Timothy David Smart
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Timothy David Smart ( ), a licensed former licensee with CE reference AME116. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | RO | Type 4 — Advising on securities | 2016-09-29 | 2022-03-18 |
| UBS Securities Asia Limited | Rep | Type 4 — Advising on securities | 2016-02-01 | 2016-09-29 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
RO | Type 4 — Advising on securities | 2010-06-08 | 2012-07-31 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 4 — Advising on securities | 2006-08-09 | 2010-06-08 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 4 — Advising on securities | 2005-06-24 | 2005-06-25 |