Stuart James Gates
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stuart James Gates, a licensed Responsible Officer with CE reference ABG651. Currently licensed at 1 firm(s): CCB International Securities Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CCB International Securities Limited 建銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2009-01-08 | present |
| CCB International Securities Limited 建銀國際證券有限公司 |
RO | Type 4 — Advising on securities | 2009-01-08 | present |
| CCB International Securities Limited 建銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2008-07-23 | 2009-01-08 |
| CCB International Securities Limited 建銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2008-07-23 | 2009-01-08 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-07-09 | 2008-05-30 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2005-02-07 | 2008-05-30 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2005-02-07 | 2008-05-30 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | present | 2005-02-07 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | present | 2005-02-07 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | present | 2003-12-02 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 7 — Providing automated trading services | present | 2003-12-02 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 9 — Asset management | present | 2003-12-02 |