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ZHU Yi

朱軼
CE AWE965Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

ZHU Yi (CE number AWE965) is an individual licensed by the Hong Kong SFC. First licensed on 2010-11-03. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerSDG Asset Management (HK) Limited
山金資產管理(香港)有限公司
Responsible OfficerSDG Securities (HK) Limited
山金證券(香港)有限公司

Licence Record (4)

2025-05-16 – 2026-06-22
Citigroup Global Markets Asia Limited Rep
RA 1
2023-11-22 – 2025-02-28
Nomura International (Hong Kong) Limited Rep
RA 1 RA 2 RA 4
2012-10-31 – 2014-04-12
Goldman Sachs (Asia) L.L.C. Rep
RA 1 RA 4
2010-11-03 – 2012-06-16
Credit Agricole Securities (Asia) Limited Rep
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/AWE965