Ross Allen Smith
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ross Allen Smith, a licensed former licensee with CE reference AFG626. This person has 2.0 years of SFC licence history. Total licence records on file: 7.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HFS Asset Management Limited | Rep | Type 4 - Advising on securities | 2007-01-22 | 2007-10-17 |
| HFS Asset Management Limited | Rep | Type 9 - Asset management | 2007-01-22 | 2007-10-17 |
| Harris Fraser (International) Limited 晉裕環球資產管理有限公司 |
Rep | Type 1 - Dealing in securities | 2004-07-28 | 2004-11-11 |
| Harris Fraser (International) Limited 晉裕環球資產管理有限公司 |
Rep | Type 9 - Asset management | 2004-07-28 | 2004-11-11 |
| Chimaera Financial Group Limited | Rep | Type 4 - Advising on securities | Pre-2003 | 2004-03-05 |
| Chimaera Financial Group Limited | Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-03-05 |
| Chimaera Financial Group Limited | Rep | Type 9 - Asset management | Pre-2003 | 2004-03-05 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Ross Allen Smith during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.