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MITTAL Raghav

CE ANG800Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

MITTAL Raghav (CE number ANG800) is an individual licensed by the Hong Kong SFC. First licensed on 2006-04-10. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 7 (Automated trading). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 7 Providing Automated Trading Services

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerMorgan Stanley Asia Limited
摩根士丹利亞洲有限公司
Responsible OfficerMorgan Stanley Hong Kong Securities Limited

Licence Record (7)

2024-08-06 – present Current
Morgan Stanley Asia Limited RO
RA 1
2024-08-06 – present Current
Morgan Stanley Hong Kong Securities Limited RO
RA 1 RA 2 RA 7
2010-12-06 – 2024-08-06
Morgan Stanley Hong Kong Securities Limited Rep
RA 1 RA 2 RA 7
2009-12-01 – 2010-12-06
Morgan Stanley Hong Kong Futures Limited Rep
RA 2 RA 7
2009-11-30 – 2024-08-06
Morgan Stanley Asia Limited Rep
RA 1 RA 7
2006-04-10 – 2009-09-10
Macquarie Capital Limited Rep
RA 1
2006-04-10 – 2008-01-01
Macquarie Equities (Asia) Limited Rep
RA 1

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/ANG800