SFC Licences of SMITH Timothy Clement
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
Institution | Role | Licences | Start date | End date |
---|---|---|---|---|
CLSA Futures Limited 里昂期貨有限公司 | RE | 2 | 30 June 2009 | 13 June 2012 |
CLSA Limited 中信里昂證券有限公司 | RE | 1 | 30 June 2009 | 13 June 2012 |
Morgan Stanley Hong Kong Securities Limited | RE | 1 | 30 September 2005 | 15 January 2008 |
Morgan Stanley Hong Kong Futures Limited | RE | 2 | 02 August 2005 | 15 January 2008 |
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 7 | 02 August 2005 | 15 January 2008 |
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 1 | 02 August 2005 | 15 January 2008 |
Morgan Stanley Hong Kong Futures Limited | RE | 7 | 02 August 2005 | 15 January 2008 |