Mark Smith
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Mark Smith, CE reference APV538. Currently licensed at 1 firm(s): Northwest Investment Management (Hong Kong) Limited. Total licence records on file: 5.
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 |