Nicholas James Smith
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicholas James Smith, a licensed former licensee with CE reference BOG119. This person has less than 0.1 years of SFC licence history. Total licence records on file: 1.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2019-04-04 | 2019-04-09 |