牌照详情

名字:
UBS Securities Asia Limited
证监会中央编号:AAV882
发牌日期:2005年5月21日
受监管活动生效日期
证券交易2005年5月21日
期货合约交易2005年5月21日
就证券提供意见2005年5月21日

地址

营业地址
香港中环金融街8 号国际金融中心二期46-52楼
电邮地址
[email protected]
网站地址
www.ubs.com

负责人员

负责人员名字中央编号
"CHAN Raymond Yiu Yue""陈耀宇"AHA800
"CHHAOCHHARIA Gautam"AWK911
"COMBALOT Laurent Benoit Georges"AHC015
"DE GARIDEL-THORON Thomas Henri S. M."AUX091
"ERSOY Alan Metin"AOY949
"FANG Dongming""房东明"AFE991
"HORTH Damien John Magellan"AMA051
"HUNT Christopher James Andrews"AHR004
"INNERDALE David James"ALS810
"LI Jing""李菁"AOV618
"MOHLA Abhishek Dushyant"AUZ081
"MURPHY Daniel Joseph"ASI403
"SLAOUI Mohammed Saad"AYC193
"SMART Timothy David"AME116
"SUNG Yoon Kyu"AKU991
"TAKAHASHI Taichi""高桥太一"AZY880
"WANNENMACHER Tim"AMU467
"WOO Yik Yuen""胡翊远"AND666
"YULE Martin"AOU139

