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CHOW Alice Wai Yin

周慧妍
CE AMO986Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

CHOW Alice Wai Yin (CE number AMO986) is an individual licensed by the Hong Kong SFC. First licensed on 2005-11-28. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerCapital Global Management Limited
瑞興全球財富管理有限公司
Responsible OfficerFirst Securities (HK) Limited
第一證券(香港)有限公司

Licence Record (4)

2016-12-09 – present Current
Capital Global Management Limited RO
RA 1 RA 4 RA 9
2016-02-15 – present Current
First Securities (HK) Limited RO
RA 1 RA 9
2009-12-21 – 2016-02-15
First Securities (HK) Limited Rep
RA 1 RA 9
2005-11-28 – 2009-12-19
KGI Wealth Management Limited Rep
RA 1 RA 4

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/AMO986