Rawat, Abhishek (SFC:ALQ696)

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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 CHINA MERCHANTS SECURITIES (HK) CO., LIMITED Rep Dealing in securities 2014-12-16 2018-12-10
Rep Asset management 2015-01-26 2018-12-10
Rep Advising on securities 2016-10-04 2018-12-10
2 Credit Suisse (Hong Kong) Limited Rep Dealing in securities 2008-07-14 2012-08-21
Rep Automated trading services 2008-11-07 2012-08-21
Rep Dealing in futures contracts 2008-11-07 2012-08-21
3 Credit Suisse Futures (Hong Kong) Limited Rep Automated trading services 2008-07-14 2008-11-24
Rep Dealing in futures contracts 2008-07-14 2008-11-24
4 HONG KONG ASSET MANAGEMENT LIMITED Rep Advising on securities 2019-05-02 2019-06-13
Rep Asset management 2019-05-02 2019-06-13
Rep Dealing in securities 2019-05-02 2019-06-13
RO Advising on securities 2019-06-13 2023-01-20
RO Asset management 2019-06-13 2023-01-20
RO Dealing in securities 2019-06-13 2023-01-20
Rep Advising on securities 2023-01-20 2023-12-31
Rep Asset management 2023-01-20 2023-12-31
Rep Dealing in securities 2023-01-20 2023-12-31
5 J.P. MORGAN BROKING (HONG KONG) LIMITED Rep Advising on securities 2005-06-17 2007-06-09
Rep Dealing in securities 2005-06-17 2007-06-09
6 LEHMAN BROTHERS ASIA LIMITED Rep Advising on securities 2005-01-20 2005-03-24
7 Morgan Stanley Asia Limited Rep Dealing in securities 2007-07-13 2008-04-21
8 Morgan Stanley Hong Kong Futures Limited Rep Dealing in futures contracts 2007-08-15 2008-04-21
9 orientiert International Markets Limited Rep Dealing in securities 2013-09-25 2014-11-25

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