Lai Ying Kinnie Yau
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lai Ying Kinnie Yau (尤儷縈), a licensed Responsible Officer with CE reference AYY814. Currently licensed at 1 firm(s): Capital Global Management Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 12.2 years of SFC licence history. Total licence records on file: 6.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Capital Global Management Limited 瑞興全球財富管理有限公司 |
RO | Type 1 - Dealing in securities | 2015-04-30 | present |
| Capital Global Management Limited 瑞興全球財富管理有限公司 |
RO | Type 4 - Advising on securities | 2015-04-30 | present |
| Capital Global Management Limited 瑞興全球財富管理有限公司 |
RO | Type 9 - Asset management | 2015-04-30 | present |
| Capital Global Management Limited 瑞興全球財富管理有限公司 |
Rep | Type 1 - Dealing in securities | 2013-08-01 | 2014-06-30 |
| Capital Global Management Limited 瑞興全球財富管理有限公司 |
Rep | Type 4 - Advising on securities | 2013-08-01 | 2014-06-30 |
| Capital Global Management Limited 瑞興全球財富管理有限公司 |
Rep | Type 9 - Asset management | 2013-08-01 | 2014-06-30 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Lai Ying Kinnie Yau 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. See the detailed formula.