Abhinav Gorawara
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Abhinav Gorawara ( ), a licensed former licensee with CE reference AHR316. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
RO | Type 1 — Dealing in securities | 2011-08-22 | 2012-04-06 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-07-25 | 2011-08-22 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2007-01-26 | 2010-07-21 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2005-04-01 | 2010-07-21 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2005-03-15 | 2010-07-21 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2003-10-20 | 2005-02-22 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2003-10-20 | 2005-02-22 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-09-17 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-09-17 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-09-17 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-09-17 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2003-09-17 |