UBS SECURITIES HONG KONG LIMITED
SFC licenses
C=licensed corporation (regulated by SFC), R=Registered Institution (regulated by HKMA). If there is no starting date then the entity has been in that activity since at least 1-Apr-2003 when the current register began.
C/R | Activity | From | Until |
---|---|---|---|
C | Advising on corporate finance | 2005-02-07 | C | 2012-06-07 | 2016-12-18 | C | 2016-12-19 |
C | Advising on securities | 2005-02-07 | |
C | Asset management | 2005-02-07 | |
C | Automated trading services | 2011-07-06 | 2016-12-18 | C | 2016-12-19 |
C | Dealing in futures contracts | 2016-12-19 | |
C | Dealing in securities | 2016-12-18 | C | 2016-12-19 |
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