Ghosh, Tvishampati
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 | BARCLAYS CAPITAL ASIA LIMITED | Rep | Dealing in futures contracts | 2007-08-17 | 2011-03-30 | Rep | Dealing in securities | 2007-08-17 | 2011-03-30 |
| 2 | Credit Suisse (Hong Kong) Limited | Rep | Dealing in futures contracts | 2014-08-04 | 2016-10-26 | Rep | Dealing in securities | 2014-08-04 | 2016-10-26 | RO | Dealing in futures contracts | 2016-10-26 | 2017-07-18 | RO | Dealing in securities | 2016-10-26 | 2017-07-18 |
| 3 | Credit Suisse Securities (Hong Kong) Limited | Rep | Dealing in securities | 2014-08-04 | 2016-10-26 | RO | Dealing in securities | 2016-10-26 | 2017-07-18 |
| 4 | Merrill Lynch (Asia Pacific) Limited | Rep | Dealing in securities | 2011-05-20 | 2014-05-22 |
| 5 | Merrill Lynch Far East Limited | Rep | Dealing in futures contracts | 2011-05-20 | 2014-05-22 | Rep | Dealing in securities | 2011-05-20 | 2014-05-22 |
| 6 | MILLENNIUM CAPITAL MANAGEMENT (HONG KONG) LIMITED | Rep | Asset management | 2017-11-27 | 2019-11-29 |
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