UBS Securities Asia Limited is a Hong Kong SFC licensed corporation (CE number AAV882). First licensed on 2005-05-21. Its SFC licence is currently active. It is licensed for 3 regulated activities: Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities).
| Type | English | Chinese | Effective |
|---|---|---|---|
| RA 1 | Dealing in Securities | 證券交易 | 2005-05-21 |
| RA 2 | Dealing in Futures Contracts | 期貨合約交易 | 2005-05-21 |
| RA 4 | Advising on Securities | 就證券提供意見 | 2005-05-21 |
| CE No. | Name | Chinese |
|---|---|---|
| AFE991 | FANG Dongming | 房東明 |
| AFT822 | STEPHENS John William | |
| AHA800 | CHAN Raymond Yiu Yue | 陳耀宇 |
| AHR004 | HUNT Christopher James Andrews | |
| AMU467 | WANNENMACHER Tim | |
| AND666 | WOO Yik Yuen | 胡翊遠 |
| AOV618 | LI Jing | 李菁 |
| AOY622 | MACLEOD Niall James | |
| AOY949 | ERSOY Alan Metin | |
| ATD881 | CHAN Chi Lap | 陳志立 |
| AUZ081 | MOHLA Abhishek Dushyant | |
| AVC249 | BARBA Romain Pierre Dragoslav | |
| AVP184 | LIN Pui Kwan, Eric | 連沛堃 |
| AYC193 | SLAOUI Mohammed Saad | |
| AZY880 | TAKAHASHI Taichi | 高橋太一 |
| AZY951 | FALIPOU Fabien Jean Roger | |
| BBR308 | MCNULTY Peter Richard | |
| BBY825 | SEHGAL Vaibhav | |
| BKN511 | GUSAK Victor Vladislav |
| CE No. | Name | Chinese |
|---|---|---|
| ABW052 | KWAN Sing Yuen | 關承遠 |
| AFE991 | FANG Dongming | 房東明 |
| AFG685 | CHOI Sheung Ngai | 蔡尚毅 |
| AFK593 | KILLA Navin | |
| AIR147 | WANG Feili | 王斐麗 |
| AJC114 | JULLIENNE Jean Marc | |
| AJD185 | SACHANANDANI Bharat Kumar | 邵巴特 |
| AKO808 | BEST David Gareth | |
| AKX264 | LUK Yuen San, Karen | 陸潤珊 |
| ALA699 | SONG Yu | 宋宇 |
| ALC897 | CERBOURG Sebastien | |
| ALD396 | PENG Yanyan | 彭燕燕 |
| ALS810 | INNERDALE David James | |
| ALV033 | GORO Harunobu | |
| AMF472 | TSE Kenyon King-yung | 謝敬勇 |
| AMG898 | CHOI Wai Man | 蔡慧敏 |
| AMY256 | SON Yong Suk | |
| AMY266 | HAN Jennifer Koun | |
| AND666 | WOO Yik Yuen | 胡翊遠 |
| AND667 | LEUNG Yee Ming, Luxthew | 梁以銘 |
| ANE696 | LU Kwai Ching | 呂桂貞 |
| ANG617 | BUSH Timothy David | |
| ANM666 | HONG Tianfeng | 洪天丰 |
| ANX862 | CHANG Jack Chun-Chieh | 張俊傑 |
| ANX889 | FONG Kam Chung | 方錦聰 |
| ANZ630 | XU Bin | 徐賓 |
| AOA141 | TANJA Joshua Arief | |
| AOY622 | MACLEOD Niall James | |
| AOY781 | WATANABE Mariko | |
| AOY949 | ERSOY Alan Metin | |
