Gupta, Shivang
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 | Morgan Stanley Asia Limited | Rep | Dealing in securities | 2016-08-09 | 2016-08-12 | Rep | Dealing in securities | 2016-10-28 | 2016-11-04 | Rep | Dealing in securities | 2017-05-12 | 2017-05-22 | Rep | Dealing in securities | 2017-08-08 | 2017-08-14 | Rep | Dealing in securities | 2018-07-03 | 2018-07-09 | Rep | Dealing in securities | 2018-11-23 | 2018-11-28 | Rep | Dealing in securities | 2019-11-01 | 2019-11-11 | Rep | Dealing in securities | 2022-10-28 | 2022-11-07 |
| 2 | Morgan Stanley Hong Kong Securities Limited | Rep | Dealing in futures contracts | 2016-08-09 | 2016-08-12 | Rep | Dealing in futures contracts | 2016-10-28 | 2016-11-04 | Rep | Dealing in futures contracts | 2017-05-12 | 2017-05-22 | Rep | Dealing in futures contracts | 2017-08-08 | 2017-08-14 | Rep | Dealing in futures contracts | 2018-07-03 | 2018-07-09 | Rep | Dealing in futures contracts | 2018-11-23 | 2018-11-28 | Rep | Dealing in futures contracts | 2019-11-01 | 2019-11-11 | Rep | Dealing in futures contracts | 2022-10-28 | 2022-11-07 |
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