SFC Licences of SMITH Mark
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Northwest Investment Management (Hong Kong) Limited | RO | 9 | 14 October 2009 | |
| Northwest Investment Management (Hong Kong) Limited | RE | 9 | 17 August 2009 | 14 October 2009 |
| RAB Capital (Asia) Limited | RE | 5 | 16 October 2007 | 02 April 2009 |
| RAB Capital (Asia) Limited | RE | 9 | 16 October 2007 | 02 April 2009 |
| RAB Capital (Asia) Limited | RE | 4 | 16 October 2007 | 02 April 2009 |