Stephen Mark Smith
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stephen Mark Smith ( ), a licensed former licensee with CE reference BFA905. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Tullett Prebon (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2019-12-30 | 2023-05-16 |
| Tullett Prebon (Hong Kong) Limited | Rep | Type 7 — Providing automated trading services | 2019-12-30 | 2023-05-16 |
| Tullett Prebon (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2019-06-12 | 2019-12-12 |
| Tullett Prebon (Hong Kong) Limited | RO | Type 7 — Providing automated trading services | 2019-06-12 | 2019-12-12 |
| Tullett Prebon (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2019-03-01 | 2019-06-12 |
| Tullett Prebon (Hong Kong) Limited | Rep | Type 7 — Providing automated trading services | 2019-03-01 | 2019-06-12 |
| GFI (HK) Securities L.L.C. | Rep | Type 1 — Dealing in securities | 2015-03-05 | 2017-10-12 |
| GFI (HK) Securities L.L.C. | Rep | Type 7 — Providing automated trading services | 2015-03-05 | 2017-10-12 |