SFC Licences of BAE Christopher Thomas

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution	Role	Licences	Start date	End date
UBS Asset Management (Hong Kong) Limited	RE	4	09 September 2019	13 September 2019
UBS Asset Management (Hong Kong) Limited	RE	1	09 September 2019	13 September 2019
UBS Asset Management (Hong Kong) Limited	RE	4	20 February 2019	26 February 2019
UBS Asset Management (Hong Kong) Limited	RE	1	20 February 2019	26 February 2019
UBS Asset Management (Hong Kong) Limited	RE	4	10 July 2018	16 July 2018
UBS Asset Management (Hong Kong) Limited	RE	1	10 July 2018	16 July 2018
UBS Asset Management (Hong Kong) Limited	RE	4	26 February 2018	05 March 2018
UBS Asset Management (Hong Kong) Limited	RE	1	26 February 2018	05 March 2018
UBS Asset Management (Hong Kong) Limited	RE	4	19 January 2017	25 January 2017
UBS Asset Management (Hong Kong) Limited	RE	1	19 January 2017	25 January 2017
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司	RO	1	29 April 2009	17 July 2009
Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司	RO	2	29 April 2009	17 July 2009
Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司	RO	1	29 April 2009	17 July 2009
Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司	RE	1	24 January 2008	29 April 2009
Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司	RE	2	24 January 2008	29 April 2009
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司	RE	1	24 January 2008	29 April 2009