SFC Licences of SMITH Stephen Mark
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Tullett Prebon (Hong Kong) Limited | RE | 7 | 30 December 2019 | 16 May 2023 |
| Tullett Prebon (Hong Kong) Limited | RE | 1 | 30 December 2019 | 16 May 2023 |
| Tullett Prebon (Hong Kong) Limited | RO | 7 | 12 June 2019 | 12 December 2019 |
| Tullett Prebon (Hong Kong) Limited | RO | 1 | 12 June 2019 | 12 December 2019 |
| Tullett Prebon (Hong Kong) Limited | RE | 7 | 01 March 2019 | 12 June 2019 |
| Tullett Prebon (Hong Kong) Limited | RE | 1 | 01 March 2019 | 12 June 2019 |
| GFI (HK) Securities L.L.C. | RE | 7 | 05 March 2015 | 12 October 2017 |
| GFI (HK) Securities L.L.C. | RE | 1 | 05 March 2015 | 12 October 2017 |