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JAIN Ajay

CE AVN405Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

JAIN Ajay (CE number AVN405) is an individual licensed by the Hong Kong SFC. First licensed on 2010-07-26. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (2)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerNomura International (Hong Kong) Limited
野村國際(香港)有限公司

Licence Record (5)

2023-03-20 – present Current
Nomura International (Hong Kong) Limited RO
RA 1 RA 2
2017-06-05 – 2023-03-20
Nomura International (Hong Kong) Limited Rep
RA 1 RA 2
2010-07-26 – 2017-03-03
Merrill Lynch (Asia Pacific) Limited Rep
RA 1
2010-07-26 – 2017-03-03
Merrill Lynch Far East Limited Rep
RA 1 RA 2
2010-07-26 – 2010-09-02
Merrill Lynch Futures (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/AVN405