Webb-site Legacy

UBS DERIVATIVES HONG KONG LIMITED

SFC InactiveDissolved

SFC ID:AAY107

SFC licences & institution history

Currently licensed

SFC ID:BIN466

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

Historical institution

SFC ID:AAY107

Agricola Limited
Earlier period—1993.03.02
SFC name change: 1993.03.02
No SFO licence period listed under this name
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
SBC Derivatives Limited
1995.01.02—1995.09.01
SFC name change: 1995.09.01
No SFO licence period listed under this name
SBC Warburg Derivatives Limited
1995.09.01—1997.09.30
SFC name change: 1997.09.30
No SFO licence period listed under this name
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
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
UBS Warburg Derivatives Limited
2000.05.02—2003.06.09
SFC name change: 2003.06.09
Licences in this name periodTYPE 2TYPE 5TYPE 9
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 Activity	Effective periods
TYPE 2Dealing in futures contracts	2003.04.012016.12.18
TYPE 5Advising on futures contracts	2003.04.012005.02.07
TYPE 9Asset management	2003.04.012005.02.07

Historical institution

SFC ID:AAD270

Acheron Limited
Earlier period—1987.01.13
SFC name change: 1987.01.13
No SFO licence period listed under this name
SBCI Hong Kong Limited
1987.01.13—1995.01.02
SFC name change: 1995.01.02
No SFO licence period listed under this name
SBC Hong Kong Limited
1995.01.02—1995.09.01
SFC name change: 1995.09.01
No SFO licence period listed under this name
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
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
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
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
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 Activity	Effective periods
TYPE 1Dealing in securities	2003.04.012016.12.18
TYPE 4Advising on securities	2003.04.012005.02.07
TYPE 6Advising on corporate finance	2003.04.012005.02.07 2012.06.072016.12.18
TYPE 7Providing automated trading services	2011.07.062016.12.18
TYPE 9Asset management	2003.04.012005.02.07