James Nicholas Sanderson Smith
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Nicholas Sanderson Smith ( ), a licensed former licensee with CE reference AXH027. Total licence records on file: 2.
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 | 2011-05-16 | 2016-01-21 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2011-05-16 | 2016-01-21 |