James Nicholas Barrie Smith
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Nicholas Barrie Smith ( ), a licensed former licensee with CE reference ANN329. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Elliott Advisors (HK) Limited | Rep | Type 4 — Advising on securities | 2019-10-31 | 2020-04-03 |
| Elliott Advisors (HK) Limited | Rep | Type 5 — Advising on futures contracts | 2019-10-31 | 2020-04-03 |
| Elliott Advisors (HK) Limited | Rep | Type 9 — Asset management | 2019-10-31 | 2020-04-03 |
| Elliott Advisors (HK) Limited | RO | Type 4 — Advising on securities | 2007-08-21 | 2019-10-31 |
| Elliott Advisors (HK) Limited | RO | Type 5 — Advising on futures contracts | 2007-08-21 | 2019-10-31 |
| Elliott Advisors (HK) Limited | RO | Type 9 — Asset management | 2007-08-21 | 2019-10-31 |
| Elliott Advisors (HK) Limited | Rep | Type 9 — Asset management | 2006-08-10 | 2007-08-21 |