Yi Zhu
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yi Zhu (朱軼), a licensed Responsible Officer with CE reference AWE965. Currently licensed at 2 firm(s): SDG Securities (HK) Limited, SDG Asset Management (HK) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 5.6 years of SFC licence history. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SDG Securities (HK) Limited 山金證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2026-09-03 | present |
| SDG Asset Management (HK) Limited 山金資產管理(香港)有限公司 |
RO | Type 4 - Advising on securities | 2026-09-03 | present |
| SDG Securities (HK) Limited 山金證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2026-09-03 | present |
| SDG Asset Management (HK) Limited 山金資產管理(香港)有限公司 |
RO | Type 9 - Asset management | 2026-09-03 | present |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2025-05-16 | 2026-06-22 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2023-11-22 | 2025-02-28 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2023-11-22 | 2025-02-28 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2023-11-22 | 2025-02-28 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2012-10-31 | 2014-04-12 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 4 - Advising on securities | 2012-10-31 | 2014-04-12 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | 2010-11-03 | 2012-06-16 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Yi Zhu during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one.