James Ashley Peter Gough
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Ashley Peter Gough, a licensed Representative with CE reference AHJ403. Currently licensed at 2 firm(s): UBS Securities Asia Limited, UBS Securities Hong Kong Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 7 - Providing automated trading services. This person has 13.9 years of SFC licence history. Total licence records on file: 21.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2026-10-05 | present |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2026-10-05 | present |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2026-10-05 | present |
| UBS Securities Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | 2026-10-05 | present |
| UBS Securities Hong Kong Limited | Rep | Type 7 - Providing automated trading services | 2026-10-05 | present |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2018-09-04 | 2026-07-09 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 - Dealing in securities | 2018-09-04 | 2026-07-09 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2018-09-04 | 2026-07-09 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 7 - Providing automated trading services | 2018-09-04 | 2026-07-09 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2018-04-26 | 2018-04-30 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2018-04-26 | 2018-04-30 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2005-05-19 | 2009-03-31 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | Pre-2003 | 2009-03-31 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2009-03-31 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | Pre-2003 | 2005-03-23 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2005-01-25 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 - Providing automated trading services | Pre-2003 | 2005-03-23 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 7 - Providing automated trading services | Pre-2003 | 2005-01-25 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 9 - Asset management | Pre-2003 | 2005-01-25 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 9 - Asset management | Pre-2003 | 2005-01-25 |