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LAI Ying Xi, Nicola

賴穎熙
CE ALY576Licensed IndividualSFO licence active
Official SFC record

LAI Ying Xi, Nicola (CE number ALY576) is an individual licensed by the Hong Kong SFC. First licensed on 2007-02-21. 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).

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
RepresentativeBaring Asset Management (Asia) Limited
霸菱資產管理(亞洲)有限公司

Licence Record (5)

2011-01-19 – present Current
Baring Asset Management (Asia) Limited Rep
RA 1 RA 4 RA 5 RA 9
2008-10-16 – 2011-01-15
ICBC Asset Management (Global) Company Limited Rep
RA 4 RA 9
2008-06-02 – 2008-09-18
BNP PARIBAS ASSET MANAGEMENT ASIA Limited Rep
RA 9
2007-11-01 – 2008-08-15
Fortis Investment Management Hong Kong Limited Rep
RA 9
2007-02-21 – 2007-10-31
TC Investment Management (Asia) Limited Rep
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/ALY576