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
CSI Global Markets Limited 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