James Barclay Spence
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Barclay Spence ( ), a licensed former licensee with CE reference AAY347. Total licence records on file: 4.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Brooke Capital Limited |
Rep | Type 9 — Asset management | 2006-11-15 | 2007-02-19 |
| UBS Securities Asia Limited | Rep | Type 4 — Advising on securities | present | 2004-04-02 |
| UBS Securities Asia Limited | Rep | Type 6 — Advising on corporate finance | present | 2004-04-02 |
| UBS Securities Asia Limited | Rep | Type 9 — Asset management | present | 2004-04-02 |