SFC Licences of GATES Stuart James
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| CCB International Securities Limited 建銀國際證券有限公司 | RO | 4 | 08 January 2009 | |
| CCB International Securities Limited 建銀國際證券有限公司 | RO | 1 | 08 January 2009 | |
| CCB International Securities Limited 建銀國際證券有限公司 | RE | 4 | 23 July 2008 | 08 January 2009 |
| CCB International Securities Limited 建銀國際證券有限公司 | RE | 1 | 23 July 2008 | 08 January 2009 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 | RE | 2 | 09 July 2007 | 30 May 2008 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 | RE | 4 | 07 February 2005 | 30 May 2008 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 | RE | 1 | 07 February 2005 | 30 May 2008 |
| J.P. Morgan Broking (Hong Kong) Limited | RE | 1 | 01 April 2003 | 07 February 2005 |
| J.P. Morgan Broking (Hong Kong) Limited | RE | 4 | 01 April 2003 | 07 February 2005 |
| J.P. Morgan Broking (Hong Kong) Limited | RE | 9 | 01 April 2003 | 02 December 2003 |
| J.P. Morgan Broking (Hong Kong) Limited | RE | 6 | 01 April 2003 | 02 December 2003 |
| J.P. Morgan Broking (Hong Kong) Limited | RE | 7 | 01 April 2003 | 02 December 2003 |