UBS AG
Information
- Summary:
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for UBS AG, a Hong Kong-based registered institution with CE reference AEP554. Currently licensed for regulated activity type(s) 1 - Dealing in securities; 4 - Advising on securities; 6 - Advising on corporate finance; 7 - Providing automated trading services; 9 - Asset management. Current licensed staff on file: 0 (total recorded over time: 0). Earliest licence on file: 2006-01-04.
- Category:
-
Sell side · Investment banking ?
- Registered address:
- 17/F, Li Po Chun Chambers, 189 Des Voeux Road, Central
- Website:
- LinkedIn:
Licence history
| Activity | From | To |
|---|---|---|
| Type 1 - Dealing in securities | Pre-2003 | present |
| Type 4 - Advising on securities | Pre-2003 | present |
| Type 6 - Advising on corporate finance | Pre-2003 | present |
| Type 7 - Providing automated trading services | 2006-01-04 | present |
| Type 9 - Asset management | Pre-2003 | present |
Licensed staff trend
-
Total licensed staff, all activities
Licensed staff (all-time) (0)
Active on date
| Name | Activities | First licensed | To |
|---|---|---|---|
| No staff history on file. | |||
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