SFC Licences of SPENCE James Barclay
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Brooke Capital Limited | RE | 9 | 15 November 2006 | 19 February 2007 |
| UBS Securities Asia Limited | RE | 4 | 01 April 2003 | 02 April 2004 |
| UBS Securities Asia Limited | RE | 6 | 01 April 2003 | 02 April 2004 |
| UBS Securities Asia Limited | RE | 9 | 01 April 2003 | 02 April 2004 |