Rahul Gupta
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Rahul Gupta ( ), a licensed former licensee with CE reference AGZ998. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| LMR Partners Limited |
Rep | Type 9 — Asset management | 2019-09-03 | 2023-04-19 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2017-06-12 | 2019-06-28 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2017-06-12 | 2019-06-28 |
| Pine River Capital Management (HK) Limited | Rep | Type 9 — Asset management | 2015-09-21 | 2017-04-28 |
| Omnix Capital Limited |
Rep | Type 9 — Asset management | 2009-05-21 | 2011-03-31 |
| Nomura Securities (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2008-12-10 | 2009-04-08 |
| Nomura Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2008-12-10 | 2009-04-08 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-10-10 | 2009-04-08 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-10-10 | 2009-04-08 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-05-14 | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 — Dealing in securities | 2008-05-05 | 2008-09-29 |
| CALF Investment Advisors Limited |
RO | Type 1 — Dealing in securities | 2007-11-28 | 2008-04-18 |
| CALF Investment Advisors Limited |
RO | Type 9 — Asset management | 2007-11-28 | 2008-04-18 |
| UBS Securities Asia Limited | Rep | Type 4 — Advising on securities | 2006-05-25 | 2007-06-15 |