Kiran Dhirajlal Shah
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kiran Dhirajlal Shah ( ), a licensed former licensee with CE reference AWC345. Total licence records on file: 17.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2015-09-29 | 2016-01-29 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2015-09-29 | 2016-01-29 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2014-09-25 | 2015-06-29 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2014-09-25 | 2015-06-29 |
| J.P. Morgan Securities (Far East) Limited | RO | Type 1 — Dealing in securities | 2013-02-18 | 2015-06-29 |
| J.P. Morgan Securities (Far East) Limited | RO | Type 4 — Advising on securities | 2013-02-18 | 2015-06-29 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 7 — Providing automated trading services | 2012-08-07 | 2015-06-29 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2012-05-08 | 2014-09-25 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2012-05-08 | 2014-09-25 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2011-11-10 | 2015-06-29 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2011-11-10 | 2012-05-08 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2011-11-10 | 2015-06-29 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2011-11-10 | 2012-05-08 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2010-10-22 | 2011-11-10 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2010-10-22 | 2011-11-10 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2010-10-22 | 2011-11-10 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2010-10-22 | 2011-11-10 |