Alex Wai Chi Au
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Alex Wai Chi Au (區偉志), a licensed Responsible Officer with CE reference ACO434. Currently licensed at 1 firm(s): Alphalex Capital Management (HK) Limited. Active regulated activities: Type 4 - Advising on securities; Type 9 - Asset management. This person has 20.4 years of SFC licence history. Total licence records on file: 13.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Alphalex Capital Management (HK) Limited 石壁投資管理(香港)有限公司 |
RO | Type 4 - Advising on securities | 2015-06-12 | present |
| Alphalex Capital Management (HK) Limited 石壁投資管理(香港)有限公司 |
RO | Type 9 - Asset management | 2015-06-12 | present |
| Richland Capital Management Limited 富信資產管理有限公司 |
RO | Type 4 - Advising on securities | 2007-05-25 | 2013-07-09 |
| Richland Capital Management Limited 富信資產管理有限公司 |
RO | Type 9 - Asset management | 2007-05-25 | 2013-07-09 |
| Longitude Asia Limited 瑞士經緯投資有限公司 |
RO | Type 4 - Advising on securities | 2005-05-24 | 2007-05-22 |
| Longitude Asia Limited 瑞士經緯投資有限公司 |
RO | Type 9 - Asset management | 2005-05-24 | 2007-05-22 |
| AD Capital Management (Hong Kong) Limited 豐盛資產管理(香港)有限公司 |
Rep | Type 5 - Advising on futures contracts | 2004-09-08 | 2005-02-23 |
| AD Capital Management (Hong Kong) Limited 豐盛資產管理(香港)有限公司 |
RO | Type 4 - Advising on securities | 2004-09-08 | 2005-02-23 |
| AD Capital Management (Hong Kong) Limited 豐盛資產管理(香港)有限公司 |
RO | Type 9 - Asset management | 2004-09-08 | 2005-02-23 |
| HSBC Securities (Asia) Limited | Rep | Type 1 - Dealing in securities | Pre-2003 | 2004-01-15 |
| HSBC Securities (Asia) Limited | Rep | Type 4 - Advising on securities | Pre-2003 | 2003-12-09 |
| HSBC Securities (Asia) Limited | Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-12-09 |
| HSBC Securities (Asia) Limited | Rep | Type 9 - Asset management | Pre-2003 | 2003-12-09 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Alex Wai Chi Au 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.