James Barclay Spence
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Barclay Spence, a licensed former licensee with CE reference AAY347. This person has 1.3 years of SFC licence history. Total licence records on file: 4.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Brooke Capital Limited | Rep | Type 9 - Asset management | 2006-11-15 | 2007-02-19 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | Pre-2003 | 2004-04-02 |
| UBS Securities Asia Limited | Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-04-02 |
| UBS Securities Asia Limited | Rep | Type 9 - Asset management | Pre-2003 | 2004-04-02 |
Worked alongside
The 2 closest colleagues, strongest tie first — individuals licensed at the same firm as James Barclay Spence during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one.
| Name | Shared firm | Overlap |
|---|---|---|
| Kwok On Kwai | Brooke Capital Limited | 2006–2007 |
| Jonathan William Brooke | Brooke Capital Limited | 2006–2007 |