Kai Ma
馬凱
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kai Ma (馬凱), a licensed Responsible Officer with CE reference ANU813. Currently licensed at 2 firm(s): China Everbright Securities Asset Management Limited, China Everbright 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: 20.
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 |
|---|---|---|---|---|
| China Everbright Securities Asset Management Limited 中國光大證券資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2021-12-29 | present |
| China Everbright Securities Asset Management Limited 中國光大證券資產管理有限公司 |
RO | Type 4 — Advising on securities | 2021-03-25 | present |
| China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 |
RO | Type 9 — Asset management | 2021-03-25 | present |
| China Everbright Securities Asset Management Limited 中國光大證券資產管理有限公司 |
RO | Type 9 — Asset management | 2021-03-25 | present |
| China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2021-03-25 | 2024-02-23 |
| China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2021-01-12 | 2021-03-25 |
| China Everbright Securities Asset Management Limited 中國光大證券資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2021-01-12 | 2021-03-25 |
| China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 |
Rep | Type 9 — Asset management | 2021-01-12 | 2021-03-25 |
| China Everbright Securities Asset Management Limited 中國光大證券資產管理有限公司 |
Rep | Type 9 — Asset management | 2021-01-12 | 2021-03-25 |
| SPDB International Investment Management Limited 浦銀國際投資管理有限公司 |
Rep | Type 4 — Advising on securities | 2020-10-28 | 2020-12-31 |
| SPDB International Investment Management Limited 浦銀國際投資管理有限公司 |
Rep | Type 9 — Asset management | 2020-10-28 | 2020-12-31 |
| Guotai Junan Assets (Asia) Limited 國泰君安資產管理(亞洲)有限公司 |
RO | Type 4 — Advising on securities | 2015-12-23 | 2020-09-23 |
| Guotai Junan Fund Management Limited 國泰君安基金管理有限公司 |
RO | Type 4 — Advising on securities | 2015-12-23 | 2020-09-23 |
| Guotai Junan Assets (Asia) Limited 國泰君安資產管理(亞洲)有限公司 |
RO | Type 9 — Asset management | 2015-12-23 | 2020-09-23 |
| Guotai Junan Fund Management Limited 國泰君安基金管理有限公司 |
RO | Type 9 — Asset management | 2015-12-23 | 2020-09-23 |
| Guotai Junan Assets (Asia) Limited 國泰君安資產管理(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2013-11-11 | 2015-12-23 |
| Guotai Junan Assets (Asia) Limited 國泰君安資產管理(亞洲)有限公司 |
Rep | Type 9 — Asset management | 2013-11-11 | 2015-12-23 |
| Wolver Hill Asset Management Asia Limited | RO | Type 9 — Asset management | 2012-10-09 | 2013-07-08 |
| Wolver Hill Asset Management Asia Limited | Rep | Type 9 — Asset management | 2010-10-18 | 2012-10-09 |
| Grand Alliance Asset Management Limited 浩成資產管理有限公司 |
Rep | Type 9 — Asset management | 2006-10-26 | 2010-10-01 |