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XIE Yi

解一
CE ANL073Licensed IndividualExecutive OfficerSFO licence active
Official SFC record

XIE Yi (CE number ANL073) is an individual licensed by the Hong Kong SFC. First licensed on 2006-06-05. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities).

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities

Roles & Accreditations (1)

CapacityCompany / Institution
Executive OfficerBank of China (Hong Kong) Limited
中國銀行(香港)有限公司

Licence Record (5)

2024-03-19 – 2026-02-11
Nittan Securities Asia Limited Rep
RA 1
2010-07-05 – 2018-10-12
Citigroup Global Markets Asia Limited Rep
RA 1 RA 2
2010-07-05 – 2013-08-31
Citigroup Global Markets Hong Kong Futures and Securities Limited Rep
RA 2
2008-10-10 – 2010-05-05
Nomura International (Hong Kong) Limited Rep
RA 1
2006-06-05 – 2008-09-29
Lehman Brothers Asia Limited Rep
RA 1

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/ANL073