James Stephen Rogers
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Stephen Rogers ( ), a licensed former licensee with CE reference BUM730. Total licence records on file: 2.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Asset Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2024-01-11 | 2024-01-17 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2024-01-11 | 2024-01-17 |