Sumeet Kumar Bhalla
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sumeet Kumar Bhalla ( ), a licensed former licensee with CE reference BLH891. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Marshall Wace Asia Limited | Rep | Type 9 — Asset management | 2024-04-23 | 2024-07-22 |
| Wellington Management Hong Kong Limited 威靈頓管理香港有限公司 |
Rep | Type 1 — Dealing in securities | 2022-06-30 | 2024-02-09 |
| Wellington Management Hong Kong Limited 威靈頓管理香港有限公司 |
Rep | Type 4 — Advising on securities | 2022-06-30 | 2024-02-09 |
| East Capital Asia Limited | Rep | Type 4 — Advising on securities | 2019-07-11 | 2020-04-30 |
| East Capital Asia Limited | Rep | Type 9 — Asset management | 2019-07-11 | 2020-04-30 |
| Goldman Sachs Asset Management (Hong Kong) Limited 高盛資產管理(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2017-10-25 | 2018-11-27 |
| Goldman Sachs Asset Management (Hong Kong) Limited 高盛資產管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2017-10-25 | 2018-11-27 |