Sam Anthony Kellie-Smith
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sam Anthony Kellie-Smith, a licensed Responsible Officer with CE reference AMG968. Currently licensed at 1 firm(s): Jain Global (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts; Type 9 — Asset management. Total licence records on file: 21.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Jain Global (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2024-06-24 | present |
| Jain Global (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2024-06-24 | present |
| Jain Global (Hong Kong) Limited | RO | Type 9 — Asset management | 2024-06-24 | present |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2010-12-06 | 2014-11-21 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 — Dealing in securities | 2009-03-20 | 2013-09-05 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2009-02-25 | 2014-11-21 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 — Dealing in futures contracts | 2009-02-25 | 2010-12-06 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 5 — Advising on futures contracts | 2009-02-25 | 2014-11-21 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | 2009-02-25 | 2013-09-05 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 — Providing automated trading services | 2009-02-25 | 2010-12-06 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 5 — Advising on futures contracts | 2006-05-16 | 2009-02-25 |
| Morgan Stanley Hong Kong Securities Limited | RO | Type 1 — Dealing in securities | 2006-02-08 | 2009-03-20 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2006-02-08 | 2009-02-25 |
| Morgan Stanley Hong Kong Futures Limited | RO | Type 2 — Dealing in futures contracts | 2006-02-08 | 2009-02-25 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 7 — Providing automated trading services | 2006-02-08 | 2009-02-25 |
| Morgan Stanley Hong Kong Futures Limited | RO | Type 7 — Providing automated trading services | 2006-02-08 | 2009-02-25 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2005-08-01 | 2006-02-08 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 — Dealing in securities | 2005-08-01 | 2006-02-08 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 — Dealing in futures contracts | 2005-08-01 | 2006-02-08 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | 2005-08-01 | 2006-02-08 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 — Providing automated trading services | 2005-08-01 | 2006-02-08 |