Daniel Scott Smaller
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Daniel Scott Smaller ( ), a licensed former licensee with CE reference AHF355. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| DWS Investments Hong Kong Limited 德意志投資香港有限公司 |
Rep | Type 1 - Dealing in securities | 2005-08-24 | 2006-04-29 |
| DWS Investments Hong Kong Limited 德意志投資香港有限公司 |
Rep | Type 4 - Advising on securities | 2005-08-24 | 2006-04-29 |
| DWS Investments Hong Kong Limited 德意志投資香港有限公司 |
Rep | Type 1 - Dealing in securities | 2005-06-10 | 2005-08-08 |
| DWS Investments Hong Kong Limited 德意志投資香港有限公司 |
Rep | Type 4 - Advising on securities | 2005-06-10 | 2005-08-08 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | present | 2005-06-09 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | present | 2005-06-09 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | present | 2004-01-08 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 9 - Asset management | present | 2004-01-08 |