Bae, Christopher Thomas

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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 GOLDMAN SACHS (ASIA) L.L.C. Rep Dealing in securities 2008-01-24 2009-04-29
2 GOLDMAN SACHS (ASIA) SECURITIES LIMITED Rep Dealing in securities 2008-01-24 2009-04-29
3 GOLDMAN SACHS FUTURES (ASIA) LIMITED Rep Dealing in futures contracts 2008-01-24 2009-04-29
4 GOLDMAN SACHS (ASIA) L.L.C. RO Dealing in securities 2009-04-29 2009-07-17
5 GOLDMAN SACHS (ASIA) SECURITIES LIMITED RO Dealing in securities 2009-04-29 2009-07-17
6 GOLDMAN SACHS FUTURES (ASIA) LIMITED RO Dealing in futures contracts 2009-04-29 2009-07-17
7 UBS Asset Management (Hong Kong) Limited Rep Advising on securities 2017-01-19 2017-01-25
8 UBS Asset Management (Hong Kong) Limited Rep Dealing in securities 2017-01-19 2017-01-25
9 UBS Asset Management (Hong Kong) Limited Rep Advising on securities 2018-02-26 2018-03-05
10 UBS Asset Management (Hong Kong) Limited Rep Dealing in securities 2018-02-26 2018-03-05
11 UBS Asset Management (Hong Kong) Limited Rep Advising on securities 2018-07-10 2018-07-16
12 UBS Asset Management (Hong Kong) Limited Rep Dealing in securities 2018-07-10 2018-07-16
13 UBS Asset Management (Hong Kong) Limited Rep Advising on securities 2019-02-20 2019-02-26
14 UBS Asset Management (Hong Kong) Limited Rep Dealing in securities 2019-02-20 2019-02-26
15 UBS Asset Management (Hong Kong) Limited Rep Advising on securities 2019-09-09 2019-09-13
16 UBS Asset Management (Hong Kong) Limited Rep Dealing in securities 2019-09-09 2019-09-13

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