Christopher Thomas Bae

CE No. AQI792 Ceased

This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Christopher Thomas Bae (), a licensed former licensee with CE reference AQI792. Total licence records on file: 16.

Licence history

FirmRoleRegulated activityFromTo
UBS Asset Management (Hong Kong) Limited Rep Type 1 — Dealing in securities 2019-09-09 2019-09-13
UBS Asset Management (Hong Kong) Limited Rep Type 4 — Advising on securities 2019-09-09 2019-09-13
UBS Asset Management (Hong Kong) Limited Rep Type 1 — Dealing in securities 2019-02-20 2019-02-26
UBS Asset Management (Hong Kong) Limited Rep Type 4 — Advising on securities 2019-02-20 2019-02-26
UBS Asset Management (Hong Kong) Limited Rep Type 1 — Dealing in securities 2018-07-10 2018-07-16
UBS Asset Management (Hong Kong) Limited Rep Type 4 — Advising on securities 2018-07-10 2018-07-16
UBS Asset Management (Hong Kong) Limited Rep Type 1 — Dealing in securities 2018-02-26 2018-03-05
UBS Asset Management (Hong Kong) Limited Rep Type 4 — Advising on securities 2018-02-26 2018-03-05
UBS Asset Management (Hong Kong) Limited Rep Type 1 — Dealing in securities 2017-01-19 2017-01-25
UBS Asset Management (Hong Kong) Limited Rep Type 4 — Advising on securities 2017-01-19 2017-01-25
Goldman Sachs (Asia) L.L.C.
高盛(亞洲)有限責任公司
RO Type 1 — Dealing in securities 2009-04-29 2009-07-17
Goldman Sachs (Asia) Securities Limited
高盛(亞洲)證券有限公司
RO Type 1 — Dealing in securities 2009-04-29 2009-07-17
Goldman Sachs Futures (Asia) Limited
高盛期貨(亞洲)有限公司
RO Type 2 — Dealing in futures contracts 2009-04-29 2009-07-17
Goldman Sachs (Asia) L.L.C.
高盛(亞洲)有限責任公司
Rep Type 1 — Dealing in securities 2008-01-24 2009-04-29
Goldman Sachs (Asia) Securities Limited
高盛(亞洲)證券有限公司
Rep Type 1 — Dealing in securities 2008-01-24 2009-04-29
Goldman Sachs Futures (Asia) Limited
高盛期貨(亞洲)有限公司
Rep Type 2 — Dealing in futures contracts 2008-01-24 2009-04-29

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