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YE Wenli

葉文莉
CE AVL281Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

YE Wenli (CE number AVL281) is an individual licensed by the Hong Kong SFC. First licensed on 2010-08-09. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (3)

CapacityCompany / Institution
Responsible OfficerSBI China Capital Asset Management Limited
軟庫中華金融資產管理有限公司
Responsible OfficerSBI China Capital Financial Services Limited
軟庫中華金融服務有限公司
RepresentativeSBI China Capital Financial Services Limited
軟庫中華金融服務有限公司

Licence Record (5)

2019-09-20 – present Current
SBI China Capital Asset Management Limited RO
RA 4 RA 9
2019-05-17 – present Current
SBI China Capital Financial Services Limited RO
RA 4 RA 9
2016-01-25 – present Current
SBI China Capital Financial Services Limited Rep
RA 1 RA 4 RA 9
2011-07-19 – 2015-08-01
CCB International Asset Management Limited Rep
RA 1 RA 4 RA 9
2010-08-09 – 2011-05-18
Haitong International Investment Managers Limited Rep
RA 1

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/AVL281