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CAI Yingwei

蔡英煒
CE AUU962Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

CAI Yingwei (CE number AUU962) is an individual licensed by the Hong Kong SFC. First licensed on 2010-03-01. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerCMB International Capital Limited
招銀國際融資有限公司

Licence Record (8)

2021-07-05 – present Current
CMB International Capital Limited RO
RA 1 RA 6
2020-11-12 – 2021-07-05
CMB International Capital Limited Rep
RA 1 RA 6
2017-12-04 – 2020-08-19
CLSA Limited Rep
RA 1 RA 4
2017-12-04 – 2020-08-19
CITIC Securities (Hong Kong) Limited Rep
RA 4 RA 6
2013-09-25 – 2017-08-04
Merrill Lynch (Asia Pacific) Limited RO
RA 1 RA 4 RA 6
2013-09-25 – 2017-08-04
Merrill Lynch Far East Limited RO
RA 1 RA 4 RA 6
2010-03-01 – 2013-09-25
Merrill Lynch (Asia Pacific) Limited Rep
RA 1 RA 4 RA 6
2010-03-01 – 2013-09-25
Merrill Lynch Far East Limited Rep
RA 1 RA 4 RA 6

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/AUU962