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MCBAIN Mary Charlotte

CE ABN143Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

MCBAIN Mary Charlotte (CE number ABN143) is an individual licensed by the Hong Kong SFC. First licensed on 2003-04-01. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerRiverCircle Investments Limited
合河投資有限公司

Licence Record (6)

2025-11-28 – present Current
RiverCircle Investments Limited RO
RA 4 RA 9
2022-08-25 – 2024-10-14
Peak Capital Limited Rep
RA 1 RA 4 RA 9
2008-06-05 – 2022-01-17
Ruffer (Asia) Limited RO
RA 9
2006-03-13 – 2006-04-24
Ballingal Investment Advisors Limited Rep
RA 4
2004-08-13 – 2006-01-12
Ballingal Investment Advisors Limited RO
RA 4 RA 5 RA 9
2003-04-01 – 2003-10-20
Anglo Chinese Securities, Limited RO
RA 4 RA 9

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/ABN143