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. Total licence records on file: 6.
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 |