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. This person has 8.7 years of SFC licence history. Total licence records on file: 7.
Information
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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 | Pre-2003 | 2004-05-13 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | Pre-2003 | 2004-05-13 |
| UBS Securities Asia Limited | Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-05-13 |
| UBS Securities Asia Limited | Rep | Type 9 - Asset management | Pre-2003 | 2004-05-13 |