Thomas Charles Klugherz
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Thomas Charles Klugherz ( ), a licensed former licensee with CE reference BID168. Total licence records on file: 4.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Asset Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2017-10-04 | 2017-10-11 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2017-10-04 | 2017-10-11 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2016-09-08 | 2016-09-14 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2016-09-08 | 2016-09-14 |