Alex Wai Chi Au
區偉志
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Alex Wai Chi Au (區偉志), a licensed Responsible Officer with CE reference ACO434. Currently licensed at 1 firm(s): Alphalex Capital Management (HK) Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Alphalex Capital Management (HK) Limited 石壁投資管理(香港)有限公司 |
RO | Type 4 — Advising on securities | 2015-06-12 | present |
| Alphalex Capital Management (HK) Limited 石壁投資管理(香港)有限公司 |
RO | Type 9 — Asset management | 2015-06-12 | present |
| Richland Capital Management Limited 富信資產管理有限公司 |
RO | Type 4 — Advising on securities | 2007-05-25 | 2013-07-09 |
| Richland Capital Management Limited 富信資產管理有限公司 |
RO | Type 9 — Asset management | 2007-05-25 | 2013-07-09 |
| Longitude Asia Limited 瑞士經緯投資有限公司 |
RO | Type 4 — Advising on securities | 2005-05-24 | 2007-05-22 |
| Longitude Asia Limited 瑞士經緯投資有限公司 |
RO | Type 9 — Asset management | 2005-05-24 | 2007-05-22 |
| AD Capital Management (Hong Kong) Limited 豐盛資產管理(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | 2004-09-08 | 2005-02-23 |
| AD Capital Management (Hong Kong) Limited 豐盛資產管理(香港)有限公司 |
RO | Type 4 — Advising on securities | 2004-09-08 | 2005-02-23 |
| AD Capital Management (Hong Kong) Limited 豐盛資產管理(香港)有限公司 |
RO | Type 9 — Asset management | 2004-09-08 | 2005-02-23 |
| HSBC Securities (Asia) Limited | Rep | Type 1 — Dealing in securities | present | 2004-01-15 |
| HSBC Securities (Asia) Limited | Rep | Type 4 — Advising on securities | present | 2003-12-09 |
| HSBC Securities (Asia) Limited | Rep | Type 6 — Advising on corporate finance | present | 2003-12-09 |
| HSBC Securities (Asia) Limited | Rep | Type 9 — Asset management | present | 2003-12-09 |