Puri, Sumit (SFC:ASH657)
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 |
| 2 | CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Dealing in futures contracts | 2009-01-30 | 2011-03-16 |
| 3 | CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Dealing in securities | 2009-01-30 | 2011-03-16 |
| 4 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Asset management | 2011-04-20 | 2014-03-26 |
| 5 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2011-04-20 | 2014-03-26 |
| 6 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2012-04-24 | 2014-03-26 |
| 7 | Citigroup Global Markets Asia Limited | Rep | Dealing in futures contracts | 2014-07-30 | 2016-01-16 |
| 8 | Citigroup Global Markets Asia Limited | Rep | Dealing in securities | 2014-07-30 | 2016-01-16 |
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