Dhruv Piplani
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Dhruv Piplani ( ), a licensed former licensee with CE reference AOX012. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Brevan Howard (Hong Kong) Limited |
RO | Type 1 — Dealing in securities | 2014-10-09 | 2014-10-31 |
| Brevan Howard (Hong Kong) Limited |
RO | Type 9 — Asset management | 2013-12-06 | 2014-10-31 |
| Brevan Howard (Hong Kong) Limited |
Rep | Type 9 — Asset management | 2013-10-15 | 2013-12-06 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
RO | Type 1 — Dealing in securities | 2011-12-12 | 2013-06-22 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 1 — Dealing in securities | 2010-11-17 | 2011-12-12 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
RO | Type 1 — Dealing in securities | 2009-05-27 | 2013-06-22 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
RO | Type 1 — Dealing in securities | 2009-05-27 | 2010-11-17 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2009-05-27 | 2013-06-22 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 1 — Dealing in securities | 2007-05-11 | 2009-05-27 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2007-05-11 | 2009-05-27 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-05-11 | 2009-05-27 |