Spence, Robert Hector John
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | Keefe, Bruyette & Woods Asia Limited | Rep | Advising on corporate finance | 2011-08-30 | 2011-11-08 | Rep | Dealing in securities | 2011-08-30 | 2011-11-08 | Rep | Advising on securities | 2011-11-08 | 2012-11-14 | RO | Advising on corporate finance | 2011-11-08 | 2012-11-14 | RO | Dealing in securities | 2011-11-08 | 2012-11-14 |
| 2 | MACQUARIE FUNDS MANAGEMENT HONG KONG LIMITED | Rep | Asset management | 2007-11-28 | 2008-10-16 | Rep | Advising on securities | 2007-12-05 | 2008-10-16 | RO | Advising on securities | 2008-10-16 | 2009-09-14 | RO | Asset management | 2008-10-16 | 2009-09-14 | RO | Advising on securities | 2011-05-24 | 2011-07-29 | RO | Asset management | 2011-05-24 | 2011-07-29 | RO | Dealing in securities | 2011-05-24 | 2011-07-29 |
| 3 | Manulife Investment Management (Hong Kong) Limited | RO | Dealing in securities | 2004-01-09 | 2007-06-15 | RO | Asset management | 2004-07-08 | 2007-06-15 | Rep | Asset management | 2007-06-15 | 2007-08-31 | Rep | Dealing in securities | 2007-06-15 | 2007-08-31 |
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