Alice Wai Yin Chow
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. This person has 20.7 years of SFC licence history. Total licence records on file: 9.
Information
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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 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Alice Wai Yin Chow during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.