牌照詳情

法團名字: UBS Securities Asia Limited
證監會中央編 號:AAV882
發牌日期:21/05/2005
受規管活動生效日期
證券交易2005年5月21日
期貨合約交易2005年5月21日
就證券提供意見2005年5月21日

地址

營業地址
香港中環金融街8 號國際金融中心二期46-52樓
電郵地址
[email protected]
網站地址
www.ubs.com

負責人員

負責人員名字中央編號
CHAN Raymond Yiu Yue陳耀宇AHA800
CHHAOCHHARIA GautamAWK911
COMBALOT Laurent Benoit GeorgesAHC015
DE GARIDEL-THORON Thomas Henri S. M.AUX091
ERSOY Alan MetinAOY949
FANG Dongming房東明AFE991
HORTH Damien John MagellanAMA051
HUNT Christopher James AndrewsAHR004
INNERDALE David JamesALS810
LI Jing李菁AOV618
MOHLA Abhishek DushyantAUZ081
MURPHY Daniel JosephASI403
SLAOUI Mohammed SaadAYC193
SMART Timothy DavidAME116
SUNG Yoon KyuAKU991
TAKAHASHI Taichi高橋太一AZY880
WANNENMACHER TimAMU467
WOO Yik Yuen胡翊遠AND666
YULE MartinAOU139

