Smith, Ian Micheal Corfield
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 | Citigroup Global Markets Asia Limited | Rep | Automated trading services | 2010-07-02 | 2013-07-19 | Rep | Dealing in securities | 2010-07-02 | 2013-07-19 | Rep | Dealing in futures contracts | 2013-06-20 | 2013-07-19 |
| 2 | CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Dealing in futures contracts | 2010-07-02 | 2013-07-19 | Rep | Dealing in securities | 2010-07-02 | 2013-07-19 |
| 3 | Credit Suisse (Hong Kong) Limited | Rep | Automated trading services | 2009-01-20 | 2010-03-31 | Rep | Dealing in futures contracts | 2009-01-20 | 2010-03-31 | Rep | Dealing in securities | 2009-01-20 | 2010-03-31 |
| 4 | Credit Suisse Securities (Hong Kong) Limited | Rep | Dealing in securities | 2009-01-20 | 2010-03-31 |
| 5 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2013-10-21 | 2018-08-28 | RO | Dealing in securities | 2018-08-28 | 2019-11-16 |
| 6 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | Automated trading services | 2013-10-21 | 2014-09-10 | Rep | Dealing in securities | 2013-10-21 | 2014-09-10 | RO | Automated trading services | 2014-09-10 | 2016-10-10 | RO | Dealing in securities | 2014-09-10 | 2016-10-10 | Rep | Dealing in futures contracts | 2016-10-11 | 2018-08-28 | RO | Automated trading services | 2016-10-11 | 2019-11-16 | RO | Dealing in securities | 2016-10-11 | 2019-11-16 | RO | Dealing in futures contracts | 2018-08-28 | 2019-11-16 |
| 7 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2013-10-21 | 2016-10-10 |
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