Sharma, Rohit (SFC:BAW704)
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 | Capstone Investment Advisors (HK) Limited | Rep | Asset management | 2022-08-12 | |
| 2 | CGS International Securities Hong Kong Limited | Rep | Advising on securities | 2013-02-18 | 2015-12-01 | Rep | Dealing in securities | 2015-07-10 | 2015-12-01 |
| 3 | CLSA LIMITED | Rep | Dealing in securities | 2015-12-08 | 2022-06-24 |
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