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LUO Yi

羅毅
CE AQE404Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LUO Yi (CE number AQE404) is an individual licensed by the Hong Kong SFC. First licensed on 2008-01-30. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance), 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 6 Advising on Corporate Finance
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerVast Harbour Corporate Finance Limited
華港企業融資有限公司

Licence Record (9)

2023-11-24 – present Current
Vast Harbour Corporate Finance Limited RO
RA 6
2019-07-18 – 2020-01-16
Soochow Securities International Asset Management Limited RO
RA 4 RA 9
2019-06-11 – 2021-09-07
Soochow Securities International Capital Limited RO
RA 6
2019-05-02 – 2019-06-11
Soochow Securities International Capital Limited Rep
RA 6
2015-03-26 – 2019-02-27
Southwest Securities (HK) Capital Limited RO
RA 6
2013-05-08 – 2014-09-09
XinKong International Securities Limited Rep
RA 6
2009-09-15 – 2013-01-04
China Merchants Securities (HK) Co., Limited Rep
RA 6
2008-01-30 – 2009-08-31
GF Securities (Hong Kong) Brokerage Limited Rep
RA 1
2008-01-30 – 2009-08-31
GF Capital (Hong Kong) Limited Rep
RA 6

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/AQE404