Xie, Yi (SFC:BFZ396) 謝懿
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2022-07-07 | |
| 2 | China Galaxy International Asset Management (Hong Kong) Co., Limited | Rep | Advising on securities | 2021-10-11 | 2022-06-10 | Rep | Asset management | 2021-11-02 | 2022-06-10 |
| 3 | China Galaxy International Securities (Hong Kong) Co., Limited | Rep | Advising on securities | 2020-09-15 | 2021-09-19 | Rep | Dealing in securities | 2020-10-06 | 2021-09-19 |
| 4 | CSI Partners HK Limited | Rep | Advising on securities | 2018-09-20 | 2020-07-28 | Rep | Asset management | 2018-09-20 | 2020-07-28 |
| 5 | GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2015-08-11 | 2017-05-19 |
| 6 | GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED | Rep | Dealing in securities | 2018-05-10 | 2018-08-17 |
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