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 | Dealing in securities | 2012-05-02 | 2013-09-04 |
| 2 | Merrill Lynch Far East Limited | Rep | Dealing in futures contracts | 2012-05-02 | 2013-09-04 | Rep | Dealing in securities | 2012-05-02 | 2013-09-04 |
| 3 | Morgan Stanley Asia Limited | Rep | Dealing in securities | 2005-09-15 | 2005-10-15 | Rep | Automated trading services | 2005-10-18 | 2010-03-02 | Rep | Dealing in securities | 2005-10-18 | 2010-03-02 |
| 4 | Morgan Stanley Hong Kong Futures Limited | Rep | Dealing in futures contracts | 2005-09-15 | 2005-10-15 | Rep | Automated trading services | 2005-10-18 | 2010-03-02 | Rep | Dealing in futures contracts | 2005-10-18 | 2010-03-02 |
| 5 | Morgan Stanley Hong Kong Securities Limited | Rep | Dealing in securities | 2005-10-26 | 2010-03-02 |
| 6 | TT INTERNATIONAL (HONG KONG) LIMITED | Rep | Asset management | 2010-05-20 | 2012-01-10 | Rep | Dealing in futures contracts | 2010-05-20 | 2012-01-10 | Rep | Dealing in securities | 2010-05-20 | 2012-01-10 |
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