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 |
負責人員
| 負責人員名字 | 中央編號 |
|---|
| AN Zhen安鎮 | APB220 |
| BASSOLINO Gaetano | BNW211 |
| CHAN Lap Lam陳立林 | AYQ809 |
| CHIN Hung I金弘毅 | ADT385 |
| CHONG Yao Hoong張耀鴻 | AYQ810 |
| COMBALOT Laurent Benoit Georges | AHC015 |
| DE GARIDEL-THORON Thomas Henri S. M. | AUX091 |
| ERSOY Alan Metin | AOY949 |
| FENG Yun馮贇 | ATN364 |
| HON Wai Man, Samantha韓慧文 | AEA196 |
| INNERDALE David James | ALS810 |
| 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 Dushyant | AUZ081 |
| MURPHY Daniel Joseph | ASI403 |
| NGIE Chuen Shun倪傳順 | AFM599 |
| NUSSBAUM Daniel Fabio | BDV169 |
| REPERANT Vassili Benjamin Maurice Valentin | BFA019 |
| SLAOUI Mohammed Saad | AYC193 |
| SUNG Yoon Kyu | AKU991 |
| TAKAHASHI Taichi高橋太一 | AZY880 |
| TSANG Kong Hung, Patrick曾剛雄 | AGH150 |
| WANNENMACHER Tim | AMU467 |
| WOO Yik Yuen胡翊遠 | AND666 |
代表
| 代表名字 | 中央編號 |
|---|
| AGOSTINELLI Carlo | BEO619 |
| ALEXANDER Nicholas | BRE380 |
| ALTERMAN Valeriia | BND296 |
| ANSARI Patrick Mehran | BFX161 |
| AUDI Elias | BCE913 |
| BAILEY Brandi Lyn | BLL632 |
| BAJA Lauro III Castro | AFL365 |
| BARBARA Romain | BPW962 |
| BHUMIRATANA Sanu | AOB633 |
| BI Xuewen畢學文 | BFE600 |
| BIAN Sijia卞思佳 | BOB217 |
| BIER Gabriele | BNI506 |
| BONHOMME Mathieu Pierre | BDL836 |
| BORDAT-MALDONADO PARRA Adrien Paul Augustin | BBB918 |
| BRAND Mathieu Edouard Nicolas | BNO502 |
| CAI Catherine Hongjun蔡紅軍 | AFJ286 |
| CAI Zhibin蔡志斌 | AYC190 |
| CAI Zhiwei蔡志偉 | BQF064 |
| CAPPELLINI Matteo | BPQ516 |
| CARROLL Shane | BEA790 |
| CEN Tian岑天 | AFC965 |
| CHALMERS Tony Marian | BJV697 |
| 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 Quan | BLJ949 |
| 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 Giacomo | BOG205 |
| CORONES Georgia Kate | BDV251 |
| DAI Xi戴茜 | BEL250 |
| DAVIS Christopher Edward | AXD833 |
| DE GARIDEL-THORON Thomas Henri S. M. | AUX091 |
| DING Ding丁丁 | BQJ707 |
| DONAN Keith Donald | AXG905 |
| ERSOY Alan Metin | AOY949 |
| FALIPOU Fabien Jean Roger | AZY951 |
| FAN Wei范圍 | BQF160 |
| FANG Shuai房帥 | BKV676 |
| FARHAT Sarah | BPM811 |
| FENG Xinglei冯星磊 | BQG528 |
| FENG Xinhe馮馨荷 | BBP375 |
| FERREIRA DA COSTA Jacinto Alberto | ALI139 |
| GANGAL Shrinivas Ravindra | BBN555 |
| GAO Yunzhu高云竹 | BNR003 |
| GE Xiaobai葛瀟白 | BDH915 |
| GE Yanwei | BNG522 |
| GROUX Florian Rene Alexis | BQS949 |
| GU Shiyi顧詩意 | BIK447 |
| GU Tianxing頤天行 | BFK957 |
| GU Yiwei顧怡煒 | BNS285 |
| GUENANCIA Paul Pierre Josias | BPY277 |
| GUEZ Ilane Yonathan Pierre | BAD514 |
| GUI Xiaofang桂曉芳 | BQF073 |
| GUO Xinyu郭鑫昱 | BBI891 |
| GUSAK Victor Vladislav | BKN511 |
| HALL Aleisha Ming-Yee | BRE268 |
| HAN Lin韓林 | BQF403 |
| HE Yingqing賀盈青 | BQF095 |
| HERCOT Guillaume Raphael Maximilien | BMH781 |
| 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 Suransi | BNH256 |
| HOLROYD Alistair Hugo | BAW840 |
