Ian Micheal Corfield Smith
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ian Micheal Corfield Smith, a licensed former licensee with CE reference ASH865. This person has 12.2 years of SFC licence history. Total licence records on file: 23.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Jain Global (Hong Kong) Limited | RO | Type 1 - Dealing in securities | 2024-06-24 | 2026-05-08 |
| Jain Global (Hong Kong) Limited | RO | Type 2 - Dealing in futures contracts | 2024-06-24 | 2026-05-08 |
| Jain Global (Hong Kong) Limited | RO | Type 9 - Asset management | 2024-06-24 | 2026-05-08 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
RO | Type 1 - Dealing in securities | 2018-08-28 | 2019-11-16 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
RO | Type 2 - Dealing in futures contracts | 2018-08-28 | 2019-11-16 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2016-10-11 | 2018-08-28 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
RO | Type 1 - Dealing in securities | 2016-10-11 | 2019-11-16 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
RO | Type 7 - Providing automated trading services | 2016-10-11 | 2019-11-16 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
RO | Type 1 - Dealing in securities | 2014-09-10 | 2016-10-10 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
RO | Type 7 - Providing automated trading services | 2014-09-10 | 2016-10-10 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2013-10-21 | 2018-08-28 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 1 - Dealing in securities | 2013-10-21 | 2014-09-10 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2013-10-21 | 2016-10-10 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 7 - Providing automated trading services | 2013-10-21 | 2014-09-10 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2013-06-20 | 2013-07-19 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2010-07-02 | 2013-07-19 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 - Dealing in securities | 2010-07-02 | 2013-07-19 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2010-07-02 | 2013-07-19 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 7 - Providing automated trading services | 2010-07-02 | 2013-07-19 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2009-01-20 | 2010-03-31 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2009-01-20 | 2010-03-31 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2009-01-20 | 2010-03-31 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 7 - Providing automated trading services | 2009-01-20 | 2010-03-31 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Ian Micheal Corfield 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.