Shaojun Cai
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shaojun Cai, a licensed former licensee with CE reference BFL054. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| E Fund Management (Hong Kong) Co., Limited 易方達資產管理(香港)有限公司 |
RO | Type 4 - Advising on securities | 2023-06-23 | 2026-05-26 |
| E Fund Management (Hong Kong) Co., Limited 易方達資產管理(香港)有限公司 |
RO | Type 9 - Asset management | 2023-06-23 | 2026-05-26 |
| E Fund Management (Hong Kong) Co., Limited 易方達資產管理(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2018-01-09 | 2026-05-26 |
| E Fund Management (Hong Kong) Co., Limited 易方達資產管理(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2018-01-09 | 2023-06-23 |
| E Fund Management (Hong Kong) Co., Limited 易方達資產管理(香港)有限公司 |
Rep | Type 9 - Asset management | 2018-01-09 | 2023-06-23 |
| Harvest Global Investments Limited 嘉實國際資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2016-07-18 | 2017-11-30 |
| Harvest Global Investments Limited 嘉實國際資產管理有限公司 |
Rep | Type 9 - Asset management | 2016-07-18 | 2017-11-30 |
| Fitch (Hong Kong) Limited 惠譽國際評級有限公司 |
Rep | Type 10 - Providing credit rating services | 2015-06-22 | 2016-06-15 |