Christopher Thomas Bae
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
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| 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 |