Baba, Taichi
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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Organisation | Role | Activity | From | Until | |
---|---|---|---|---|---|
1 | UBS SECURITIES ASIA LIMITED | Rep | Dealing in futures contracts | 2013-03-11 | 2015-01-28 | Rep | Dealing in securities | 2013-03-11 | 2015-01-28 | Rep | Dealing in securities | 2015-02-18 | 2015-02-26 | Rep | Dealing in securities | 2015-11-04 | 2015-11-12 | Rep | Dealing in securities | 2016-02-23 | 2016-03-17 | Rep | Dealing in futures contracts | 2016-05-12 | 2016-05-27 | Rep | Dealing in securities | 2016-05-12 | 2016-05-27 | Rep | Dealing in futures contracts | 2017-01-04 | 2017-01-27 | Rep | Dealing in securities | 2017-01-04 | 2017-01-27 | Rep | Dealing in futures contracts | 2017-02-16 | 2017-02-22 | Rep | Dealing in securities | 2017-02-16 | 2017-02-22 | Rep | Dealing in futures contracts | 2017-11-07 | 2017-11-19 | Rep | Dealing in securities | 2017-11-07 | 2017-11-19 | Rep | Dealing in futures contracts | 2018-03-07 | 2018-03-14 | Rep | Dealing in securities | 2018-03-07 | 2018-03-14 | Rep | Dealing in futures contracts | 2019-02-14 | 2019-02-20 | Rep | Dealing in securities | 2019-02-14 | 2019-02-20 | Rep | Dealing in futures contracts | 2023-07-14 | 2023-07-28 | Rep | Dealing in securities | 2023-07-14 | 2023-07-28 | Rep | Dealing in futures contracts | 2024-09-03 | 2024-09-06 | Rep | Dealing in securities | 2024-09-03 | 2024-09-06 |
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