Rebecca Judith Thomas
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Rebecca Judith Thomas ( ), a licensed former licensee with CE reference AHC210. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Hong Kong Limited | Rep | Type 7 - Providing automated trading services | 2011-10-13 | 2016-07-28 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2008-12-19 | 2016-07-28 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2008-12-19 | 2016-07-28 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | present | 2004-05-13 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | present | 2004-05-13 |
| UBS Securities Asia Limited | Rep | Type 6 - Advising on corporate finance | present | 2004-05-13 |
| UBS Securities Asia Limited | Rep | Type 9 - Asset management | present | 2004-05-13 |