Robert Guy Frederick Smith
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Robert Guy Frederick Smith, a licensed Representative with CE reference APU248. Currently licensed at 1 firm(s): Barclays Capital Asia Limited. Active regulated activities: Type 1 - Dealing in securities; Type 6 - Advising on corporate finance. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2009-06-18 | present |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2009-06-18 | present |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2008-11-04 | 2009-03-12 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2008-11-04 | 2009-03-12 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2008-10-09 | 2009-03-12 |
| Merrill Lynch Far East Limited | Rep | Type 4 - Advising on securities | 2008-10-09 | 2009-03-12 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | 2008-10-09 | 2009-03-12 |
| Merrill Lynch Far East Limited | Rep | Type 6 - Advising on corporate finance | 2008-10-09 | 2009-03-12 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 4 - Advising on securities | 2007-10-09 | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2007-10-09 | 2008-09-29 |