Spence, James Barclay
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 | BROOKE CAPITAL LIMITED | Rep | Asset management | 2006-11-15 | 2007-02-19 |
| 2 | UBS SECURITIES ASIA LIMITED | Rep | Advising on corporate finance | 2004-04-02 | Rep | Advising on securities | 2004-04-02 | Rep | Asset management | 2004-04-02 |
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