SFC Licences of HERBERT Thomas William
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| UBS Securities Hong Kong Limited | RE | 2 | 19 December 2016 | 13 July 2019 |
| UBS Securities Hong Kong Limited | RE | 1 | 19 December 2016 | 13 July 2019 |
| UBS Securities Asia Limited | RE | 1 | 01 November 2012 | 13 July 2019 |
| UBS Securities Asia Limited | RE | 2 | 01 November 2012 | 13 July 2019 |
| UBS Securities Hong Kong Limited | RE | 1 | 01 November 2012 | 18 December 2016 |
| UBS Derivatives Hong Kong Limited | RE | 2 | 01 November 2012 | 18 December 2016 |