SFC Licences of ROTH Gunther James
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 | RE | 6 | 29 March 2012 | 01 April 2014 |
| UBS Securities Asia Limited | RE | 4 | 01 April 2003 | 25 June 2003 |
| UBS Securities Asia Limited | RE | 6 | 01 April 2003 | 25 June 2003 |
| UBS Securities Asia Limited | RE | 9 | 01 April 2003 | 25 June 2003 |