Stead, David Andrew (SFC:AQT298) Hong Kong SFC License Details (ID 96672)

Stead, David Andrew (SFC:AQT298) Hong Kong SFC License Details (ID 96672)

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	Rep	期货合约交易	2017-11-03	2017-11-13
	Rep	证券交易	2017-11-03	2017-11-13
UBS SECURITIES HONG KONG LIMITED	Rep	期货合约交易	2017-11-03	2017-11-13
	Rep	证券交易	2017-11-03	2017-11-13
	Rep	期货合约交易	2016-12-19	2017-03-01
	Rep	证券交易	2016-12-19	2017-03-01
UBS DERIVATIVES HONG KONG LIMITED	Rep	期货合约交易	2014-09-22	2016-12-18
UBS SECURITIES ASIA LIMITED	Rep	期货合约交易	2014-09-22	2017-03-01
	Rep	证券交易	2014-09-22	2017-03-01
UBS SECURITIES HONG KONG LIMITED	Rep	证券交易	2014-09-22	2016-12-18
	Rep	证券交易	2010-07-28	2013-06-29
UBS DERIVATIVES HONG KONG LIMITED	Rep	期货合约交易	2008-04-07	2013-06-29
UBS SECURITIES ASIA LIMITED	Rep	期货合约交易	2008-04-07	2013-06-29
	Rep	证券交易	2008-04-07	2013-06-29