Yasunori Shimizu
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yasunori Shimizu ( ), a licensed former licensee with CE reference BJF243. Total licence records on file: 21.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2026-01-13 | 2026-01-17 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2025-10-03 | 2025-10-12 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2025-10-03 | 2025-10-12 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2025-03-04 | 2025-03-07 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2025-03-04 | 2025-03-07 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2024-11-08 | 2024-11-15 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2024-11-08 | 2024-11-15 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2024-06-21 | 2024-06-29 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2024-06-21 | 2024-06-29 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2023-12-01 | 2023-12-13 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2023-12-01 | 2023-12-13 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2022-12-12 | 2022-12-16 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2022-12-12 | 2022-12-16 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2017-09-07 | 2019-04-06 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2017-09-07 | 2019-04-06 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2017-09-07 | 2019-04-06 |
| UBS Securities Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | 2017-09-07 | 2019-04-06 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2017-03-10 | 2017-03-18 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2017-03-10 | 2017-03-18 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2017-03-10 | 2017-03-18 |
| UBS Securities Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | 2017-03-10 | 2017-03-18 |