Timothy Clement Smith
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Timothy Clement Smith ( ), a licensed former licensee with CE reference AMI208. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2009-06-30 | 2012-06-13 |
| CLSA Futures Limited 里昂期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2009-06-30 | 2012-06-13 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 — Dealing in securities | 2005-09-30 | 2008-01-15 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2005-08-02 | 2008-01-15 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 — Dealing in futures contracts | 2005-08-02 | 2008-01-15 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | 2005-08-02 | 2008-01-15 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 — Providing automated trading services | 2005-08-02 | 2008-01-15 |