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. This person has 6.9 years of SFC licence history. Total licence records on file: 11.
Information
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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 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Alexander David Balfour 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.