Bae, Christopher Thomas
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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Organisation | Role | Activity | From | Until | |
---|---|---|---|---|---|
1 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2008-01-24 | 2009-04-29 |
2 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | Dealing in securities | 2008-01-24 | 2009-04-29 |
3 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2008-01-24 | 2009-04-29 |
4 | GOLDMAN SACHS (ASIA) L.L.C. | RO | Dealing in securities | 2009-04-29 | 2009-07-17 |
5 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | RO | Dealing in securities | 2009-04-29 | 2009-07-17 |
6 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | RO | Dealing in futures contracts | 2009-04-29 | 2009-07-17 |
7 | UBS Asset Management (Hong Kong) Limited | Rep | Advising on securities | 2017-01-19 | 2017-01-25 |
8 | UBS Asset Management (Hong Kong) Limited | Rep | Dealing in securities | 2017-01-19 | 2017-01-25 |
9 | UBS Asset Management (Hong Kong) Limited | Rep | Advising on securities | 2018-02-26 | 2018-03-05 |
10 | UBS Asset Management (Hong Kong) Limited | Rep | Dealing in securities | 2018-02-26 | 2018-03-05 |
11 | UBS Asset Management (Hong Kong) Limited | Rep | Advising on securities | 2018-07-10 | 2018-07-16 |
12 | UBS Asset Management (Hong Kong) Limited | Rep | Dealing in securities | 2018-07-10 | 2018-07-16 |
13 | UBS Asset Management (Hong Kong) Limited | Rep | Advising on securities | 2019-02-20 | 2019-02-26 |
14 | UBS Asset Management (Hong Kong) Limited | Rep | Dealing in securities | 2019-02-20 | 2019-02-26 |
15 | UBS Asset Management (Hong Kong) Limited | Rep | Advising on securities | 2019-09-09 | 2019-09-13 |
16 | UBS Asset Management (Hong Kong) Limited | Rep | Dealing in securities | 2019-09-09 | 2019-09-13 |
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