Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SMITH, ADAM ALEXANDER
Chinese Name of Relevant Individual
HKMA Registration Number
AF6378
Current Registration
Not Applicable
Business Address
Not Applicable
Conditions
Not Applicable
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Sep 2016 - 28 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
14 Sep 2016 - 28 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SKANDINAVISKA ENSKILDA BANKEN AB
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Apr 2015 - 07 Sep 2016
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
SKANDINAVISKA ENSKILDA BANKEN AB
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
24 Apr 2015 - 07 Sep 2016
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
SKANDINAVISKA ENSKILDA BANKEN AB
Regulated Activity
Type 4: advising on securities
Effective Period
24 Apr 2015 - 07 Sep 2016
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
SKANDINAVISKA ENSKILDA BANKEN AB
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Jun 2012 - 23 Apr 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SKANDINAVISKA ENSKILDA BANKEN AB
Regulated Activity
Type 4: advising on securities
Effective Period
28 Jun 2012 - 23 Apr 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SKANDINAVISKA ENSKILDA BANKEN AB
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
20 Jul 2012 - 19 Nov 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
Public Disciplinary Actions
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.
:
Name of Relevant Individual
SMITH, ADAM ALEXANDER
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF6378
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF6378
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
14 Sep 2016 - 28 May 2018
No
AF6378
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
14 Sep 2016 - 28 May 2018
No
AF6378
SKANDINAVISKA ENSKILDA BANKEN AB
Type 1: dealing in securities
24 Apr 2015 - 07 Sep 2016
Yes
AF6378
SKANDINAVISKA ENSKILDA BANKEN AB
Type 2: dealing in futures contracts
24 Apr 2015 - 07 Sep 2016
Yes
AF6378
SKANDINAVISKA ENSKILDA BANKEN AB
Type 4: advising on securities
24 Apr 2015 - 07 Sep 2016
Yes
AF6378
SKANDINAVISKA ENSKILDA BANKEN AB
Type 1: dealing in securities
28 Jun 2012 - 23 Apr 2015
No
AF6378
SKANDINAVISKA ENSKILDA BANKEN AB
Type 4: advising on securities
28 Jun 2012 - 23 Apr 2015
No
AF6378
SKANDINAVISKA ENSKILDA BANKEN AB
Type 2: dealing in futures contracts
20 Jul 2012 - 19 Nov 2013
No
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.