代表

代表名字中央编号
"AGARWAL Abhishek"BEB756
"AGUIRRE Ramon Jose Escalona"AYL130
"ALTERMAN Valeriia"BND296
"ANSARI Patrick Mehran"BFX161
"ARORA Rohit"ART681
"AUDI Elias"BCE913
"BAILEY Brandi Lyn"BLL632
"BARBARA Romain"BPW962
"BAWEJA Bhanu"AXR105
"BHUMIRATANA Sanu"AOB633
"BIAN Sijia""卞思佳"BOB217
"BLAND Christopher Sebastian"BHH249
"BONHOMME Mathieu Pierre"BDL836
"BORDAT-MALDONADO PARRA Adrien Paul Augustin"BBB918
"BRIGGS James Thomas Edward"BCC466
"BUCHANAN Thomas Matthew"ASJ685
"BUSH Timothy David"ANG617
"CADE Natalie Margaret"BPD453
"CAI Zhibin""蔡志斌"AYC190
"CAMPOS DIAZ Adrian Giancarlo"BHD137
"CAPPELLINI Matteo"BPQ516
"CARROLL Shane"BEA790
"CHALMERS Tony Marian"BJV697
"CHAN Bonnie See Wa""陈思华"BNK872
"CHAN Chi Lap""陈志立"ATD881
"CHAN Chin Kiu""陈展翘"AVM792
"CHAN Lee Quan"BLJ949
"CHANG Jack Chun-Chieh""张俊杰"ANX862
"CHANG Lei""畅磊"BFI262
"CHANG Pui Chun Jenny""张蓓珍"ARU007
"CHANG Show Shin"BPV961
"CHEE Daryl Tak-fung""徐德丰"BOZ567
"CHEN Dennis Chih Chieh""陈智杰"APH886
"CHEN Ken An""陈安"ANX752
"CHEN Kunjie""陈坤杰"BOC807
"CHEN Lijuan""陈利娟"AVL498
"CHEN Wen-Chin""陈玟瑾"AVD899
"CHEN Xin""陈欣"AXS722
"CHEN Ya-Li"" 陈雅丽"BBL253
"CHEN Ying Chih""陈盈志"BIB859
"CHENG Kai-wen""郑凯文"BQQ225
"CHENG Yu Chieh""郑祐杰"BQG737
"CHEUK So Wah""卓素华"ARB609
"CHEUNG Edward""张子谦"BOP546
"CHOI Sheung Ngai""蔡尚毅"AFG685
"CHOI Wai Man""蔡慧敏"AMG898
"CHOUDHURY Avijit"AVT529
"CHU Hiu Wai, Kelvin""朱晓暐"ARN399
"CHU Man Ho, Michael""朱文浩"ANF180
"CHUANG James"BLA372
"CORONES Georgia Kate"BDV251
"DAVIS Christopher Edward"AXD833
"DE GARIDEL-THORON Thomas Henri S. M."AUX091
"DENG Bo""邓博"BDV249
"DENG Weishen""邓维慎"BAE414
"DING Yueli""丁月丽"BPK064
"DONAN Keith Donald"AXG905
"DRAKEFORD Stephen Gregory"BBU904
"DU Wenzhuo""杜文卓"BHB625
"ERSOY Alan Metin"AOY949
"FALIPOU Fabien Jean Roger"AZY951
"FAN Mingxi""范明曦"AJC179
"FANG Dongming""房东明"AFE991
"FANG Shuai""房帅"BKV676
"FANG Xinyu""方昕宇"BQF453
"FARHAT Sarah"BPM811
"FARTHING Jon Kristofer"BBC926
"FERREIRA DA COSTA Jacinto Alberto"ALI139
"GAN Jian Bo"BGI749
"GANGAL Shrinivas Ravindra"BBN555
"GASTREICH Peter Friedrich"AHB509
"GAUDOIS Nicolas Junel"AUE035
"GO Robrina"ASZ683
"GOH Nicole Sue Yi"AWE537
"GONG Min""巩旻"ATX842
"GOYAL Vishal"AUU965
"GROUX Florian Rene Alexis"BQS949
"GUENANCIA Paul Pierre Josias"BPY277
"GUEZ Ilane Yonathan Pierre"BAD514
"GUO Boyi""郭博艺"BNU690
"GUO Yifan""郭一凡"BNG244
"GUPTA JAIN Tanvee"AXW594
"GUPTA Sonal"ATO967
"GUSAK Victor Vladislav"BKN511
"HAN Chunxiao""韩春晓"BQT175
"HAN Jennifer Koun"AMY266
"HAN Sixu""韩思旭"BNU117
"HERCOT Guillaume Raphael Maximilien"BMH781
"HIRATA Shingo"AYG042
"HIZON Karen Louise Hilado"BDU666
"HO Chak Pan""何泽彬"BPW822
"HO Cheuk Wing""何卓荣"BOR240
"HOCKLEY Richard John"BNR462
"HODJATZADEH Suransi"BNH256
"HOLROYD Alistair Hugo"BAW840
"HONG Timothy Kai-chun""康家俊"BNQ720
"HU Jing""胡静"BDI053
"HUANG Haoya""黄皓雅"BNL472
"HUI Siu Yin Jimmy""许兆贤"BHY281
"JAMES Alun Richard"BBU307
