Smith, Ian Micheal Corfield

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

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