Rawat, Abhishek (SFC:ALQ696)
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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