Yingwei Cai
蔡英煒
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yingwei Cai (蔡英煒), a licensed Responsible Officer with CE reference AUU962. Currently licensed at 1 firm(s): CMB International Capital Limited. Active regulated activities: Type 1 — Dealing in securities; Type 6 — Advising on corporate finance. Total licence records on file: 20.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CMB International Capital Limited 招銀國際融資有限公司 |
RO | Type 1 — Dealing in securities | 2021-07-05 | present |
| CMB International Capital Limited 招銀國際融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2021-07-05 | present |
| CMB International Capital Limited 招銀國際融資有限公司 |
Rep | Type 1 — Dealing in securities | 2020-11-12 | 2021-07-05 |
| CMB International Capital Limited 招銀國際融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2020-11-12 | 2021-07-05 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2017-12-04 | 2020-08-19 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2017-12-04 | 2020-08-19 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 4 — Advising on securities | 2017-12-04 | 2020-08-19 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2017-12-04 | 2020-08-19 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 1 — Dealing in securities | 2013-09-25 | 2017-08-04 |
| Merrill Lynch Far East Limited | RO | Type 1 — Dealing in securities | 2013-09-25 | 2017-08-04 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 4 — Advising on securities | 2013-09-25 | 2017-08-04 |
| Merrill Lynch Far East Limited | RO | Type 4 — Advising on securities | 2013-09-25 | 2017-08-04 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 6 — Advising on corporate finance | 2013-09-25 | 2017-08-04 |
| Merrill Lynch Far East Limited | RO | Type 6 — Advising on corporate finance | 2013-09-25 | 2017-08-04 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2010-03-01 | 2013-09-25 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2010-03-01 | 2013-09-25 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2010-03-01 | 2013-09-25 |
| Merrill Lynch Far East Limited | Rep | Type 4 — Advising on securities | 2010-03-01 | 2013-09-25 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | 2010-03-01 | 2013-09-25 |
| Merrill Lynch Far East Limited | Rep | Type 6 — Advising on corporate finance | 2010-03-01 | 2013-09-25 |