Robert Hector John Spence
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Robert Hector John Spence ( ), a licensed former licensee with CE reference AJD110. Total licence records on file: 16.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Keefe, Bruyette & Woods Asia Limited | Rep | Type 4 — Advising on securities | 2011-11-08 | 2012-11-14 |
| Keefe, Bruyette & Woods Asia Limited | RO | Type 1 — Dealing in securities | 2011-11-08 | 2012-11-14 |
| Keefe, Bruyette & Woods Asia Limited | RO | Type 6 — Advising on corporate finance | 2011-11-08 | 2012-11-14 |
| Keefe, Bruyette & Woods Asia Limited | Rep | Type 1 — Dealing in securities | 2011-08-30 | 2011-11-08 |
| Keefe, Bruyette & Woods Asia Limited | Rep | Type 6 — Advising on corporate finance | 2011-08-30 | 2011-11-08 |
| Macquarie Funds Management Hong Kong Limited 麥格理基金管理(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2011-05-24 | 2011-07-29 |
| Macquarie Funds Management Hong Kong Limited 麥格理基金管理(香港)有限公司 |
RO | Type 4 — Advising on securities | 2011-05-24 | 2011-07-29 |
| Macquarie Funds Management Hong Kong Limited 麥格理基金管理(香港)有限公司 |
RO | Type 9 — Asset management | 2011-05-24 | 2011-07-29 |
| Macquarie Funds Management Hong Kong Limited 麥格理基金管理(香港)有限公司 |
RO | Type 4 — Advising on securities | 2008-10-16 | 2009-09-14 |
| Macquarie Funds Management Hong Kong Limited 麥格理基金管理(香港)有限公司 |
RO | Type 9 — Asset management | 2008-10-16 | 2009-09-14 |
| Macquarie Funds Management Hong Kong Limited 麥格理基金管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2007-12-05 | 2008-10-16 |
| Macquarie Funds Management Hong Kong Limited 麥格理基金管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2007-11-28 | 2008-10-16 |
| Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2007-06-15 | 2007-08-31 |
| Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2007-06-15 | 2007-08-31 |
| Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 |
RO | Type 9 — Asset management | 2004-07-08 | 2007-06-15 |
| Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2004-01-09 | 2007-06-15 |