Chow, Ricky Wai Kei (SFC:ACG060) 周瑋琪

Key Data Licences & registrations Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
Alpha Financial Group Limited	RO	Dealing in securities	2022-07-06	-
	Rep	Dealing in securities	2022-05-06	2022-07-06
	RO	Dealing in securities	2020-11-06	2021-09-30
	Rep	Dealing in securities	2020-09-15	2020-11-06
MAINLAND ASSET MANAGEMENT LIMITED	RO	Advising on securities	2019-09-03	2020-03-19
MAINLAND SECURITIES LIMITED	RO	Dealing in securities	2018-11-13	2020-03-19
SUNFUND SECURITIES LIMITED	RO	Dealing in securities	2017-01-23	2018-09-03
Alpha Financial Group Limited	RO	Dealing in securities	2009-06-04	2016-12-30
AMPLE CAPITAL LIMITED	Rep	Advising on corporate finance	2009-06-04	2016-12-30
	RO	Advising on securities	2009-06-04	2016-12-30
CHINA EVERBRIGHT CAPITAL LIMITED	RO	Advising on securities	2007-03-27	2009-03-23
	RO	Dealing in securities	2007-03-27	2009-03-23
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	RO	Advising on securities	2007-03-27	2009-03-23
	RO	Dealing in securities	2006-10-23	2009-03-23
	Rep	Dealing in securities	2006-03-14	2006-10-23
	Rep	Advising on securities	2006-03-14	2007-03-27
	Rep	Advising on corporate finance	2006-03-14	2009-03-23
CHINA EVERBRIGHT CAPITAL LIMITED	Rep	Advising on securities	2005-10-07	2007-03-27
	Rep	Dealing in securities	2005-10-07	2007-03-27
	Rep	Advising on corporate finance	2005-10-07	2009-03-23
SINOPAC SECURITIES (ASIA) LIMITED	Rep	Advising on corporate finance	2004-08-04	2005-09-29
	Rep	Advising on securities	2004-08-04	2005-09-29
	Rep	Dealing in securities	2004-07-21	2005-09-29
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2003-12-09	2004-07-06
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2003-12-09	2004-07-06
KINGSWAY FINANCIAL SERVICES GROUP LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-10-30
	Rep	Advising on securities	2003-04-01	2003-10-30
	Rep	Asset management	2003-04-01	2003-10-30
	Rep	Providing automated trading services	2003-04-01	2003-10-30
	Rep	Dealing in securities	2003-04-01	2003-11-04

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.