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. This person has 18.7 years of SFC licence history. Total licence records on file: 14.
Information
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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 | Pre-2003 | 2003-06-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | Pre-2003 | 2003-06-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-06-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 - Providing automated trading services | Pre-2003 | 2003-06-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 9 - Asset management | Pre-2003 | 2003-06-01 |