Duggal, Sanjiv
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 | Halbis Capital Management (Hong Kong) Limited | Rep | Dealing in securities | 2009-08-31 | 2009-10-31 | Rep | Dealing in securities | 2010-09-07 | 2010-09-21 |
2 | HSBC Global Asset Management (Hong Kong) Limited | Rep | Dealing in securities | 2009-08-31 | 2009-10-31 | Rep | Dealing in securities | 2010-09-07 | 2010-09-21 | Rep | Dealing in securities | 2012-09-10 | 2012-09-24 | Rep | Dealing in securities | 2013-01-25 | 2013-02-08 | Rep | Dealing in securities | 2013-03-18 | 2013-03-31 | Rep | Advising on futures contracts | 2013-06-25 | 2017-03-23 | Rep | Advising on securities | 2013-06-25 | 2017-03-23 | Rep | Asset management | 2013-06-25 | 2017-03-23 | Rep | Dealing in securities | 2013-06-25 | 2017-03-23 | Rep | Dealing in futures contracts | 2013-06-25 | 2023-08-14 | RO | Advising on futures contracts | 2017-03-23 | 2023-08-14 | RO | Advising on securities | 2017-03-23 | 2023-08-14 | RO | Asset management | 2017-03-23 | 2023-08-14 | RO | Dealing in securities | 2017-03-23 | 2023-08-14 | Rep | Advising on securities | 2024-05-24 | 2024-06-07 | Rep | Dealing in securities | 2024-05-24 | 2024-06-07 |
3 | HSBC INVESTMENT FUNDS (HONG KONG) LIMITED | Rep | Dealing in securities | 2007-10-25 | 2007-11-01 | Rep | Dealing in securities | 2009-08-31 | 2009-10-31 | Rep | Dealing in securities | 2010-09-07 | 2010-09-21 | Rep | Dealing in securities | 2012-09-10 | 2012-09-24 | Rep | Dealing in securities | 2013-01-25 | 2013-02-08 | Rep | Dealing in securities | 2013-03-18 | 2013-03-31 | Rep | Advising on futures contracts | 2013-06-25 | 2017-03-23 | Rep | Advising on securities | 2013-06-25 | 2017-03-23 | Rep | Asset management | 2013-06-25 | 2017-03-23 | Rep | Dealing in securities | 2013-06-25 | 2017-03-23 | RO | Advising on futures contracts | 2017-03-23 | 2023-08-14 | RO | Advising on securities | 2017-03-23 | 2023-08-14 | RO | Asset management | 2017-03-23 | 2023-08-14 | RO | Dealing in securities | 2017-03-23 | 2023-08-14 | Rep | Advising on securities | 2024-05-24 | 2024-06-07 | Rep | Dealing in securities | 2024-05-24 | 2024-06-07 |
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