SFC Licences of CAI Yulong 蔡宇龍

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution Role Licences Start date End date
Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 RE 6 24 November 2022
Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 RO 1 04 March 2022
Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 RO 6 04 March 2022 24 November 2022
Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 RE 6 01 November 2021 04 March 2022
Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 RE 1 01 November 2021 04 March 2022
CMB International Capital Limited 招銀國際融資有限公司 RE 6 17 May 2017 31 August 2021
CMB International Capital Limited 招銀國際融資有限公司 RE 1 17 May 2017 31 August 2021
CLSA Capital Markets Limited 中信里昂證券資本市場有限公司 RE 6 23 April 2015 24 October 2016
CLSA Capital Markets Limited 中信里昂證券資本市場有限公司 RE 4 23 April 2015 24 October 2016
CLSA Limited 中信里昂證券有限公司 RE 1 23 April 2015 24 October 2016
CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 RE 6 02 August 2011 01 January 2016
CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 RE 4 02 August 2011 01 January 2016
CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 RE 1 02 August 2011 01 January 2016