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

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