Ian Micheal Corfield Smith
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ian Micheal Corfield Smith, a licensed former licensee with CE reference ASH865. Total licence records on file: 23.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Jain Global (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2024-06-24 | 2026-05-08 |
| Jain Global (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2024-06-24 | 2026-05-08 |
| Jain Global (Hong Kong) Limited | RO | Type 9 — Asset management | 2024-06-24 | 2026-05-08 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
RO | Type 1 — Dealing in securities | 2018-08-28 | 2019-11-16 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
RO | Type 2 — Dealing in futures contracts | 2018-08-28 | 2019-11-16 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2016-10-11 | 2018-08-28 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
RO | Type 1 — Dealing in securities | 2016-10-11 | 2019-11-16 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
RO | Type 7 — Providing automated trading services | 2016-10-11 | 2019-11-16 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
RO | Type 1 — Dealing in securities | 2014-09-10 | 2016-10-10 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
RO | Type 7 — Providing automated trading services | 2014-09-10 | 2016-10-10 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2013-10-21 | 2018-08-28 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 1 — Dealing in securities | 2013-10-21 | 2014-09-10 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-10-21 | 2016-10-10 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 7 — Providing automated trading services | 2013-10-21 | 2014-09-10 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-06-20 | 2013-07-19 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2010-07-02 | 2013-07-19 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 — Dealing in securities | 2010-07-02 | 2013-07-19 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2010-07-02 | 2013-07-19 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | 2010-07-02 | 2013-07-19 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-01-20 | 2010-03-31 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-01-20 | 2010-03-31 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2009-01-20 | 2010-03-31 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | 2009-01-20 | 2010-03-31 |