Smith, Guy William (SFC:AJO483)
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | BARCLAYS CAPITAL ASIA LIMITED | Rep | Advising on corporate finance | 2004-03-22 | 2016-01-21 | Rep | Dealing in securities | 2004-03-22 | 2016-01-21 |
| 2 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2018-01-15 | 2021-03-11 | Rep | Advising on securities | 2018-01-15 | 2021-03-11 | Rep | Dealing in securities | 2018-01-15 | 2021-03-11 | RO | Advising on corporate finance | 2021-03-11 | 2023-12-15 | RO | Advising on securities | 2021-03-11 | 2023-12-15 | RO | Dealing in securities | 2021-03-11 | 2023-12-15 |
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