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GUPTA Shivam

CE APC574Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

GUPTA Shivam (CE number APC574) is an individual licensed by the Hong Kong SFC. First licensed on 2007-06-18. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 7 (Automated trading). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 7 Providing Automated Trading Services

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerMillennium Capital Management (Hong Kong) Limited

Licence Record (8)

2025-11-10 – present Current
Millennium Capital Management (Hong Kong) Limited RO
RA 1 RA 2
2023-10-30 – 2025-11-10
Millennium Capital Management (Hong Kong) Limited Rep
RA 1 RA 2
2017-12-20 – 2023-08-04
Credit Suisse (Hong Kong) Limited RO
RA 1 RA 2
2011-10-12 – 2023-08-04
Credit Suisse Securities (Hong Kong) Limited Rep
RA 1
2011-06-17 – 2017-12-20
Credit Suisse (Hong Kong) Limited Rep
RA 1 RA 2 RA 4 RA 7
2009-08-10 – 2011-04-02
UBS Securities Hong Kong Limited Rep
RA 1
2007-06-18 – 2011-04-02
UBS Securities Asia Limited Rep
RA 1 RA 2
2007-06-18 – 2011-04-02
UBS Derivatives Hong Kong Limited Rep
RA 2

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/APC574