Mary Charlotte McBain
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Mary Charlotte McBain, a licensed Responsible Officer with CE reference ABN143. Currently licensed at 1 firm(s): RiverCircle Investments Limited. Active regulated activities: Type 4 - Advising on securities; Type 9 - Asset management. This person has 18.8 years of SFC licence history. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| RiverCircle Investments Limited 合河投資有限公司 |
RO | Type 4 - Advising on securities | 2025-11-28 | present |
| RiverCircle Investments Limited 合河投資有限公司 |
RO | Type 9 - Asset management | 2025-11-28 | present |
| Peak Capital Limited | Rep | Type 1 - Dealing in securities | 2022-08-25 | 2024-10-14 |
| Peak Capital Limited | Rep | Type 4 - Advising on securities | 2022-08-25 | 2024-10-14 |
| Peak Capital Limited | Rep | Type 9 - Asset management | 2022-08-25 | 2024-10-14 |
| Ruffer (Asia) Limited | RO | Type 9 - Asset management | 2008-06-05 | 2022-01-17 |
| Ballingal Investment Advisors Limited | Rep | Type 4 - Advising on securities | 2006-03-13 | 2006-04-24 |
| Ballingal Investment Advisors Limited | RO | Type 4 - Advising on securities | 2004-08-13 | 2006-01-12 |
| Ballingal Investment Advisors Limited | RO | Type 5 - Advising on futures contracts | 2004-08-13 | 2006-01-12 |
| Ballingal Investment Advisors Limited | RO | Type 9 - Asset management | 2004-08-13 | 2006-01-12 |
| Anglo Chinese Securities, Limited 英高證券有限公司 |
RO | Type 4 - Advising on securities | Pre-2003 | 2003-10-20 |
| Anglo Chinese Securities, Limited 英高證券有限公司 |
RO | Type 9 - Asset management | Pre-2003 | 2003-10-20 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Mary Charlotte McBain 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.