Olivia Caroline Smith
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Olivia Caroline Smith, a licensed Representative with CE reference BTN095. Currently licensed at 2 firm(s): UBS Securities Asia Limited, UBS Securities Hong Kong Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 7 - Providing automated trading services. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2026-02-13 | present |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2026-02-13 | present |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2026-02-13 | present |
| UBS Securities Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | 2026-02-13 | present |
| UBS Securities Hong Kong Limited | Rep | Type 7 - Providing automated trading services | 2026-02-13 | present |
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2023-03-01 | 2025-09-29 |