Gupta, Sachin (SFC:AOC936)
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 | LEHMAN BROTHERS ASIA LIMITED | Rep | Dealing in securities | 2008-08-15 | 2008-09-29 | Rep | Advising on securities | 2008-08-25 | 2008-09-29 |
| 2 | Morgan Stanley Asia Limited | Rep | Dealing in securities | 2006-11-08 | 2008-05-08 |
| 3 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Advising on securities | 2009-02-16 | 2016-08-25 |
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