Gupta, Puneet (SFC:AXF254)
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 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2014-08-12 | |
| 2 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | Dealing in securities | 2014-10-03 | 2016-10-10 | Rep | Dealing in futures contracts | 2016-10-11 | Rep | Dealing in securities | 2016-10-11 |
| 3 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2014-08-12 | 2016-10-10 |
| 4 | UBS DERIVATIVES HONG KONG LIMITED | Rep | Dealing in futures contracts | 2011-05-03 | 2014-06-14 |
| 5 | UBS SECURITIES ASIA LIMITED | Rep | Dealing in futures contracts | 2011-05-03 | 2014-06-14 | Rep | Dealing in securities | 2011-05-03 | 2014-06-14 |
| 6 | UBS SECURITIES HONG KONG LIMITED | Rep | Dealing in securities | 2011-05-03 | 2014-06-14 |
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