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SARWAL Akshat

CE BAA508Licensed IndividualSFO licence active
Official SFC record

SARWAL Akshat (CE number BAA508) is an individual licensed by the Hong Kong SFC. First licensed on 2012-08-13. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 7 (Automated trading).

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 7 Providing Automated Trading Services

Roles & Accreditations (2)

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

Licence Record (4)

2018-10-18 – present Current
Morgan Stanley Asia Limited Rep
RA 1 RA 4 RA 5
2018-10-18 – present Current
Morgan Stanley Hong Kong Securities Limited Rep
RA 1 RA 2 RA 7
2012-08-13 – 2018-07-16
Merrill Lynch (Asia Pacific) Limited Rep
RA 1 RA 7
2012-08-13 – 2018-07-16
Merrill Lynch Far East Limited Rep
RA 1 RA 2 RA 7

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/BAA508