Ashis Kumar Sengupta
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ashis Kumar Sengupta, a licensed Representative with CE reference AUI272. Currently licensed at 1 firm(s): An Zhong (AZ) Investment Management Hong Kong Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| An Zhong (AZ) Investment Management Hong Kong Limited 安中投資管理香港有限公司 |
Rep | Type 1 — Dealing in securities | 2024-11-22 | present |
| An Zhong (AZ) Investment Management Hong Kong Limited 安中投資管理香港有限公司 |
Rep | Type 4 — Advising on securities | 2024-11-22 | present |
| CAIIS Limited | Rep | Type 1 — Dealing in securities | 2014-07-30 | 2018-02-01 |
| CAIIS Limited | Rep | Type 4 — Advising on securities | 2014-07-30 | 2018-02-01 |
| Clariden Leu Asset Management (Hong Kong) Limited 瑞士嘉來資產管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2011-11-01 | 2012-08-02 |
| Clariden Leu Asset Management (Hong Kong) Limited 瑞士嘉來資產管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2011-11-01 | 2012-08-02 |
| Julius Baer (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2009-12-11 | 2011-06-13 |
| Julius Baer (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2009-12-11 | 2011-06-13 |