牌照詳情

法團名字: UBS Securities Hong Kong Limited
證監會中央編 號:BIN466
發牌日期:19/12/2016
受規管活動生效日期
證券交易2016年12月19日
期貨合約交易2016年12月19日
就機構融資提供意見2016年12月19日
提供自動化交易服務2016年12月19日

地址

營業地址
香港中環金融街8號國際金融中心2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
AN Zhen安鎮APB220
BASSOLINO GaetanoBNW211
CHAN Lap Lam陳立林AYQ809
CHIN Hung I金弘毅ADT385
CHONG Yao Hoong張耀鴻AYQ810
COMBALOT Laurent Benoit GeorgesAHC015
DE GARIDEL-THORON Thomas Henri S. M.AUX091
ERSOY Alan MetinAOY949
FENG Yun馮贇ATN364
HON Wai Man, Samantha韓慧文AEA196
INNERDALE David JamesALS810
LEE Chen Kwok, John李鎮國ACI535
LEI Bing雷冰AXM402
LI Jing李菁AOV618
LUO Jun羅駿AYR264
MOHLA Abhishek DushyantAUZ081
MURPHY Daniel JosephASI403
NGIE Chuen Shun倪傳順AFM599
NUSSBAUM Daniel FabioBDV169
REPERANT Vassili Benjamin Maurice ValentinBFA019
SLAOUI Mohammed SaadAYC193
SUNG Yoon KyuAKU991
TAKAHASHI Taichi高橋太一AZY880
TSANG Kong Hung, Patrick曾剛雄AGH150
WANNENMACHER TimAMU467
WOO Yik Yuen胡翊遠AND666

