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SMITH Neil

CE AVM853Licensed IndividualSFO licence active
Official SFC record

SMITH Neil (CE number AVM853) is an individual licensed by the Hong Kong SFC. First licensed on 2010-08-09. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 9 (Asset management).

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeT. Rowe Price Hong Kong Limited
普徠仕香港有限公司

Licence Record (2)

2011-01-06 – present Current
T. Rowe Price Hong Kong Limited Rep
RA 1 RA 2 RA 4 RA 9
2010-08-09 – 2010-12-31
T. Rowe Price International, Inc. Rep
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/AVM853