UBS SECURITIES HONG KONG LIMITED Hong Kong SFC License Details

Regulatory Licenses

C = licensed corporation regulated by the SFC; R = registered institution regulated by the HKMA. If there is no starting date, the entity has conducted that activity since at least 1 Apr 2003, when the current register began.

Show Current

C/R	Regulated Activity	From	Until
C	Advising on corporate finance	-	2005-02-07
C	Advising on corporate finance	2012-06-07	2016-12-18
C	Advising on corporate finance	2016-12-19	-
C	Advising on securities	-	2005-02-07
C	Asset management	-	2005-02-07
C	Automated trading services	2011-07-06	2016-12-18
C	Automated trading services	2016-12-19	-
C	Dealing in futures contracts	2016-12-19	-
C	Dealing in securities	-	2016-12-18
C	Dealing in securities	2016-12-19	-

Organization