代表

代表名字中央編號
AGARWAL AbhishekBEB756
AGUIRRE Ramon Jose EscalonaAYL130
ALTERMAN ValeriiaBND296
ANSARI Patrick MehranBFX161
ARORA RohitART681
AUDI EliasBCE913
BAILEY Brandi LynBLL632
BARBARA RomainBPW962
BAWEJA BhanuAXR105
BHUMIRATANA SanuAOB633
BIAN Sijia卞思佳BOB217
BLAND Christopher SebastianBHH249
BONHOMME Mathieu PierreBDL836
BORDAT-MALDONADO PARRA Adrien Paul AugustinBBB918
BRIGGS James Thomas EdwardBCC466
BUCHANAN Thomas MatthewASJ685
BUSH Timothy DavidANG617
CADE Natalie MargaretBPD453
CAI Zhibin蔡志斌AYC190
CAMPOS DIAZ Adrian GiancarloBHD137
CAPPELLINI MatteoBPQ516
CARROLL ShaneBEA790
CHALMERS Tony MarianBJV697
CHAN Bonnie See Wa陳思華BNK872
CHAN Chi Lap陳志立ATD881
CHAN Chin Kiu陳展翹AVM792
CHAN Lee QuanBLJ949
CHANG Jack Chun-Chieh張俊傑ANX862
CHANG Lei暢磊BFI262
CHANG Pui Chun Jenny張蓓珍ARU007
CHANG Show ShinBPV961
CHEE Daryl Tak-fung徐德丰BOZ567
CHEN Dennis Chih Chieh陳智傑APH886
CHEN Ken An陳安ANX752
CHEN Kunjie陳坤杰BOC807
CHEN Lijuan陳利娟AVL498
CHEN Wen-Chin陳玟瑾AVD899
CHEN Xin陳欣AXS722
CHEN Ya-Li 陳雅麗BBL253
CHEN Ying Chih陳盈志BIB859
CHENG Kai-wen鄭凱文BQQ225
CHENG Yu Chieh鄭祐杰BQG737
CHEUK So Wah卓素華ARB609
CHEUNG Edward張子謙BOP546
CHOI Sheung Ngai蔡尚毅AFG685
CHOI Wai Man蔡慧敏AMG898
CHOUDHURY AvijitAVT529
CHU Hiu Wai, Kelvin朱曉暐ARN399
CHU Man Ho, Michael朱文浩ANF180
CHUANG JamesBLA372
CORONES Georgia KateBDV251
DAVIS Christopher EdwardAXD833
DE GARIDEL-THORON Thomas Henri S. M.AUX091
DENG Bo鄧博BDV249
DENG Weishen鄧維慎BAE414
DING Yueli丁月麗BPK064
DONAN Keith DonaldAXG905
DRAKEFORD Stephen GregoryBBU904
DU Wenzhuo杜文卓BHB625
ERSOY Alan MetinAOY949
FALIPOU Fabien Jean RogerAZY951
FAN Mingxi范明曦AJC179
FANG Dongming房東明AFE991
FANG Shuai房帥BKV676
FANG Xinyu方昕宇BQF453
FARHAT SarahBPM811
FARTHING Jon KristoferBBC926
FERREIRA DA COSTA Jacinto AlbertoALI139
GAN Jian BoBGI749
GANGAL Shrinivas RavindraBBN555
GASTREICH Peter FriedrichAHB509
GAUDOIS Nicolas JunelAUE035
GO RobrinaASZ683
GOH Nicole Sue YiAWE537
GONG Min鞏旻ATX842
GOYAL VishalAUU965
GROUX Florian Rene AlexisBQS949
GUENANCIA Paul Pierre JosiasBPY277
GUEZ Ilane Yonathan PierreBAD514
GUO Boyi郭博藝BNU690
GUO Yifan郭一凡BNG244
GUPTA JAIN TanveeAXW594
GUSAK Victor VladislavBKN511
HAN Chunxiao韓春晓BQT175
HAN Jennifer KounAMY266
HAN Sixu韓思旭BNU117
HERCOT Guillaume Raphael MaximilienBMH781
HIRATA ShingoAYG042
HIZON Karen Louise HiladoBDU666
HO Chak Pan何澤彬BPW822
HO Cheuk Wing何卓榮BOR240
HODJATZADEH SuransiBNH256
HOLROYD Alistair HugoBAW840
HONG Timothy Kai-chun康家俊BNQ720
HU Jing胡靜BDI053
HUANG Haoya黃皓雅BNL472
HUANG Zhenhao黃震昊BRD598
HUI Siu Yin Jimmy許兆賢BHY281
JAMES Alun RichardBBU307
JIANG Chun江純BNU101
JOSEPH PULPEL SavioAXF534
JUNG Jae YoungBEB755
KAN Ching-Jen甘清仁AOX099
KAROFSKY Robert BASX340
KILLA NavinAFK593
KIM Minkyu金旻奎BEO107
