SFC licenceholder BCB694 SMITH Robert Adam

Licences

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Updated: 03 April 2020

Institution Role Licences Start date End date
Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 RE [1] (Dealing in Securities), [4] (Advising on Securities) 18 September 2018
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 RE [1] (Dealing in Securities) 04 November 2013 08 December 2015
Morgan Stanley Hong Kong Securities Limited RE [2] (Dealing in Futures Contracts) 04 November 2013 08 December 2015