Unofficial — this is NOT the SFC. Independent site, not affiliated with the Securities and Futures Commission of Hong Kong. All information is compiled from SFC, HKMA and other public regulatory records and is for reference only — verify on the official SFC website before relying on it.
SFC Radar
中文 ← Back to search

SMITH Adam Alexander

CE ANT189Licensed IndividualSFO licence active
Official SFC record

SMITH Adam Alexander (CE number ANT189) is an individual licensed by the Hong Kong SFC. First licensed on 2006-07-28. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 7 (Automated trading).

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 7 Providing Automated Trading Services

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeCITIC Securities International Global Markets Limited
中信證券國際全球市場有限公司

Licence Record (5)

2019-05-30 – present Current
CITIC Securities International Global Markets Limited Rep
RA 1
2018-09-03 – 2020-05-06
CLSA Limited Rep
RA 1
2016-09-21 – 2018-05-28
HSBC Securities Brokers (Asia) Limited Rep
RA 1
2009-09-28 – 2012-04-14
SG Securities (HK) Limited Rep
RA 1 RA 2 RA 7
2006-07-28 – 2009-06-18
Macquarie Capital Limited Rep
RA 1

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/ANT189