Personnel Hong Kong SFC License Details (ID 1935358)

Personnel Hong Kong SFC License Details (ID 1935358)

关键资料证监会牌照公开纪律行动

证监会牌照

没有开始日期的人士至少自现行登记册于2003年4月1日启用时起已担任该职位。

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机构	角色	受规管活动	开始日期	结束日期
UBS SECURITIES ASIA LIMITED	RO	期货合约交易	2021-12-03	-
	RO	证券交易	2021-12-03	-
UBS SECURITIES HONG KONG LIMITED	RO	期货合约交易	2021-12-03	-
	RO	证券交易	2021-12-03	-
UBS SECURITIES ASIA LIMITED	Rep	期货合约交易	2017-11-13	2021-12-03
	Rep	证券交易	2017-11-13	2021-12-03
UBS SECURITIES HONG KONG LIMITED	Rep	期货合约交易	2017-11-13	2021-12-03
	Rep	证券交易	2017-11-13	2021-12-03
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	期货合约交易	2016-10-11	2017-07-15
	Rep	证券交易	2016-10-11	2017-07-15
GOLDMAN SACHS (ASIA) L.L.C.	Rep	证券交易	2012-08-06	2017-07-15
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	证券交易	2012-08-06	2016-10-10
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	期货合约交易	2012-08-06	2016-10-10