SM Investment Advisors Limited

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Activity type: AllAdvising on corporate financeAdvising on futures contractsAdvising on securitiesAsset managementAutomated trading servicesClient clearing services for OTC derivative transactionsCredit rating servicesDealing in futures contractsDealing in or advising on OTC derivative productsDealing in securitiesDepositary services for relevant CISsLeveraged foreign exchange tradingSecurities margin financing

SFC licensees

RO=Responsible Officer, Rep=Representative

	Name	Age in 2020	⚥	SFC ID	Role	From	Until
1	Lee, Victor Hung Bun 李鴻斌		M	AEK221	Rep	2015-11-24	2015-12-30
					RO	2015-12-30	2019-12-31
2	Litherland, Benjamin Piers Algernon		M	BHC563	Rep	2016-04-07	2020-02-29
3	Sehgal, Anuj		M	AHA901	RO	2014-12-03	2021-11-01
4	Shah, Hetalkumar Bipinchandra		M	AGP774	RO	2014-12-03	2021-11-01

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