Gurvinder Singh Dhaliwal
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Gurvinder Singh Dhaliwal ( ), a licensed former licensee with CE reference AML714. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2012-05-02 | 2013-09-04 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2012-05-02 | 2013-09-04 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2012-05-02 | 2013-09-04 |
| TT International (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2010-05-20 | 2012-01-10 |
| TT International (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2010-05-20 | 2012-01-10 |
| TT International (Hong Kong) Limited | Rep | Type 9 — Asset management | 2010-05-20 | 2012-01-10 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 — Dealing in securities | 2005-10-26 | 2010-03-02 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2005-10-18 | 2010-03-02 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 — Dealing in futures contracts | 2005-10-18 | 2010-03-02 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | 2005-10-18 | 2010-03-02 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 — Providing automated trading services | 2005-10-18 | 2010-03-02 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2005-09-15 | 2005-10-15 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 — Dealing in futures contracts | 2005-09-15 | 2005-10-15 |