Louis Piers Higson Smith
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Louis Piers Higson Smith ( ), a licensed former licensee with CE reference ACN201. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Platinum Securities Company Limited 百德能證券有限公司 |
RO | Type 1 — Dealing in securities | 2020-12-01 | 2024-05-02 |
| Platinum Securities Company Limited 百德能證券有限公司 |
RO | Type 6 — Advising on corporate finance | 2020-12-01 | 2025-04-30 |
| STJ Advisors (Asia) Limited 聖約翰諮詢(亞洲)有限公司 |
RO | Type 6 — Advising on corporate finance | 2014-08-22 | 2016-11-09 |
| STJ Advisors (Asia) Limited 聖約翰諮詢(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2014-06-05 | 2014-08-22 |
| Platinum Securities Company Limited 百德能證券有限公司 |
RO | Type 1 — Dealing in securities | 2009-07-07 | 2014-01-22 |
| Platinum Securities Company Limited 百德能證券有限公司 |
RO | Type 6 — Advising on corporate finance | 2009-07-07 | 2014-01-22 |
| Rothschild & Co Hong Kong Limited 羅斯柴爾德恩可香港有限公司 |
RO | Type 1 — Dealing in securities | 2005-04-27 | 2008-08-07 |
| Rothschild & Co Hong Kong Limited 羅斯柴爾德恩可香港有限公司 |
RO | Type 4 — Advising on securities | 2005-04-27 | 2008-08-07 |
| Rothschild & Co Hong Kong Limited 羅斯柴爾德恩可香港有限公司 |
RO | Type 6 — Advising on corporate finance | 2005-04-27 | 2008-08-07 |