Puri, Sumit (SFC:ASH657)

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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 Citigroup Global Markets Asia Limited Rep Dealing in securities 2009-01-30 2011-03-16
Rep Dealing in futures contracts 2014-07-30 2016-01-16
Rep Dealing in securities 2014-07-30 2016-01-16
2 CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED Rep Dealing in futures contracts 2009-01-30 2011-03-16
Rep Dealing in securities 2009-01-30 2011-03-16
3 GOLDMAN SACHS (ASIA) L.L.C. Rep Asset management 2011-04-20 2014-03-26
Rep Dealing in securities 2011-04-20 2014-03-26
4 GOLDMAN SACHS FUTURES (ASIA) LIMITED Rep Dealing in futures contracts 2012-04-24 2014-03-26

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