代表

代表名字中央編號
AGOSTINELLI CarloBEO619
ALEXANDER NicholasBRE380
ALTERMAN ValeriiaBND296
ANSARI Patrick MehranBFX161
AUDI EliasBCE913
BAILEY Brandi LynBLL632
BAJA Lauro III CastroAFL365
BARBARA RomainBPW962
BHUMIRATANA SanuAOB633
BI Xuewen畢學文BFE600
BIAN Sijia卞思佳BOB217
BIER GabrieleBNI506
BONHOMME Mathieu PierreBDL836
BORDAT-MALDONADO PARRA Adrien Paul AugustinBBB918
BRAND Mathieu Edouard NicolasBNO502
CAI Catherine Hongjun蔡紅軍AFJ286
CAI Zhibin蔡志斌AYC190
CAI Zhiwei蔡志偉BQF064
CAPPELLINI MatteoBPQ516
CARROLL ShaneBEA790
CEN Tian岑天AFC965
CHALMERS Tony MarianBJV697
CHAN Bonnie See Wa陳思華BNK872
CHAN Chin Kiu陳展翹AVM792
CHAN Christopher Anthony陳禮翰BQB040
CHAN Esther Mei Sze陳美詩BFY475
CHAN Hon Yin陳瀚賢AYO720
CHAN Lee QuanBLJ949
CHAN Wing Yan陳穎忻BHY591
CHANG Byung Woon張炳雲BQD509
CHANG Jack Chun-Chieh張俊傑ANX862
CHANG Lei暢磊BFI262
CHANG Pui Chun Jenny張蓓珍ARU007
CHANG Wei Hsuan張偉萱BPV643
CHAU Kai Ho周啟豪AZZ303
CHEE Daryl Tak-fung徐德丰BOZ567
CHEN Changhao陳昌濠AYP959
CHEN Dennis Chih Chieh陳智傑APH886
CHEN Fang陳昉BGG943
CHEN Ge諶戈AMO864
CHEN Gong陳功AZN311
CHEN Hao陳浩BQH895
CHEN Jianfen陳劍芬BAX618
CHEN Jie陳洁ATO813
CHEN Lijuan陳利娟AVL498
CHEN Ying Chih陳盈志BIB859
CHENG Kai-wen鄭凱文BQQ225
CHENG Xiuyuan程修遠AXR522
CHEUK So Wah卓素華ARB609
CHEUNG Edward張子謙BOP546
CHEUNG Seen Ka, Selina張倩嘉APR963
CHEUNG Ting Kin, Bernard張廷堅APN584
CHIU Chanel Mun Lum趙曼琳BEI462
CHO Tin Tak曹天德AXX258
CHOI Sheung Ngai蔡尚毅AFG685
CHU Man Ho, Michael朱文浩ANF180
CHUNG Ming Chun Jason鍾明俊AZS638
CHUNG Wing Chung鍾頴聰BQB503
COPERTI Giulio GiacomoBOG205
CORONES Georgia KateBDV251
DAI Xi戴茜BEL250
DAVIS Christopher EdwardAXD833
DE GARIDEL-THORON Thomas Henri S. M.AUX091
DING Ding丁丁BQJ707
DONAN Keith DonaldAXG905
ERSOY Alan MetinAOY949
FALIPOU Fabien Jean RogerAZY951
FAN Wei范圍BQF160
FANG Shuai房帥BKV676
FARHAT SarahBPM811
FENG Xinglei冯星磊BQG528
FENG Xinhe馮馨荷BBP375
FERREIRA DA COSTA Jacinto AlbertoALI139
GANGAL Shrinivas RavindraBBN555
GAO Yunzhu高云竹BNR003
GE Xiaobai葛瀟白BDH915
GE YanweiBNG522
GROUX Florian Rene AlexisBQS949
GU Shiyi顧詩意BIK447
GU Tianxing頤天行BFK957
GU Yiwei顧怡煒BNS285
GUENANCIA Paul Pierre JosiasBPY277
GUEZ Ilane Yonathan PierreBAD514
GUI Xiaofang桂曉芳BQF073
GUO Xinyu郭鑫昱BBI891
GUSAK Victor VladislavBKN511
HALL Aleisha Ming-YeeBRE268
HAN Lin韓林BQF403
HE Yingqing賀盈青BQF095
HERCOT Guillaume Raphael MaximilienBMH781
HO Chak Pan何澤彬BPW822
HO Cheuk Wing何卓榮BOR240
HO Gabrielle Ji-chuen賀紫君BPK464
HO Wai Sze何慧思AVD964
HODJATZADEH SuransiBNH256
HOLROYD Alistair HugoBAW840
HONG Timothy Kai-chun康家俊BNQ720
HORROBIN Fergus PeterAYR065
HOU Yankun侯延琨AOC747
HSU Christine Shing徐欣AYR067
HU Jing胡靜BDI053
HU Linghan胡凌寒AVZ070
HU Xuedong胡雪冬BDI148
HUANG Chutian黃楚天BOC568