"JIANG Chun""江纯"BNU101
"JOSEPH PULPEL Savio"AXF534
"JUNG Jae Young"BEB755
"KAN Ching-Jen""甘清仁"AOX099
"KAROFSKY Robert B"ASX340
"KILLA Navin"AFK593
"KIM Minkyu""金旻奎"BEO107
"KIM Young Chae"BNF358
"KOIKE Yukihiro""小池幸弘"BAT249
"KUDALKAR Samarth"BFI923
"KUMAR Manhar"BJV395
"KWAN Sing Yuen""关承远"ABW052
"KWOK Kam Ho""郭锦澔"BPX005
"KWONG Myron Mann""邝孟恆"ANR646
"LAI Rongye""赖荣晔"AYR571
"LAI Yi-Ting""赖怡婷"BNP460
"LAM Chun Hung""林镇鸿"ATL665
"LAM Jarvis Chun Hang""林俊亨"BQG739
"LAM Ka Lai""林嘉丽"AUT719
"LAM Yan Wah, Jenny""林欣桦"ARG938
"LAU Hynn Mann Mandy""刘轩文"BHY639
"LE BINH Khoi"BKP233
"LEE Cheryl Mui Lynn"ANX714
"LEE Jaison"AVD395
"LEE Jayoung""李紫瑛"BFN112
"LEE Jina""李真我"AUT717
"LEE King Hang""李璟恆"AXV267
"LEE May Lin"AVT527
"LEE Taewoo"BHI011
"LEE Vivian Yee Man"AYC180
"LEE Yen-Wei""李彦纬"BFC411
"LEUNG Chin Ka""梁展嘉"BDR374
"LI Christopher Ho-shing"BJB842
"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""李谱蓝"BLU489
"LI Siying""李思莹"BHU352
"LI Tsz Wai""李梓维"AWL543
"LIM Khoon Hian Michael"ATS891
"LIM Pek Kueen"BDL625
"LIN Pui Kwan, Eric""连沛堃"AVP184
"LIU Chao""刘超"BOC157
"LIU Jerry Yuan"BAE419
"LIU Kai Wa""廖启华"AXL351
"LIU Mingdi""刘鸣镝"AKU877
"LIU Ning""刘宁"ASZ222
"LIU Suyang""刘苏阳"BJH292
"LIU Yaokun""刘耀坤"BJI665
"LIU Zhijing""刘智景"AWW251
"LOCK Timothy James"AXQ297
"LOO Renee Oi Pui""卢皑姵"BPJ459
"LU Kwai Ching""吕桂贞"ANE696
"LU Zhicheng""陆志成"BJR690
"LUK Yuen San, Karen""陆润珊"AKX264
"MA Kin Kei, Kenneth""马建基"AZW082
"MACDONALD Alexia Grace""麦乐庭"BLP794
"MACLEOD Niall James"AOY622
"MANZONE Jaime Che"BMU994
"MARATIER Felix Jacques"AXZ876
"MARTIN Troy Richard William"BHG437
"MASHRU Namrata Sudhir"BAF822
"MC CARTHY Barry"AYD555
"MC NULTY Peter Richard"BBR308
"MCCASKER Grant David"ATL666
"MIN Hao""闵皓"BDV966
"MITCHELL Simon Andrew"ATD257
"MIZUNO Hikaru"AXV981
"MOHLA Abhishek Dushyant"AUZ081
"MOK Kwan Ho""莫君豪"AXS235
"MOORHEAD Jonathan James Stevenson"BPW741
"MOTWANI Natasha Murli"AUR655
"MOYNIHAN Daniel John"BDM186
"MURPHY Daniel Joseph"ASI403
"MURSHED Izaan Mohammad"BPY376
"NAGARAJAN Diviya"AUC175
"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
"PANICHKUL Piyanan"ANH017
"PARAKH Archit"BBT705
"PARSONS Steven John Wilton"AVR157
"PEI Yining""裴怡宁"BOP921
"PENG Yanyan""彭燕燕"ALD396
"PERERA Errol Alistair Devindra"BDR321
"PRINCE Alexander Gilbert"AXH803
"QIAN Lin""钱琳"BGX450
"QIAN Yangyang""钱泱旸"BQV694
"QUESNOT Jean-joseph Bernard Gaston"BKE518
"RANJANA"BGQ893
"RAWAT Aakash"ARR537
"REILLY Nathan John"BML864
"REPERANT Vassili Benjamin Maurice Valentin"BFA019
"RITOLIA Gopal"BFA088
"RODFORD Mark Andrew"BQV688
"RUSTAGI Amit"BLD719
"SACHDEV Sunita Sunder"ATL685
"SANTIAGO Domingo III Manalad"ANH016
"SCHLOEGEL Fabrice Robert Marius Claude"BPO546
"SCHMITZ Charline Florence"BPX545
"SCHNEIDEREIT Marc Daniel"BOT761
"SEALEY Ian"BOR771
"SETIADI Bob"BOB994
"SHAH Ryan Shailesh"BFI955
"SHAO Jimmy Zhuang"BFM943
"SHEN Blake C""沈钦扬"AYQ549
