Thomas William Herbert
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Thomas William Herbert ( ), a licensed former licensee with CE reference BAI196. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2016-12-19 | 2019-07-13 |
| UBS Securities Hong Kong Limited | Rep | Type 2 — Dealing in futures contracts | 2016-12-19 | 2019-07-13 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2012-11-01 | 2019-07-13 |
| UBS Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2012-11-01 | 2016-12-18 |
| UBS Securities Asia Limited | Rep | Type 2 — Dealing in futures contracts | 2012-11-01 | 2019-07-13 |
| UBS Derivatives Hong Kong Limited | Rep | Type 2 — Dealing in futures contracts | 2012-11-01 | 2016-12-18 |