Gautam Sareen
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Gautam Sareen, a licensed Representative with CE reference ASF060. Currently licensed at 1 firm(s): J.P. Morgan Securities (Far East) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 6 — Advising on corporate finance. Total licence records on file: 9.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Advising on corporate finance →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities (Far East) Limited | Rep | Type 1 — Dealing in securities | 2022-07-11 | present |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 — Advising on securities | 2022-07-11 | present |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 6 — Advising on corporate finance | 2022-07-11 | present |
| Nan Fung Trinity (HK) Limited | Rep | Type 1 — Dealing in securities | 2021-12-08 | 2022-05-31 |
| Nan Fung Trinity (HK) Limited | Rep | Type 4 — Advising on securities | 2021-12-08 | 2022-05-31 |
| Nan Fung Trinity (HK) Limited | Rep | Type 9 — Asset management | 2021-12-08 | 2022-05-31 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 — Dealing in securities | 2009-01-02 | 2015-04-17 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 6 — Advising on corporate finance | 2009-01-02 | 2015-04-17 |
| Macquarie Corporate (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | 2009-01-02 | 2015-04-17 |