Alexander David Balfour
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Alexander David Balfour ( ), a licensed former licensee with CE reference AOL009. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| orientiert International Markets Limited | Rep | Type 1 — Dealing in securities | 2013-04-23 | 2015-10-30 |
| orientiert International Markets Limited | Rep | Type 4 — Advising on securities | 2013-04-23 | 2015-10-30 |
| orientiert International Markets Limited | Rep | Type 9 — Asset management | 2013-04-23 | 2015-10-30 |
| Sumo Asset Management Limited 盛門資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2012-12-04 | 2013-02-14 |
| Sumo Asset Management Limited 盛門資產管理有限公司 |
Rep | Type 9 — Asset management | 2011-11-14 | 2013-02-14 |
| iTTa Capital Limited 意達資本有限公司 |
Rep | Type 1 — Dealing in securities | 2011-08-17 | 2012-11-30 |
| iTTa Capital Limited 意達資本有限公司 |
Rep | Type 4 — Advising on securities | 2011-08-17 | 2012-11-30 |
| Ivy Asset Management (HK) Limited |
RO | Type 1 — Dealing in securities | 2008-02-06 | 2010-05-31 |
| Ivy Asset Management (HK) Limited |
RO | Type 4 — Advising on securities | 2008-02-06 | 2010-05-31 |
| UBP Asset Management Asia Limited 瑞士聯合資產管理亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2007-04-17 | 2007-10-31 |
| UBP Asset Management Asia Limited 瑞士聯合資產管理亞洲有限公司 |
RO | Type 4 — Advising on securities | 2007-04-17 | 2007-10-31 |