Catherine Hongjun Cai
蔡紅軍
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Catherine Hongjun Cai (蔡紅軍), a licensed former licensee with CE reference AFJ286. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Hong Kong Limited | Rep | Type 6 - Advising on corporate finance | 2018-03-01 | 2024-12-13 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2015-06-17 | 2017-09-11 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2015-06-17 | 2017-09-11 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2005-10-03 | 2015-03-25 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2005-10-03 | 2015-03-25 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2005-10-03 | 2015-03-25 |
| Merrill Lynch Far East Limited | Rep | Type 4 - Advising on securities | 2005-10-03 | 2015-03-25 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | 2005-10-03 | 2015-03-25 |
| Merrill Lynch Far East Limited | Rep | Type 6 - Advising on corporate finance | 2005-10-03 | 2015-03-25 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | present | 2003-06-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | present | 2003-06-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | present | 2003-06-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 - Providing automated trading services | present | 2003-06-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 9 - Asset management | present | 2003-06-01 |