SFC Licences of SHIMIZU Yasunori
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 | 1 | 01 December 2023 | 13 December 2023 |
| UBS Securities Asia Limited | RE | 1 | 01 December 2023 | 13 December 2023 |
| UBS Securities Hong Kong Limited | RE | 1 | 12 December 2022 | 16 December 2022 |
| UBS Securities Asia Limited | RE | 1 | 12 December 2022 | 16 December 2022 |
| UBS Securities Hong Kong Limited | RE | 2 | 07 September 2017 | 06 April 2019 |
| UBS Securities Hong Kong Limited | RE | 1 | 07 September 2017 | 06 April 2019 |
| UBS Securities Asia Limited | RE | 2 | 07 September 2017 | 06 April 2019 |
| UBS Securities Asia Limited | RE | 1 | 07 September 2017 | 06 April 2019 |
| UBS Securities Hong Kong Limited | RE | 2 | 10 March 2017 | 18 March 2017 |
| UBS Securities Hong Kong Limited | RE | 1 | 10 March 2017 | 18 March 2017 |
| UBS Securities Asia Limited | RE | 2 | 10 March 2017 | 18 March 2017 |
| UBS Securities Asia Limited | RE | 1 | 10 March 2017 | 18 March 2017 |