Paul Henry Smith
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Paul Henry Smith, a licensed Representative with CE reference ADL754. Currently licensed at 1 firm(s): Peak Capital Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 12.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Peak Capital Limited | Rep | Type 1 — Dealing in securities | 2020-12-14 | present |
| Peak Capital Limited | Rep | Type 4 — Advising on securities | 2020-12-14 | present |
| Peak Capital Limited | Rep | Type 9 — Asset management | 2020-12-14 | present |
| orientiert International Markets Limited | Rep | Type 1 — Dealing in securities | 2013-05-10 | 2016-04-11 |
| orientiert International Markets Limited | Rep | Type 4 — Advising on securities | 2013-05-10 | 2016-04-11 |
| orientiert International Markets Limited | Rep | Type 9 — Asset management | 2013-05-10 | 2016-04-11 |
| orientiert International Markets Limited | RO | Type 1 — Dealing in securities | 2007-06-29 | 2013-05-10 |
| orientiert International Markets Limited | RO | Type 4 — Advising on securities | 2007-01-25 | 2013-05-10 |
| orientiert International Markets Limited | RO | Type 9 — Asset management | 2007-01-25 | 2013-05-10 |
| HSBC Institutional Trust Services (Asia) Limited 滙豐機構信託服務(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2005-01-15 |
| HSBC Institutional Trust Services (Asia) Limited 滙豐機構信託服務(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | present | 2005-01-15 |
| HSBC Institutional Trust Services (Asia) Limited 滙豐機構信託服務(亞洲)有限公司 |
Rep | Type 9 — Asset management | present | 2005-01-15 |