Rui Yi
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Rui Yi, a licensed former licensee with CE reference BGA678. This person has 5.4 years of SFC licence history. Total licence records on file: 6.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2017-09-08 | 2021-01-29 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2017-09-08 | 2021-01-29 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2017-06-01 | 2017-08-25 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2017-06-01 | 2017-08-25 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2017-06-01 | 2017-08-25 |
| SC Lowy Financial (HK) Limited | Rep | Type 1 - Dealing in securities | 2015-08-19 | 2017-05-10 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Rui Yi 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.