Charanjit Singh Arora
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Charanjit Singh Arora ( ), a licensed former licensee with CE reference AEQ414. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch Far East Limited | RO | Type 7 — Providing automated trading services | 2016-10-20 | 2017-12-05 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2010-08-20 | 2017-12-05 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 1 — Dealing in securities | 2005-05-27 | 2017-12-05 |
| Merrill Lynch Far East Limited | RO | Type 1 — Dealing in securities | 2005-05-27 | 2017-12-05 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2005-05-03 | 2005-05-27 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2005-05-03 | 2010-08-20 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | present | 2005-05-27 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | present | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | present | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 — Providing automated trading services | present | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 9 — Asset management | present | 2005-01-25 |