SFC Licences of SMITH Nicholas James
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| BGC Securities (Hong Kong) LLC | RE | 1 | 03 June 2019 | 29 September 2023 |
| T.F.S. Derivatives HK Limited | RE | 1 | 24 November 2009 | 12 February 2019 |