Mark Charles Alexander Mallia
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Mark Charles Alexander Mallia, a licensed Responsible Officer with CE reference AES119. Currently licensed at 2 firm(s): KGI Asset Management Limited, KGI Asia Limited. Active regulated activities: Type 1 — Dealing in securities; Type 9 — Asset management. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| KGI Asset Management Limited 凱基資產管理有限公司 |
Rep | Type 9 — Asset management | 2021-02-17 | present |
| KGI Asia Limited 凱基證券亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2019-08-26 | present |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2017-10-03 | 2019-08-26 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2015-04-02 | 2017-10-02 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2005-05-17 | 2005-09-21 |