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SMITH Paul Henry

CE ADL754Licensed IndividualSFO licence active
Official SFC record

SMITH Paul Henry (CE number ADL754) is an individual licensed by the Hong Kong SFC. First licensed on 2003-04-01. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 9 (Asset management).

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativePeak Capital Limited

Licence Record (4)

2020-12-14 – present Current
Peak Capital Limited Rep
RA 1 RA 4 RA 9
2013-05-10 – 2016-04-11
orientiert International Markets Limited Rep
RA 1 RA 4 RA 9
2007-01-25 – 2013-05-10
orientiert International Markets Limited RO
RA 1 RA 4 RA 9
2003-04-01 – 2005-01-15
HSBC Institutional Trust Services (Asia) Limited Rep
RA 1 RA 4 RA 9

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/ADL754