KIM Young ChaeBNF358
KOIKE Yukihiro小池幸弘BAT249
KUDALKAR SamarthBFI923
KUMAR ManharBJV395
KWAN Sing Yuen關承遠ABW052
KWOK Kam Ho郭錦澔BPX005
KWONG Myron Mann鄺孟恆ANR646
LAI Rongye賴榮曄AYR571
LAI Yi-Ting賴怡婷BNP460
LAM Chun Hung林鎮鴻ATL665
LAM Jarvis Chun Hang林俊亨BQG739
LAM Ka Lai林嘉麗AUT719
LAM Yan Wah, Jenny林欣樺ARG938
LAU Hynn Mann Mandy劉軒文BHY639
LE BINH KhoiBKP233
LEE Cheryl Mui LynnANX714
LEE JaisonAVD395
LEE Jayoung李紫瑛BFN112
LEE Jina李真我AUT717
LEE King Hang李璟恆AXV267
LEE May LinAVT527
LEE TaewooBHI011
LEE Vivian Yee ManAYC180
LEE Yan Kak Brian李恩格BNR145
LEE Yen-Wei李彥緯BFC411
LEUNG Chin Ka梁展嘉BDR374
LI Christopher Ho-shingBJB842
LI Curtis Yang李洋洋BIE457
LI Jing李菁AOV618
LI Liangde李亮德BPW620
LI Lin李林BBG804
LI Pulan李譜藍BLU489
LI Siying李思瑩BHU352
LI Tsz Wai李梓維AWL543
LIM Khoon Hian MichaelATS891
LIM Pek KueenBDL625
LIN Pui Kwan, Eric連沛堃AVP184
LIU Chao劉超BOC157
LIU Jerry YuanBAE419
LIU Kai Wa廖啟華AXL351
LIU Mingdi劉鳴鏑AKU877
LIU Ning劉寧ASZ222
LIU Suyang劉蘇阳BJH292
LIU Yaokun劉耀坤BJI665
LIU Zhijing劉智景AWW251
LOCK Timothy JamesAXQ297
LOO Renee Oi Pui盧皚姵BPJ459
LU Kwai Ching呂桂貞ANE696
LU Zhicheng陸志成BJR690
LUK Yuen San, Karen陸潤珊AKX264
MA Kin Kei, Kenneth馬建基AZW082
MACDONALD Alexia Grace麥樂庭BLP794
MACLEOD Niall JamesAOY622
MANZONE Jaime CheBMU994
MARATIER Felix JacquesAXZ876
MARTIN Troy Richard WilliamBHG437
MASHRU Namrata SudhirBAF822
MC CARTHY BarryAYD555
MC NULTY Peter RichardBBR308
MCCASKER Grant DavidATL666
MIN Hao閔皓BDV966
MIZUNO HikaruAXV981
MOHLA Abhishek DushyantAUZ081
MOK Kwan Ho莫君豪AXS235
MOORHEAD Jonathan James StevensonBPW741
MOTWANI Natasha MurliAUR655
MOYNIHAN Daniel JohnBDM186
MURPHY Daniel JosephASI403
MURSHED Izaan MohammadBPY376
NAGARAJAN DiviyaAUC175
NGAI Cho Lap倪祖立BLF241
ONG Brigitte Yu Shan王愉善BKD063
OR Felix柯柏年ADH585
PAN Renyi潘人怡BMP234
PANG Wing Yan彭永欣AQL248
PARAKH ArchitBBT705
PARSONS Steven John WiltonAVR157
PEI Yining裴怡宁BOP921
PENG Yanyan彭燕燕ALD396
PERERA Errol Alistair DevindraBDR321
PRINCE Alexander GilbertAXH803
QIAN Lin錢琳BGX450
QIAN Yangyang錢泱暘BQV694
QUESNOT Jean-joseph Bernard GastonBKE518
RANJANABGQ893
RAWAT AakashARR537
REILLY Nathan JohnBML864
REPERANT Vassili Benjamin Maurice ValentinBFA019
RODFORD Mark AndrewBQV688
SANTIAGO Domingo III ManaladANH016
SCHLOEGEL Fabrice Robert Marius ClaudeBPO546
SCHMITZ Charline FlorenceBPX545
SCHNEIDEREIT Marc DanielBOT761
SEALEY IanBOR771
SETIADI BobBOB994
SHAH Ryan ShaileshBFI955
SHAO Jimmy ZhuangBFM943
SHEN Blake C沈欽揚AYQ549
SHEN Jiamin沈嘉珉BKQ448
SHEN Jiawen沈佳雯ANQ097
SHENG Yi盛亦BOZ227
SHI Tianyi施天怡BPV473
SIU Wing Man, Vivian蕭詠雯BDX976
SO Wan Yi蘇韻怡AVT320
SOLOMON Alexandra KuminBLL080
SON Yong SukAMY256
SONG Chaoran宋超然BDL242
STEMPIEN Jan PawelBQI010
SUEN Kin Dick孫堅迪AVM103
SUI Voon Keat Kenneth許文杰APG897
