Chow, Alice Wai Yin 周慧妍
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | CAPITAL GLOBAL MANAGEMENT LIMITED | RO | Advising on securities | 2016-12-09 | RO | Asset management | 2016-12-09 | RO | Dealing in securities | 2016-12-09 |
| 2 | FIRST SECURITIES (HK) LIMITED | Rep | Dealing in securities | 2009-12-21 | 2016-02-15 | Rep | Asset management | 2010-10-04 | 2016-02-15 | RO | Asset management | 2016-02-15 | RO | Dealing in securities | 2016-02-15 |
| 3 | KGI WEALTH MANAGEMENT LIMITED (d2017-10-03) | Rep | Advising on securities | 2005-11-28 | 2009-12-19 | Rep | Dealing in securities | 2005-11-28 | 2009-12-19 |
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