Lai Ying Kinnie Yau
尤儷縈
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. Total licence records on file: 6.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
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 |