Puneet Gupta
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Puneet Gupta ( ), a licensed former licensee with CE reference AXF254. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 1 — Dealing in securities | 2016-10-11 | 2025-09-16 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2016-10-11 | 2025-09-16 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 1 — Dealing in securities | 2014-10-03 | 2016-10-10 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2014-08-12 | 2025-09-16 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2014-08-12 | 2016-10-10 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2011-05-03 | 2014-06-14 |
| UBS Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2011-05-03 | 2014-06-14 |
| UBS Derivatives Hong Kong Limited | Rep | Type 2 — Dealing in futures contracts | 2011-05-03 | 2014-06-14 |
| UBS Securities Asia Limited | Rep | Type 2 — Dealing in futures contracts | 2011-05-03 | 2014-06-14 |