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UBS SECURITIES HONG KONG LIMITED

SFC Licensed
SFC ID:BIN466
CCASS ID:B01161
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SFC licences & institution history

2016.12.19Institutions amalgamated

After amalgamation

Currently licensed
SFC ID:BIN466

UBS Securities Hong Kong Limited

Licences of UBS Securities Hong Kong Limited (BIN466)
Regulated ActivityEffective periods
TYPE 1Dealing in securities
  • 2016.12.19—Present
TYPE 2Dealing in futures contracts
  • 2016.12.19—Present
TYPE 6Advising on corporate finance
  • 2016.12.19—Present
TYPE 7Providing automated trading services
  • 2016.12.19—Present

Before amalgamation

Historical institution
SFC ID:AAD270

UBS Securities Hong Kong Limited

7 former names

  1. Acheron Limited

    Earlier period—1987.01.13

    SFC name change: 1987.01.13

    No SFO licence period listed under this name

  2. SBCI Hong Kong Limited

    1987.01.13—1995.01.02

    SFC name change: 1995.01.02

    No SFO licence period listed under this name

  3. SBC Hong Kong Limited

    1995.01.02—1995.09.01

    SFC name change: 1995.09.01

    No SFO licence period listed under this name

  4. SBC Warburg Hong Kong Limited

    1995.09.01—1997.09.30

    SFC name change: 1997.09.30

    No SFO licence period listed under this name

  5. SBC Warburg Dillon Read Hong Kong Limited

    1997.09.30—1998.06.29

    SFC name change: 1998.06.29

    No SFO licence period listed under this name

  6. Warburg Dillon Read (Hong Kong) Limited

    1998.06.29—2000.05.02

    SFC name change: 2000.05.02

    No SFO licence period listed under this name

  7. UBS Warburg Hong Kong Limited

    2000.05.02—2003.06.09

    SFC name change: 2003.06.09

    Licences in this name periodTYPE 1TYPE 4TYPE 6TYPE 9

  8. UBS Securities Hong Kong Limited

    2003.06.09—Registered name

    Licences in this name periodTYPE 1TYPE 4TYPE 6TYPE 7TYPE 9
Licences of UBS Securities Hong Kong Limited (AAD270)
Regulated ActivityEffective periods
TYPE 1Dealing in securities
  • 2003.04.01—2016.12.18
TYPE 4Advising on securities
  • 2003.04.01—2005.02.07
TYPE 6Advising on corporate finance
  • 2003.04.01—2005.02.07
  • 2012.06.07—2016.12.18
TYPE 7Providing automated trading services
  • 2011.07.06—2016.12.18
TYPE 9Asset management
  • 2003.04.01—2005.02.07
Historical institution
SFC ID:AAY107

UBS Derivatives Hong Kong Limited

7 former names

  1. Agricola Limited

    Earlier period—1993.03.02

    SFC name change: 1993.03.02

    No SFO licence period listed under this name

  2. SBC Derivatives (Far East) Limited

    1993.03.02—1995.01.02

    SFC name change: 1995.01.02

    No SFO licence period listed under this name

  3. SBC Derivatives Limited

    1995.01.02—1995.09.01

    SFC name change: 1995.09.01

    No SFO licence period listed under this name

  4. SBC Warburg Derivatives Limited

    1995.09.01—1997.09.30

    SFC name change: 1997.09.30

    No SFO licence period listed under this name

  5. SBC Warburg Dillon Read Derivatives Limited

    1997.09.30—1998.06.29

    SFC name change: 1998.06.29

    No SFO licence period listed under this name

  6. Warburg Dillon Read Derivatives Limited

    1998.06.29—2000.05.02

    SFC name change: 2000.05.02

    No SFO licence period listed under this name

  7. UBS Warburg Derivatives Limited

    2000.05.02—2003.06.09

    SFC name change: 2003.06.09

    Licences in this name periodTYPE 2TYPE 5TYPE 9

  8. UBS Derivatives Hong Kong Limited

    2003.06.09—Registered name

    Licences in this name periodTYPE 2TYPE 5TYPE 9
Licences of UBS Derivatives Hong Kong Limited (AAY107)
Regulated ActivityEffective periods
TYPE 2Dealing in futures contracts
  • 2003.04.01—2016.12.18
TYPE 5Advising on futures contracts
  • 2003.04.01—2005.02.07
TYPE 9Asset management
  • 2003.04.01—2005.02.07