SFC Licences of SMITH Adam Alexander
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| CITIC Securities International Global Markets Limited 中信證券國際全球市場有限公司 | RE | 1 | 30 May 2019 | |
| CLSA Limited 中信里昂證券有限公司 | RE | 1 | 03 September 2018 | 06 May 2020 |
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 | RE | 1 | 21 September 2016 | 28 May 2018 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 | RE | 7 | 21 October 2009 | 14 April 2012 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 | RE | 2 | 21 October 2009 | 14 April 2012 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 | RE | 1 | 28 September 2009 | 14 April 2012 |
| Macquarie Capital Limited 麥格理資本股份有限公司 | RE | 1 | 28 July 2006 | 18 June 2009 |