Personnel Hong Kong SFC License Details (ID 96983)

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 ASIA LIMITED	RO	期貨合約交易	2022-03-17	-
UBS SECURITIES HONG KONG LIMITED	RO	期貨合約交易	2022-03-17	-
UBS SECURITIES ASIA LIMITED	RO	證券交易	2018-08-14	-
UBS SECURITIES HONG KONG LIMITED	RO	提供自動化交易服務	2018-08-14	-
	RO	證券交易	2018-08-14	-
	Rep	提供自動化交易服務	2017-12-18	2018-08-14
UBS SECURITIES ASIA LIMITED	Rep	證券交易	2017-02-23	2018-08-14
	Rep	期貨合約交易	2017-02-23	2022-03-17
UBS SECURITIES HONG KONG LIMITED	Rep	證券交易	2017-02-23	2018-08-14
	Rep	期貨合約交易	2017-02-23	2022-03-17
UBS SECURITIES ASIA LIMITED	Rep	期貨合約交易	2017-01-20	2017-02-10
	Rep	證券交易	2017-01-20	2017-02-10
UBS SECURITIES HONG KONG LIMITED	Rep	期貨合約交易	2017-01-20	2017-02-10
	Rep	證券交易	2017-01-20	2017-02-10
UBS DERIVATIVES HONG KONG LIMITED	Rep	期貨合約交易	2016-11-10	2016-11-18
UBS SECURITIES ASIA LIMITED	Rep	期貨合約交易	2016-11-10	2016-11-18
	Rep	證券交易	2016-11-10	2016-11-18
UBS SECURITIES HONG KONG LIMITED	Rep	證券交易	2016-11-10	2016-11-18
UBS DERIVATIVES HONG KONG LIMITED	Rep	期貨合約交易	2016-09-15	2016-09-23
UBS SECURITIES ASIA LIMITED	Rep	期貨合約交易	2016-09-15	2016-09-23
	Rep	證券交易	2016-09-15	2016-09-23
UBS SECURITIES HONG KONG LIMITED	Rep	證券交易	2016-09-15	2016-09-23
UBS DERIVATIVES HONG KONG LIMITED	Rep	期貨合約交易	2016-08-30	2016-09-02
UBS SECURITIES ASIA LIMITED	Rep	期貨合約交易	2016-08-30	2016-09-02
	Rep	證券交易	2016-08-30	2016-09-02
UBS SECURITIES HONG KONG LIMITED	Rep	證券交易	2016-08-30	2016-09-02
UBS DERIVATIVES HONG KONG LIMITED	Rep	期貨合約交易	2016-08-05	2016-08-12
UBS SECURITIES ASIA LIMITED	Rep	期貨合約交易	2016-08-05	2016-08-12
	Rep	證券交易	2016-08-05	2016-08-12
UBS SECURITIES HONG KONG LIMITED	Rep	證券交易	2016-08-05	2016-08-12
UBS DERIVATIVES HONG KONG LIMITED	Rep	期貨合約交易	2016-06-29	2016-07-05
UBS SECURITIES ASIA LIMITED	Rep	期貨合約交易	2016-06-29	2016-07-05
	Rep	證券交易	2016-06-29	2016-07-05
UBS SECURITIES HONG KONG LIMITED	Rep	證券交易	2016-06-29	2016-07-05
UBS DERIVATIVES HONG KONG LIMITED	Rep	期貨合約交易	2016-05-24	2016-05-30
UBS SECURITIES ASIA LIMITED	Rep	期貨合約交易	2016-05-24	2016-05-30
	Rep	證券交易	2016-05-24	2016-05-30
UBS SECURITIES HONG KONG LIMITED	Rep	證券交易	2016-05-24	2016-05-30
UBS DERIVATIVES HONG KONG LIMITED	Rep	期貨合約交易	2016-03-10	2016-03-18
UBS SECURITIES ASIA LIMITED	Rep	期貨合約交易	2016-03-10	2016-03-18
	Rep	證券交易	2016-03-10	2016-03-18
UBS SECURITIES HONG KONG LIMITED	Rep	證券交易	2016-03-10	2016-03-18
UBS DERIVATIVES HONG KONG LIMITED	Rep	期貨合約交易	2016-01-22	2016-01-29
UBS SECURITIES ASIA LIMITED	Rep	期貨合約交易	2016-01-22	2016-01-29
	Rep	證券交易	2016-01-22	2016-01-29
UBS SECURITIES HONG KONG LIMITED	Rep	證券交易	2016-01-22	2016-01-29
	Rep	提供自動化交易服務	2011-10-14	2012-12-22
UBS SECURITIES ASIA LIMITED	Rep	期貨合約交易	2007-05-08	2012-12-22
	Rep	證券交易	2007-05-08	2012-12-22
UBS SECURITIES HONG KONG LIMITED	Rep	證券交易	2007-05-08	2012-12-22