Unofficial — this is NOT the SFC. Independent site, not affiliated with the Securities and Futures Commission of Hong Kong. All information is compiled from SFC, HKMA and other public regulatory records and is for reference only — verify on the official SFC website before relying on it.
SFC Radar
中文 ← Back to search

LU Cindy Xingyi

CE BRW897Licensed IndividualSFO licence active
Official SFC record

LU Cindy Xingyi (CE number BRW897) is an individual licensed by the Hong Kong SFC. First licensed on 2021-12-28. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 9 (Asset management).

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeOppenheimer Investments Asia Limited
凱萬亞洲有限公司

Licence Record (2)

2023-01-13 – present Current
Oppenheimer Investments Asia Limited Rep
RA 1 RA 4
2021-12-28 – 2022-11-17
China Chengtong (Hong Kong) Asset Management Company Limited Rep
RA 1 RA 4 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/BRW897