| HONG Timothy Kai-chun康家俊 | BNQ720 |
| HORROBIN Fergus Peter | AYR065 |
| 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 Richard | BBU307 |
| 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 Savio | AXF534 |
| JUNG Jae Young | BEB755 |
| KIM Young Chae | BNF358 |
| KING Richard Yun Zing金元成 | ADM983 |
| KO Silvia高思雯 | APQ588 |
| KUDALKAR Samarth | BFI923 |
| KUMAR Sawan | AZT670 |
| 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 George | BRD668 |
| 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 Kueen | BDL625 |
| LIN Michelle Chia-Hsing | AUW242 |
| 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 James | AXQ297 |
| 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 Nicolo | AYO859 |
| MALTER Hannah Rebecca | AYQ635 |
| MARTIN Troy Richard William | BHG437 |
| MASHRU Namrata Sudhir | BAF822 |
| MATTOLI Enrico Andrea | ASD757 |
| MC CARTHY Barry | AYD555 |
| MC NULTY Peter Richard | BBR308 |
| 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 Stevenson | BPW741 |
| MOTWANI Natasha Murli | AUR655 |
| MOVSUMOV Dzhavad | AZT495 |
| MOYNIHAN Daniel John | BDM186 |
| MURPHY Daniel Joseph | ASI403 |
| NG Jun吳浚 | BNV806 |
| NGAI Cho Lap倪祖立 | BLF241 |
| O'SHAUGHNESSY Calvin John | BMV914 |
| 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 Archit | BBT705 |
| PARKER Kirsten Bunty | BEZ493 |
| PAWLUK Matthew | BQZ930 |
| PEI Yining裴怡宁 | BOP921 |
| PEIRCE Gregory Iain | BMZ609 |
| PENG Sihao彭思皓 | BQI033 |
| PERERA Errol Alistair Devindra | BDR321 |
| PING Zhiyuan平之芫 | BPS471 |
| PO Ho Sang布浩生 | BPS594 |
| POULIOT Nicolas包力嘉 | AJO505 |
| PRINCE Alexander Gilbert | AXH803 |
| QIAN Yangyang錢泱暘 | BQV694 |
| QIAO Yijie喬亦杰 | BNX896 |
| QIN Xuanyu秦璇宇 | BLD350 |
| QUESNOT Jean-joseph Bernard Gaston | BKE518 |
| REN Ning任凝 | AVT381 |
| RODFORD Mark Andrew | BQV688 |
| SCHMITZ Charline Florence | BPX545 |
| SCHNEIDEREIT Marc Daniel | BOT761 |
| 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 Dimitri | BRE275 |
| 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 Waldemar | AWS041 |
| 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 Nicolas | AYQ639 |
| TAM Wan Rou, Denise譚菀柔 | AQS365 |
| TAN You Khai | BFE580 |
| TANEJA Karan | BPQ514 |
| THANASEKARAN Indran | BCV166 |
| 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 Pierre | BNO571 |
| VISWANATH Ramesh | AUZ373 |
| WALTERS Andrew James | AOT505 |
| 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 Heekyu | ATJ399 |
| 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 AM | Public Reprimand | English中文 |
| Mar 14, 2019 12:00:00 AM | Fine | English中文 |
| Mar 14, 2019 12:00:00 AM | Suspension | English中文 |
| Jan 14, 2020 12:00:00 AM | Other - See Press Release | English中文 |
前稱
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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