HUANG Zhenhao黃震昊BRD598
HUI Siu Yin Jimmy許兆賢BHY281
HUNG Man Hin Ernest洪敏騫BQR219
HUO Dengjin霍登進BAN046
JAMES Alun RichardBBU307
JIA Chaoxiang賈超翔BBM231
JIA Peng賈鵬AYR513
JIANG Lecheng姜樂成BGO348
JIN Changyu金昶宇BNH510
JIN Suhui金蘇回BPW937
JOSEPH PULPEL SavioAXF534
JUNG Jae YoungBEB755
KIM Young ChaeBNF358
KING Richard Yun Zing金元成ADM983
KO Silvia高思雯APQ588
KUDALKAR SamarthBFI923
KUMAR SawanAZT670
KWAN Sing Yuen關承遠ABW052
KWONG Myron Mann鄺孟恆ANR646
LAI Rongye賴榮曄AYR571
LAI Siu Wa黎少華BPV534
LAI Yi-Ting賴怡婷BNP460
LAM Ka Lai林嘉麗AUT719
LAM Wai Yee林慧儀BNX898
LAMBERT Ashley GeorgeBRD668
LAU Sze Ki劉詩琪BHD251
LEE King Hang李璟恆AXV267
LEUNG Lok Kwan梁樂君BQC222
LI Da李達BIO662
LI David Sijun李思駿BEW621
LI Hongchao李洪超BQF103
LI Jing李菁AOV618
LI Peng李鵬APC522
LI Tao李濤BQA734
LI Tsz Wai李梓維AWL543
LI Wai Lim, Lambda李慧濂ACZ968
LI Weijia李唯嘉BFU370
LI Yi Qiao Felicity李軼翹BHD685
LI Yilu李伊呂ATN888
LI Zixi李子熹BHD546
LIANG Yinyu梁銀玉BCG282
LIAO Yining廖乙凝BAB696
LIM Pek KueenBDL625
LIN Michelle Chia-HsingAUW242
LIN Tiantian林天天BIB398
LIU Liu劉柳BRA448
LIU Ning劉寧ASZ222
LIU Wencheng劉文成AYR226
LIU Yida柳意達BHD554
LO Samson Lambert盧穗誠APQ184
LOCK Timothy JamesAXQ297
LOO Renee Oi Pui盧皚姵BPJ459
LU Qingzi呂青子BQS038
LUO Qiwen羅綺雯BIE311
MA Kin Kei, Kenneth馬建基AZW082
MAGNI NicoloAYO859
MALTER Hannah RebeccaAYQ635
MARTIN Troy Richard WilliamBHG437
MASHRU Namrata SudhirBAF822
MATTOLI Enrico AndreaASD757
MC CARTHY BarryAYD555
MC NULTY Peter RichardBBR308
MOK Eugenia Y.H.莫雨軒AYR645
MOK Kwan Ho莫君豪AXS235
MOK Tze Chung莫子中AZF440
MOORHEAD Jonathan James StevensonBPW741
MOTWANI Natasha MurliAUR655
MOVSUMOV DzhavadAZT495
MOYNIHAN Daniel JohnBDM186
MURPHY Daniel JosephASI403
NG Jun吳浚BNV806
NGAI Cho Lap倪祖立BLF241
O'SHAUGHNESSY Calvin JohnBMV914
ON Chin Bong安展邦BKR852
ONG Brigitte Yu Shan王愉善BKD063
OR Felix柯柏年ADH585
OUYANG Linshan歐陽林杉BQA722
PAN Zhicun潘治存BNT241
PARAKH ArchitBBT705
PARKER Kirsten BuntyBEZ493
PAWLUK MatthewBQZ930
PEI Yining裴怡宁BOP921
PEIRCE Gregory IainBMZ609
PENG Sihao彭思皓BQI033
PERERA Errol Alistair DevindraBDR321
PING Zhiyuan平之芫BPS471
PO Ho Sang布浩生BPS594
POULIOT Nicolas包力嘉AJO505
PRINCE Alexander GilbertAXH803
QIAN Yangyang錢泱暘BQV694
QIAO Yijie喬亦杰BNX896
QIN Xuanyu秦璇宇BLD350
QUESNOT Jean-joseph Bernard GastonBKE518
REN Ning任凝AVT381
RODFORD Mark AndrewBQV688
SCHMITZ Charline FlorenceBPX545
SCHNEIDEREIT Marc DanielBOT761
SHAO Stephen Tian-cheng邵天誠BPS474
SHEN Blake C沈欽揚AYQ549
SHEN Dehua沈德華AMU085
SHEN Jiawen沈佳雯ANQ097
SHI Tianyi施天怡BPV473
SIAPKAS DimitriBRE275
SO Jonathan Chunkit蘇俊傑AYR297
SO Wan Yi蘇韻怡AVT320
SONG Chaoran宋超然BDL242
SONG Ci宋辭BCT672
SONG Guchuan宋谷川BQF157
SONG Yuyun宋雨韵BHL834
SONG Zhihao宋至皓BPS481
STERNBY Bjoern Petter WaldemarAWS041
