Smith, Ian Micheal Corfield

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
Jain Global (Hong Kong) Limited	RO	Asset management	2024-06-24	2026-05-08
	RO	Dealing in futures contracts	2024-06-24	2026-05-08
	RO	Dealing in securities	2024-06-24	2026-05-08
GOLDMAN SACHS (ASIA) L.L.C.	RO	Dealing in securities	2018-08-28	2019-11-16
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	RO	Dealing in futures contracts	2018-08-28	2019-11-16
	Rep	Dealing in futures contracts	2016-10-11	2018-08-28
	RO	Providing automated trading services	2016-10-11	2019-11-16
	RO	Dealing in securities	2016-10-11	2019-11-16
	RO	Providing automated trading services	2014-09-10	2016-10-10
	RO	Dealing in securities	2014-09-10	2016-10-10
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2013-10-21	2018-08-28
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Providing automated trading services	2013-10-21	2014-09-10
	Rep	Dealing in securities	2013-10-21	2014-09-10
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2013-10-21	2016-10-10
Citigroup Global Markets Asia Limited	Rep	Dealing in futures contracts	2013-06-20	2013-07-19
	Rep	Providing automated trading services	2010-07-02	2013-07-19
	Rep	Dealing in securities	2010-07-02	2013-07-19
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2010-07-02	2013-07-19
	Rep	Dealing in securities	2010-07-02	2013-07-19
Credit Suisse (Hong Kong) Limited	Rep	Providing automated trading services	2009-01-20	2010-03-31
	Rep	Dealing in futures contracts	2009-01-20	2010-03-31
	Rep	Dealing in securities	2009-01-20	2010-03-31
Credit Suisse Securities (Hong Kong) Limited	Rep	Dealing in securities	2009-01-20	2010-03-31

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
Jain Global (Hong Kong) Limited	RO	Asset management	2024-06-24	2026-05-08
	RO	Dealing in futures contracts	2024-06-24	2026-05-08
	RO	Dealing in securities	2024-06-24	2026-05-08
GOLDMAN SACHS (ASIA) L.L.C.	RO	Dealing in securities	2018-08-28	2019-11-16
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	RO	Dealing in futures contracts	2018-08-28	2019-11-16
	Rep	Dealing in futures contracts	2016-10-11	2018-08-28
	RO	Providing automated trading services	2016-10-11	2019-11-16
	RO	Dealing in securities	2016-10-11	2019-11-16
	RO	Providing automated trading services	2014-09-10	2016-10-10
	RO	Dealing in securities	2014-09-10	2016-10-10
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2013-10-21	2018-08-28
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Providing automated trading services	2013-10-21	2014-09-10
	Rep	Dealing in securities	2013-10-21	2014-09-10
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2013-10-21	2016-10-10
Citigroup Global Markets Asia Limited	Rep	Dealing in futures contracts	2013-06-20	2013-07-19
	Rep	Providing automated trading services	2010-07-02	2013-07-19
	Rep	Dealing in securities	2010-07-02	2013-07-19
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2010-07-02	2013-07-19
	Rep	Dealing in securities	2010-07-02	2013-07-19
Credit Suisse (Hong Kong) Limited	Rep	Providing automated trading services	2009-01-20	2010-03-31
	Rep	Dealing in futures contracts	2009-01-20	2010-03-31
	Rep	Dealing in securities	2009-01-20	2010-03-31
Credit Suisse Securities (Hong Kong) Limited	Rep	Dealing in securities	2009-01-20	2010-03-31