Alain Barbezat
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Alain Barbezat ( ), a licensed former licensee with CE reference AFP198. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| RAB Capital (Asia) Limited |
Rep | Type 1 — Dealing in securities | 2010-02-26 | 2010-10-20 |
| RAB Capital (Asia) Limited |
Rep | Type 4 — Advising on securities | 2010-02-26 | 2010-10-20 |
| RAB Capital (Asia) Limited |
Rep | Type 5 — Advising on futures contracts | 2010-02-26 | 2010-10-20 |
| RAB Capital (Asia) Limited |
Rep | Type 9 — Asset management | 2010-02-26 | 2010-10-20 |
| RAB Capital (Asia) Limited |
RO | Type 1 — Dealing in securities | 2008-04-17 | 2010-02-26 |
| RAB Capital (Asia) Limited |
RO | Type 4 — Advising on securities | 2007-09-28 | 2010-02-26 |
| RAB Capital (Asia) Limited |
RO | Type 5 — Advising on futures contracts | 2007-09-28 | 2010-02-26 |
| RAB Capital (Asia) Limited |
RO | Type 9 — Asset management | 2007-09-28 | 2010-02-26 |
| Pi Investment Management Limited |
RO | Type 4 — Advising on securities | present | 2007-09-28 |
| Pi Investment Management Limited |
RO | Type 5 — Advising on futures contracts | present | 2007-09-28 |
| Pi Investment Management Limited |
RO | Type 9 — Asset management | present | 2007-09-28 |