Arthur James Kay Stubbs
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Arthur James Kay Stubbs, a licensed former licensee with CE reference AGH355. This person has 3.0 years of SFC licence history. Total licence records on file: 6.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 1 - Dealing in securities | 2003-10-29 | 2004-02-20 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2003-10-29 | 2004-02-20 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2006-04-01 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2003-09-03 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-09-03 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-09-03 |