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 Xiaoyi

盧瀟漪
CE BVR868Licensed IndividualSFO licence active
Official SFC record

LU Xiaoyi (CE number BVR868) is an individual licensed by the Hong Kong SFC. First licensed on 2024-12-04. 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).

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
RepresentativeGuotai Junan Capital Limited
國泰君安融資有限公司

Licence Record (3)

2026-05-12 – present Current
Guotai Junan Capital Limited Rep
RA 6
2024-12-04 – 2026-01-04
Ark Group Holdings (Hong Kong) Limited Rep
RA 1 RA 4 RA 9
2024-12-04 – 2026-01-04
Olive Asset Management (Hong Kong) Limited Rep
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/BVR868