Smith, Adam Alexander (SFC:ANT189)
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | CITIC Securities International Global Markets Limited | Rep | Dealing in securities | 2019-05-30 | |
| 2 | CLSA LIMITED | Rep | Dealing in securities | 2018-09-03 | 2020-05-06 |
| 3 | HSBC SECURITIES BROKERS (ASIA) LIMITED | Rep | Dealing in securities | 2016-09-21 | 2018-05-28 |
| 4 | MACQUARIE CAPITAL LIMITED | Rep | Dealing in securities | 2006-07-28 | 2009-06-18 |
| 5 | SG SECURITIES (HK) LIMITED | Rep | Dealing in securities | 2009-09-28 | 2012-04-14 | Rep | Automated trading services | 2009-10-21 | 2012-04-14 | Rep | Dealing in futures contracts | 2009-10-21 | 2012-04-14 |
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