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คลังทะเบียนกำกับ › ASIC › AFSL 231098
UBS SECURITIES AUSTRALIA LTD
澳大利亚 ASIC · AFSL 231098 · Authorised (AFS licensee — FX/derivatives-related authorisation)
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| หน่วยงานกำกับ | ASIC |
| เลขใบอนุญาต/ทะเบียน | AFSL 231098 |
| สถานะการจดทะเบียน | Authorised (AFS licensee — FX/derivatives-related authorisation) |
| ABN/ACN | 62008586481 |
| วันที่มีผลของใบอนุญาต | 01/01/2004 |
| ภูมิภาคที่จด | SYDNEY NSW 2000 Australia |
数据来源：ASIC AFS Licensee dataset (data.gov.au) · 同步日期 2026-10-28
เงื่อนไขการอนุญาต (ASIC ต้นฉบับ)
1. Provide financial product advice","1.1 Provide personal and general financial product advice","1.1.1 Australian carbon credit units","Wholesale clients
,"","1.1.2 Basic deposit products","Wholesale clients
,"","1.1.3 Debentures, stocks or bonds issued or proposed to be issued by a government","Wholesale clients
,"","1.1.4 Derivatives","Wholesale clients
,"","1.1.5 Eligible international emissions units","Wholesale clients
,"","1.1.6 Foreign exchange contracts","Wholesale clients
,"","1.1.7 Managed investment schemes excluding IDPS","Wholesale clients
,"","1.1.8 Non-basic deposit products","Wholesale clients
,"","1.1.9 Non-cash payment products","Wholesale clients
,"","1.1.10 Securities","Wholesale clients
2. Deal in a financial product","2.1 Issue, apply for, acquire, vary or dispose of a financial product","2.1.1 Derivatives","Wholesale clients
,"","2.1.2 Foreign exchange contracts","Wholesale clients
,"","2.1.3 Managed investment schemes excluding IDPS","Wholesale clients
,"","2.1.4 Securities","Wholesale clients
,"2.2 Apply for, acquire, vary or dispose of a financial product on behalf of another person","2.2.1 Australian carbon credit units","Wholesale clients
,"","2.2.2 Basic deposit products","Wholesale clients
,"","2.2.3 Debentures, stocks or bonds issued or proposed to be issued by a government","Wholesale clients
,"","2.2.4 Derivatives","Wholesale clients
,"","2.2.5 Eligible international emissions units","Wholesale clients
,"","2.2.6 Foreign exchange contracts","Wholesale clients
,"","2.2.7 Managed investment schemes excluding IDPS","Wholesale clients
,"","2.2.8 Non-basic deposit products","Wholesale clients
,"","2.2.9 Securities","Wholesale clients
,"2.3 Underwrite a financial product","2.3.1 Managed investment schemes","Wholesale clients
,"","2.3.2 Securities","Wholesale clients
3. Make a market for a financial product, null, null","3.1.1 Australian carbon credit units","Wholesale clients
,"","3.1.2 Debentures, stocks or bonds issued or proposed to be issued by a government and/or debentures issued by any other body","Wholesale clients
,"","3.1.3 Derivatives","Wholesale clients
,"","3.1.4 Eligible international emissions units","Wholesale clients
,"","3.1.5 Financial products other than: (a) derivatives; (b) foreign exchange contracts; and (c) debentures, stocks or bonds issued or proposed to be issued by a government and/or debentures issued by any other body","Wholesale clients
4. Provide a custodial or depository service","4.1 Other than IDPS","","Wholesale clients
,"","1.1.2 Basic deposit products","Wholesale clients
,"","1.1.3 Debentures, stocks or bonds issued or proposed to be issued by a government","Wholesale clients
,"","1.1.4 Derivatives","Wholesale clients
,"","1.1.5 Eligible international emissions units","Wholesale clients
,"","1.1.6 Foreign exchange contracts","Wholesale clients
,"","1.1.7 Managed investment schemes excluding IDPS","Wholesale clients
,"","1.1.8 Non-basic deposit products","Wholesale clients
,"","1.1.9 Non-cash payment products","Wholesale clients
,"","1.1.10 Securities","Wholesale clients
2. Deal in a financial product","2.1 Issue, apply for, acquire, vary or dispose of a financial product","2.1.1 Derivatives","Wholesale clients
,"","2.1.2 Foreign exchange contracts","Wholesale clients
,"","2.1.3 Managed investment schemes excluding IDPS","Wholesale clients
,"","2.1.4 Securities","Wholesale clients
,"2.2 Apply for, acquire, vary or dispose of a financial product on behalf of another person","2.2.1 Australian carbon credit units","Wholesale clients
,"","2.2.2 Basic deposit products","Wholesale clients
,"","2.2.3 Debentures, stocks or bonds issued or proposed to be issued by a government","Wholesale clients
,"","2.2.4 Derivatives","Wholesale clients
,"","2.2.5 Eligible international emissions units","Wholesale clients
,"","2.2.6 Foreign exchange contracts","Wholesale clients
,"","2.2.7 Managed investment schemes excluding IDPS","Wholesale clients
,"","2.2.8 Non-basic deposit products","Wholesale clients
,"","2.2.9 Securities","Wholesale clients
,"2.3 Underwrite a financial product","2.3.1 Managed investment schemes","Wholesale clients
,"","2.3.2 Securities","Wholesale clients
3. Make a market for a financial product, null, null","3.1.1 Australian carbon credit units","Wholesale clients
,"","3.1.2 Debentures, stocks or bonds issued or proposed to be issued by a government and/or debentures issued by any other body","Wholesale clients
,"","3.1.3 Derivatives","Wholesale clients
,"","3.1.4 Eligible international emissions units","Wholesale clients
,"","3.1.5 Financial products other than: (a) derivatives; (b) foreign exchange contracts; and (c) debentures, stocks or bonds issued or proposed to be issued by a government and/or debentures issued by any other body","Wholesale clients
4. Provide a custodial or depository service","4.1 Other than IDPS","","Wholesale clients
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