SUEN Kin Dick孫堅迪AVM103
SUI Voon Keat Kenneth許文杰APG897
SUN Bo孫博BQF186
SUN Lijun孙利军BAC326
SUN Yuchen孫宇辰BQM668
TAAVITSAINEN Mika Pekka NicolasAYQ639
TAM Wan Rou, Denise譚菀柔AQS365
TAN You KhaiBFE580
TANEJA KaranBPQ514
THANASEKARAN IndranBCV166
TIAN Ge田鴿BJR799
TONG Kwong Yuen, James唐廣源BPV560
TONG Yat Lai, Elliot唐逸禮AMM328
TOO Lai Shan陶麗珊BEU843
TOONG Po Ming, David佟寶銘AOV609
TSE Fiona Yuen Tung謝宛彤BQU422
TSE Kenyon King-yung謝敬勇AMF472
TSUI Benjamin Jamie On Min徐安民AZT232
VEYRET PierreBNO571
VISWANATH RameshAUZ373
WALTERS Andrew JamesAOT505
WAN Xing万星AXQ294
WANG Binzhou王彬舟BII942
WANG Hao王浩BLH590
WANG Jinjin王進璡AGP733
WANG Jue王珏BAT857
WANG Keyi王克一BDQ199
WANG Qinyan王沁彥ARP576
WANG Ran王冉BPQ519
WANG Shihui王詩卉BIG680
WANG Siyun王思韵BGO634
WANG Tai Ying王岱瀅BNU191
WANG Xiaotong王晓彤BQF174
WANG Xiaoxuan王小旋BMV922
WANG Yesong王燁崧BFU375
WANG Yinghua王穎華BGO809
WANG Youli王又麗BNR007
WANG Yujue王玉珏BQQ351
WAT Chung Yin, Janice屈頌然BPW952
WAT Ling Sheung, Ada屈凌霜AYR303
WEI Pengyu魏鵬宇BQQ653
WONG Ho Lun, Donald黃浩麟APH272
WONG Kwan Shun, James王君舜AYQ796
WONG Lai Man王麗雯AFC401
WONG Man Tsun黃汶浚BDQ203
WOO Wai Man, Wyman Karen胡慧雯AQU150
WOO Yik Yuen胡翊遠AND666
WU Bun Lerd Bernard胡斌畧APL242
WU Warren Charles吳華倫AUZ061
XI Yiru席奕儒BPX069
XIANG Yinan項伊南BAA725
XIN Xing辛星BPV806
XU Anqi徐安祺BQC219
XU Haoyuan徐浩源BPS658
XU Huifang徐惠芳BAV748
XU Peilai徐沛來AOH669
XU Wenyan許文彥BHL202
XU Zhijun許知君BER726
YAN Chunzi閻春子BLP806
YANG Bing楊兵ATX912
YANG Fan楊帆APF030
YANG Yuanhao楊元浩BFW663
YEH Shu-Wei葉書維BGE406
YIP Tsz Chung葉梓聰BCU474
YIU Sui Chong姚穗莊AOS002
YOU Wensi游文思BLD314
YU Ho Man Horace余浩文BHY614
YU Yan喻言BOC521
YUAN Yuan袁媛AYR305
YUEN Wai Ching袁偉政BQW094
YUN HeekyuATJ399
ZHANG Charles張大兆AWP279
ZHANG Jiaming張家銘BPK476
ZHANG Qianqian張芊芊BGB534
ZHANG Ruiming張蕊名BLG388
ZHANG Siqi張思奇BPS603
ZHANG Yang張阳BAA720
ZHANG Yiting張怡婷BOF097
ZHANG Zhihai張志海AYI399
ZHANG Zhiyun張之韵BPH521
ZHANG Zijun張紫珺BHF774
ZHANG Ziqin章梓秦BQA872
ZHAO Qingli趙清麗BDZ931
ZHAO Yuan趙圓BQK009
ZHENG Emily Jiashin鄭佳欣BLG385
ZHENG Jiwei鄭繼偉BQG649
ZHOU Ji周佶BJE003
ZHOU Kaiwen周恺文BEB426
ZHOU Xinchen周欣辰BKU697
ZHOU Yuxin周雨欣BNU828
ZHU Peng祝鵬BQF198
ZHU Zhengqin朱正芹AYS124
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
2016年12月19日就第6類受規管活動而言,持牌人不得就證監會發出的《公司收購、合併及股份回購守則》範圍內的事宜/交易向客戶提供意見。

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 14, 2019 12:00:00 AMPublic ReprimandEnglish
中文
Mar 14, 2019 12:00:00 AMFineEnglish
中文
Mar 14, 2019 12:00:00 AMSuspensionEnglish
中文
Jan 14, 2020 12:00:00 AMOther - See Press ReleaseEnglish
中文

前稱

有效期至名稱

牌照記錄

受規管活動有效時期
證券交易2016年12月19日~
期貨合約交易2016年12月19日~
就機構融資提供意見2016年12月19日~
提供自動化交易服務2016年12月19日~

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