Guha Roy, Tathagata
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 | ALETHEIA TECHNOLOGIES LIMITED | Rep | Advising on futures contracts | 2014-04-30 | 2014-06-10 | Rep | Advising on securities | 2014-04-30 | 2014-08-22 | RO | Advising on securities | 2014-08-22 | 2014-10-15 | Rep | Advising on securities | 2014-10-15 | 2014-10-16 |
| 2 | AT Asset Management (Asia-Pacific) Limited | RO | Asset management | 2006-10-06 | 2008-12-31 |
| 3 | Daiwa Capital Markets Hong Kong Limited | Rep | Advising on securities | 2011-06-15 | 2012-08-29 |
| 4 | DAIWA INSTITUTE OF RESEARCH (HONG KONG) LIMITED | Rep | Advising on securities | 2011-06-15 | 2012-01-30 |
| 5 | Everbright Securities Investment Services (HK) Limited | Rep | Advising on securities | 2010-11-03 | 2011-01-20 |
| 6 | Legg Mason Asset Management Hong Kong Limited | Rep | Advising on securities | 2004-11-30 | 2005-01-24 | Rep | Asset management | 2004-11-30 | 2005-01-24 | RO | Asset management | 2005-01-24 | 2005-07-24 | RO | Advising on securities | 2005-01-24 | 2005-08-01 | RO | Advising on futures contracts | 2005-04-04 | 2005-08-01 |
| 7 | Legg Mason International Equities (Hong Kong) Limited | Rep | Advising on securities | 2004-11-30 | 2005-01-24 | Rep | Asset management | 2004-11-30 | 2005-01-24 | Rep | Dealing in securities | 2004-11-30 | 2005-01-24 | RO | Asset management | 2005-01-24 | 2005-07-24 | RO | Advising on securities | 2005-01-24 | 2005-08-01 | RO | Dealing in securities | 2005-01-24 | 2005-08-01 | RO | Advising on futures contracts | 2005-04-04 | 2005-08-01 |
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