James Edwin Gomes
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Edwin Gomes ( ), a licensed former licensee with CE reference ADV195. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2011-08-15 | 2016-07-06 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2011-08-15 | 2016-07-06 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2011-08-15 | 2016-07-06 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2011-08-15 | 2016-07-06 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2005-01-27 | 2011-08-15 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2005-01-27 | 2011-08-15 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2003-12-06 | 2011-08-15 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2003-12-06 | 2011-08-15 |
| J.P. Morgan Futures Hong Kong Limited |
Rep | Type 2 — Dealing in futures contracts | present | 2003-12-06 |
| J.P. Morgan Futures Hong Kong Limited |
Rep | Type 5 — Advising on futures contracts | present | 2003-12-06 |
| J.P. Morgan Futures Hong Kong Limited |
Rep | Type 7 — Providing automated trading services | present | 2003-12-03 |
| J.P. Morgan Futures Hong Kong Limited |
Rep | Type 9 — Asset management | present | 2003-12-03 |