Alice Wai Yin Chow
周慧妍
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Alice Wai Yin Chow (周慧妍), a licensed Responsible Officer with CE reference AMO986. Currently licensed at 2 firm(s): Capital Global Management Limited, First Securities (HK) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 9.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Capital Global Management Limited 瑞興全球財富管理有限公司 |
RO | Type 1 — Dealing in securities | 2016-12-09 | present |
| Capital Global Management Limited 瑞興全球財富管理有限公司 |
RO | Type 4 — Advising on securities | 2016-12-09 | present |
| Capital Global Management Limited 瑞興全球財富管理有限公司 |
RO | Type 9 — Asset management | 2016-12-09 | present |
| First Securities (HK) Limited 第一證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2016-02-15 | present |
| First Securities (HK) Limited 第一證券(香港)有限公司 |
RO | Type 9 — Asset management | 2016-02-15 | present |
| First Securities (HK) Limited 第一證券(香港)有限公司 |
Rep | Type 9 — Asset management | 2010-10-04 | 2016-02-15 |
| First Securities (HK) Limited 第一證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-12-21 | 2016-02-15 |
| KGI Wealth Management Limited 凱基財富管理有限公司 |
Rep | Type 1 — Dealing in securities | 2005-11-28 | 2009-12-19 |
| KGI Wealth Management Limited 凱基財富管理有限公司 |
Rep | Type 4 — Advising on securities | 2005-11-28 | 2009-12-19 |