Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, XINYI GRIZELDA
Chinese Name of Relevant Individual
李欣旖
HKMA Registration Number
AH5777
Current Registration
Not Applicable
Business Address
Not Applicable
Conditions
Not Applicable
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Feb 2021 - 03 Dec 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 4: advising on securities
Effective Period
19 Feb 2021 - 03 Dec 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 9: asset management
Effective Period
19 Feb 2021 - 03 Dec 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Sep 2017 - 18 Feb 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 4: advising on securities
Effective Period
15 Sep 2017 - 18 Feb 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 9: asset management
Effective Period
15 Sep 2017 - 18 Feb 2021
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
Public Disciplinary Actions
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.
:
Name of Relevant Individual
LEE, XINYI GRIZELDA
:
Chinese Name of Relevant Individual
李欣旖
:
HKMA Registration Number
AH5777
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH5777
CA INDOSUEZ (SWITZERLAND) SA
Type 1: dealing in securities
19 Feb 2021 - 03 Dec 2021
Yes
AH5777
CA INDOSUEZ (SWITZERLAND) SA
Type 4: advising on securities
19 Feb 2021 - 03 Dec 2021
Yes
AH5777
CA INDOSUEZ (SWITZERLAND) SA
Type 9: asset management
19 Feb 2021 - 03 Dec 2021
Yes
AH5777
CA INDOSUEZ (SWITZERLAND) SA
Type 1: dealing in securities
15 Sep 2017 - 18 Feb 2021
No
AH5777
CA INDOSUEZ (SWITZERLAND) SA
Type 4: advising on securities
15 Sep 2017 - 18 Feb 2021
No
AH5777
CA INDOSUEZ (SWITZERLAND) SA
Type 9: asset management
15 Sep 2017 - 18 Feb 2021
No
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.