SFC Licences of DRUCE James Anthony Stephen
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| CLSA Limited 中信里昂證券有限公司 | RE | 4 | 17 November 2023 | |
| UBS Securities Asia Limited | RE | 4 | 12 September 2017 | 14 September 2017 |
| UBS Securities Asia Limited | RE | 4 | 05 June 2017 | 09 June 2017 |
| UBS Securities Asia Limited | RE | 4 | 17 September 2015 | 26 September 2015 |