TAKAHASHI KeiAOQ614
TAKAHASHI KoheiBCP991
TAM Wan Rou, Denise譚菀柔AQS365
TAN Yew KiatARM832
TAN You KhaiBFE580
TANEJA KaranBPQ514
TANG Shan唐山BLH582
TANJA Joshua AriefAOA141
TEATHER Edward KennethATO800
THARENOU GeorgeAXM312
TIMMS John WillardAWU652
TONG Chak Pan, Chaplin湯澤斌AQA680
TONG Tze Kong唐梓剛AMQ919
TONG Yat Lai, Elliot唐逸禮AMM328
TOONG Po Ming, David佟寶銘AOV609
TSAI Hsueh-Ping蔡雪屏ATS056
TSE Fiona Yuen Tung謝宛彤BQU422
TSE Kenyon King-yung謝敬勇AMF472
VANDERPUMP William JamesBEG371
VEYRET PierreBNO571
VISWANATH RameshAUZ373
WALTERS Andrew JamesAOT505
WAN Xing万星AXQ294
WANG Beili王蓓麗BQO996
WANG Feili王斐麗AIR147
WANG Jack Kuan Chung王冠中BFA769
WANG James Zong Hao王宗豪BNP171
WANG Ran王冉BPQ519
WANG Tao汪濤ARE531
WANG Yinghua王穎華BGO809
WANG Yujue王玉珏BQQ351
WAT Chung Yin, Janice屈頌然BPW952
WATANABE MarikoAOY781
WEI Jiarui魏嘉瑞BML418
WEI Pengyu魏鵬宇BQQ653
WILLIAMSON Andrew MastersAXM703
WINTER Paul JohnAZV904
WONG Ho Lun, Donald黃浩麟APH272
WONG Jee Chung黃治璁BIW480
WONG Lai Man王麗雯AFC401
WONG See Wah, Eva黃思華AUR982
WOO Yik Yuen胡翊遠AND666
WOODWARD Anthony James PassinghamACS226
WU Bun Lerd Bernard胡斌畧APL242
WU Philip Han Wen吳翰文BOM514
WU Ping Hei Ronald胡炳熙BPI141
XI Yiru席奕儒BPX069
XIAO Yang肖陽AOR177
XIN Xing辛星BPV806
XING Xuan星璇BBP295
XIONG Wei熊瑋BJC489
XU Bin徐賓ANZ630
XU Chen徐晨BHJ441
XU Huifang徐惠芳BAV748
XU Peilai徐沛來AOH669
XU Yanjing許嬿婧BDI760
XU Yiren徐伊人BPZ928
YAN Meizhi顏湄之ARP097
YAO Chen姚辰BOP084
YASUI Kenji安井健二ASS292
YE Xiaoxiong叶晓雄BHU991
YEUNG Yu Pang楊裕鵬BMK681
YIP Tsz Chung葉梓聰BCU474
YOON Jong HyeonBOT416
YOU Wensi游文思BLD314
YU Jia俞佳BJQ980
YU Qian余謙BLB398
YU Siwei余思維AOI988
YU Yan喻言BOC521
YUEN Wai Ching袁偉政BQW094
YUN HeekyuATJ399
ZAYCO Matthew Dionisio高智忠BPW594
ZHANG Charles張大兆AWP279
ZHANG Han張涵BOA571
ZHANG Ning張宁BBM233
ZHANG Ying章穎BJR686
ZHANG Yiting張怡婷BOF097
ZHANG Yueyang張悅洋BQQ175
ZHANG Zhiyun張之韵BPH521
ZHANG Zijun張紫珺BHF774
ZHAO Siyu趙思娛BHZ251
ZHOU Huanan周化南BEI379
ZHOU Xinchen周欣辰BKU697
ZUO Yiyuan左憶遠BKG344

投訴主任

電話號碼: 37122635
傳真號碼: 29718996
電郵地址: [email protected]
通訊地址: 46-52/F Two International Finance Centre, 8 Finance Street, Central, Hong Kong

條件

生效日期牌照條件

公開紀律行動

採取行動日期所採取的行動證監會新聞稿
Mar 21, 2018 12:00:00 AMFineEnglish
中文
Mar 21, 2018 12:00:00 AMPublic ReprimandEnglish
中文

前稱

有效期至名稱
2003年6月9日UBS Warburg Asia Limited
2000年5月2日Warburg Dillon Read (Asia) Limited
1998年6月29日SBC Warburg Dillon Read Asia Limited
1997年9月30日SBC Warburg Asia Limited
1995年9月1日SBC Asia Limited
1995年1月2日SBCI Finance Asia Limited
1990年11月26日SBCA (Hong Kong) Limited

牌照記錄

受規管活動有效時期
證券交易2003年4月1日~
期貨合約交易2003年4月1日~
就證券提供意見2003年4月1日~
就期貨合約提供意見2003年4月1日~2005年2月4日
就機構融資提供意見2003年4月1日~2005年2月4日
提供資產管理2003年4月1日~2005年2月4日

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