Mark Smith
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Mark Smith, a licensed Responsible Officer with CE reference APV538. Currently licensed at 1 firm(s): Northwest Investment Management (Hong Kong) Limited. Active regulated activities: Type 9 - Asset management. This person has 18.3 years of SFC licence history. Total licence records on file: 5.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Northwest Investment Management (Hong Kong) Limited |
RO | Type 9 - Asset management | 2009-10-14 | present |
| Northwest Investment Management (Hong Kong) Limited |
Rep | Type 9 - Asset management | 2009-08-17 | 2009-10-14 |
| RAB Capital (Asia) Limited |
Rep | Type 4 - Advising on securities | 2007-10-16 | 2009-04-02 |
| RAB Capital (Asia) Limited |
Rep | Type 5 - Advising on futures contracts | 2007-10-16 | 2009-04-02 |
| RAB Capital (Asia) Limited |
Rep | Type 9 - Asset management | 2007-10-16 | 2009-04-02 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Mark 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.