| APG897 | SUI Voon Keat Kenneth | 許文杰 |
| APS290 | WONG Wan Shan | 黃尹珊 |
| APZ445 | WU Yihe | 吳軼鶴 |
| AQA680 | TONG Chak Pan, Chaplin | 湯澤斌 |
| AQL248 | PANG Wing Yan | 彭永欣 |
| ARB609 | CHEUK So Wah | 卓素華 |
| ARE531 | WANG Tao | 汪濤 |
| ARG938 | LAM Yan Wah, Jenny | 林欣樺 |
| ARM832 | TAN Yew Kiat | |
| ARO540 | KAZAHAYA Takahiro | |
| ARP097 | YAN Meizhi | 顏湄之 |
| ARR537 | RAWAT Aakash | |
| ASL813 | AGARWAL Anand | |
| ASS292 | YASUI Kenji | 安井健二 |
| ASW357 | TEO Swee Yong | 張芮榮 |
| ASZ222 | LIU Ning | 劉寧 |
| ASZ683 | GO Robrina | |
| ATE957 | COOMBS Jonathan Lee | 顧植德 |
| ATL665 | LAM Chun Hung | 林鎮鴻 |
| ATS056 | TSAI Hsueh-Ping | 蔡雪屏 |
| ATS891 | LIM Khoon Hian Michael | |
| ATX842 | GONG Min | 鞏旻 |
| AUC175 | NAGARAJAN Diviya | |
| AUC405 | ZHOU Cheng | 周成 |
| AUE035 | GAUDOIS Nicolas Junel | |
| AUT717 | LEE Jina | 李真我 |
| AUT719 | LAM Ka Lai | 林嘉麗 |
| AUW702 | NIWA Koichi | |
| AUW910 | ABRAMS Randy I | |
| AVD899 | CHEN Wen-Chin | 陳玟瑾 |
| AVL498 | CHEN Lijuan | 陳利娟 |
| AVM103 | SUEN Kin Dick | 孫堅迪 |
| AWE537 | GOH Nicole Sue Yi | |
| AWI435 | YIP Man Yan, Abbie | 葉文炘 |
| AWK911 | CHHAOCHHARIA Gautam | |
| AWN404 | KIM Joon Won | 金俊源 |
| AWP279 | ZHANG Charles | 張大兆 |
| AWU652 | TIMMS John Willard | |
| AWZ814 | TIRUMALAI SUDERSHAN Sunil | |
| AXD833 | DAVIS Christopher Edward | |
| AXL351 | LIU Kai Wa | 廖啟華 |
| AXM312 | THARENOU George | |
| AXQ294 | WAN Xing | 万星 |
| AXR105 | BAWEJA Bhanu | |
| AXS235 | MOK Kwan Ho | 莫君豪 |
| AXS722 | CHEN Xin | 陳欣 |
| AXV267 | LEE King Hang | 李璟恆 |
| AXW594 | GUPTA JAIN Tanvee | |
| AYC180 | LEE Vivian Yee Man | |
| AYC190 | CAI Zhibin | 蔡志斌 |
| AYG042 | HIRATA Shingo | |
| AYR571 | LAI Rongye | 賴榮曄 |
| AZR295 | ZHOU Tu | 周圖 |
| AZV904 | WINTER Paul John | |
| AZW082 | MA Kin Kei, Kenneth | 馬建基 |
| BAE414 | DENG Weishen | 鄧維慎 |
| BAV748 | XU Huifang | 徐惠芳 |
| BAW840 | HOLROYD Alistair Hugo | |
| BAW986 | HO Brian Boon Yun | 何本恩 |
| BBC926 | FARTHING Jon Kristofer | |
| BBG804 | LI Lin | 李林 |
| BBH669 | OMURA Shunta | |
| BBI093 | YU Hangying | 郁杭鶯 |
| BBR308 | MCNULTY Peter Richard | |
| BBU782 | LU Jianan | 陸佳男 |
| BBY825 | SEHGAL Vaibhav | |
| BCE913 | AUDI Elias | |
| BCP991 | TAKAHASHI Kohei | |
| BDD014 | HON Wai Lin, William | 韓偉濂 |
| BDL242 | SONG Chaoran | 宋超然 |