Personnel Hong Kong SFC License Details (ID 96679)

Personnel Hong Kong SFC License Details (ID 96679)

主要資料證監會牌照公開紀律行動

證監會牌照

沒有開始日期的人士至少自現行登記冊於2003年4月1日啟用時起已擔任該職位。

顯示機構舊稱

只顯示現有牌照

機構	角色	受規管活動	開始日期	結束日期
UBS SECURITIES HONG KONG LIMITED	RO	提供自動化交易服務	2023-10-13	-
UBS SECURITIES ASIA LIMITED	RO	證券交易	2018-04-30	-
UBS SECURITIES HONG KONG LIMITED	RO	期貨合約交易	2016-12-19	-
	RO	證券交易	2016-12-19	-
UBS DERIVATIVES HONG KONG LIMITED	RO	期貨合約交易	2014-01-07	2016-12-18
UBS SECURITIES ASIA LIMITED	RO	期貨合約交易	2014-01-07	-
UBS SECURITIES HONG KONG LIMITED	RO	證券交易	2014-01-07	2016-12-18
	Rep	證券交易	2013-11-08	2014-01-07
UBS DERIVATIVES HONG KONG LIMITED	Rep	期貨合約交易	2011-05-12	2014-01-07
UBS SECURITIES ASIA LIMITED	Rep	期貨合約交易	2011-05-12	2014-01-07
	Rep	證券交易	2011-05-12	2018-04-30
NOMURA INTERNATIONAL (HONG KONG) LIMITED	RO	期貨合約交易	2009-11-18	2010-12-18
	RO	證券交易	2009-11-18	2010-12-18
	Rep	期貨合約交易	2008-10-10	2009-11-18
	Rep	證券交易	2008-10-10	2009-11-18
LEHMAN BROTHERS ASIA LIMITED	Rep	期貨合約交易	2005-12-09	2008-09-29
	Rep	證券交易	2005-12-09	2008-09-29