Ross Allen Smith
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ross Allen Smith ( ), a licensed former licensee with CE reference AFG626. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HFS Asset Management Limited | Rep | Type 4 — Advising on securities | 2007-01-22 | 2007-10-17 |
| HFS Asset Management Limited | Rep | Type 9 — Asset management | 2007-01-22 | 2007-10-17 |
| Harris Fraser (International) Limited 晉裕環球資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2004-07-28 | 2004-11-11 |
| Harris Fraser (International) Limited 晉裕環球資產管理有限公司 |
Rep | Type 9 — Asset management | 2004-07-28 | 2004-11-11 |
| Chimaera Financial Group Limited | Rep | Type 4 — Advising on securities | present | 2004-03-05 |
| Chimaera Financial Group Limited | Rep | Type 6 — Advising on corporate finance | present | 2004-03-05 |
| Chimaera Financial Group Limited | Rep | Type 9 — Asset management | present | 2004-03-05 |