"SHEN Jiamin""沈嘉珉"BKQ448
"SHEN Jiawen""沈佳雯"ANQ097
"SHENG Yi""盛亦"BOZ227
"SHI Tianyi""施天怡"BPV473
"SHIBANO Nozomi"AVI061
"SIU Wing Man, Vivian""萧咏雯"BDX976
"SO Wan Yi""苏韵怡"AVT320
"SOLOMON Alexandra Kumin"BLL080
"SON Yong Suk"AMY256
"SONG Chaoran""宋超然"BDL242
"STEMPIEN Jan Pawel"BQI010
"SUEN Kin Dick""孙坚迪"AVM103
"SUI Voon Keat Kenneth""许文杰"APG897
"TAKAHASHI Kei"AOQ614
"TAKAHASHI Kohei"BCP991
"TAM Wan Rou, Denise""谭菀柔"AQS365
"TAN Yew Kiat"ARM832
"TAN You Khai"BFE580
"TANEJA Karan"BPQ514
"TANG Shan""唐山"BLH582
"TANJA Joshua Arief"AOA141
"TEATHER Edward Kenneth"ATO800
"THARENOU George"AXM312
"TIMMS John Willard"AWU652
"TONG Chak Pan, Chaplin""汤泽斌"AQA680
"TONG Tze Kong""唐梓刚"AMQ919
"TONG Yat Lai, Elliot""唐逸礼"AMM328
"TOONG Po Ming, David""佟宝铭"AOV609
"TSAI Hsueh-Ping""蔡雪屏"ATS056
"TSE Fiona Yuen Tung""谢宛彤"BQU422
"TSE Kenyon King-yung""谢敬勇"AMF472
"VANDERPUMP William James"BEG371
"VEYRET Pierre"BNO571
"VISWANATH Ramesh"AUZ373
"WALTERS Andrew James"AOT505
"WAN Xing""万星"AXQ294
"WANG Beili""王蓓丽"BQO996
"WANG Feili""王斐丽"AIR147
"WANG Jack Kuan Chung""王冠中"BFA769
"WANG James Zong Hao""王宗豪"BNP171
"WANG Ran""王冉"BPQ519
"WANG Tao""汪涛"ARE531
"WANG Yinghua""王颖华"BGO809
"WANG Yujue""王玉珏"BQQ351
"WAT Chung Yin, Janice""屈颂然"BPW952
"WATANABE Mariko"AOY781
"WEI Jiarui""魏嘉瑞"BML418
"WEI Pengyu""魏鹏宇"BQQ653
"WILLIAMSON Andrew Masters"AXM703
"WINTER Paul John"AZV904
"WONG Ho Lun, Donald""黄浩麟"APH272
"WONG Jee Chung""黄治璁"BIW480
"WONG Lai Man""王丽雯"AFC401
"WONG See Wah, Eva""黄思华"AUR982
"WOO Yik Yuen""胡翊远"AND666
"WOODWARD Anthony James Passingham"ACS226
"WU Bun Lerd Bernard""胡斌畧"APL242
"WU Philip Han Wen""吴翰文"BOM514
"WU Ping Hei Ronald""胡炳熙"BPI141
"XI Yiru""席奕儒"BPX069
"XIAO Yang""肖阳"AOR177
"XIN Xing""辛星"BPV806
"XING Xuan""星璇"BBP295
"XIONG Wei""熊玮"BJC489
"XU Bin""徐宾"ANZ630
"XU Chen""徐晨"BHJ441
"XU Huifang""徐惠芳"BAV748
"XU Peilai""徐沛来"AOH669
"XU Yanjing""许嬿婧"BDI760
"XU Yiren""徐伊人"BPZ928
"YAN Meizhi""颜湄之"ARP097
"YAO Chen""姚辰"BOP084
"YASUI Kenji""安井健二"ASS292
"YE Xiaoxiong""叶晓雄"BHU991
"YEUNG Yu Pang""杨裕鹏"BMK681
"YIP Tsz Chung""叶梓聪"BCU474
"YOON Jong Hyeon"BOT416
"YOU Wensi""游文思"BLD314
"YU Jia""俞佳"BJQ980
"YU Qian""余谦"BLB398
"YU Siwei""余思维"AOI988
"YU Yan""喻言"BOC521
"YUEN Wai Ching""袁伟政"BQW094
"YUN Heekyu"ATJ399
"ZAYCO Matthew Dionisio""高智忠"BPW594
"ZHANG Charles""张大兆"AWP279
"ZHANG Han""张涵"BOA571
"ZHANG Ning""张宁"BBM233
"ZHANG Ying""章颖"BJR686
"ZHANG Yiting""张怡婷"BOF097
"ZHANG Yueyang""张悦洋"BQQ175
"ZHANG Zhiyun""张之韵"BPH521
"ZHANG Zijun""张紫珺"BHF774
"ZHAO Siyu""赵思娱"BHZ251
"ZHOU Huanan""周化南"BEI379
"ZHOU Xinchen""周欣辰"BKU697
"ZUO Yiyuan""左忆远"BKG344

投诉主任

电话号码:"37122635"
传真号码:"29718996"
电邮地址:"[email protected]"
通讯地址:"46-52/F Two International Finance Centre

牌照条件

生效日期牌照条件

处罚记录

日期处罚行为证监会新闻稿
2018年3月21日罚款链接
2018年3月21日公开谴责链接

更名记录

有效期至名称
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"

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