SFC Licences of SMITH Michael Thomas
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 | RO | 6 | 06 March 2008 | 01 January 2017 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 | RE | 6 | 16 March 2006 | 06 March 2008 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 | RE | 1 | 16 March 2006 | 30 November 2007 |
| UBS Securities Asia Limited | RE | 6 | 01 April 2003 | 25 June 2003 |
| UBS Securities Asia Limited | RE | 9 | 01 April 2003 | 25 June 2003 |
| UBS Securities Asia Limited | RE | 4 | 01 April 2003 | 25 June 2003 |