Yu Cai
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yu Cai (蔡玉), a licensed Responsible Officer with CE reference AUW213. Currently licensed at 1 firm(s): China Asset Management (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 13.7 years of SFC licence history. Total licence records on file: 17.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Asset Management (Hong Kong) Limited 華夏基金(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2024-12-19 | present |
| China Asset Management (Hong Kong) Limited 華夏基金(香港)有限公司 |
RO | Type 4 - Advising on securities | 2024-12-19 | present |
| China Asset Management (Hong Kong) Limited 華夏基金(香港)有限公司 |
RO | Type 9 - Asset management | 2024-12-19 | present |
| China Asset Management (Hong Kong) Limited 華夏基金(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2023-12-11 | 2024-12-19 |
| China Asset Management (Hong Kong) Limited 華夏基金(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2023-12-11 | 2024-12-19 |
| China Asset Management (Hong Kong) Limited 華夏基金(香港)有限公司 |
Rep | Type 9 - Asset management | 2023-12-11 | 2024-12-19 |
| Amundi Hong Kong Limited 東方匯理資產管理香港有限公司 |
Rep | Type 1 - Dealing in securities | 2020-02-21 | 2023-11-15 |
| Amundi Hong Kong Limited 東方匯理資產管理香港有限公司 |
Rep | Type 4 - Advising on securities | 2020-02-21 | 2023-11-15 |
| State Street Global Advisors Asia Limited 道富環球投資管理亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2018-04-27 | 2020-01-21 |
| State Street Global Advisors Asia Limited 道富環球投資管理亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2018-04-27 | 2020-01-21 |
| BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 |
Rep | Type 1 - Dealing in securities | 2012-10-19 | 2018-04-02 |
| BlackRock (Hong Kong) Limited 貝萊德(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2012-10-19 | 2014-12-31 |
| BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 |
Rep | Type 4 - Advising on securities | 2012-10-19 | 2018-04-02 |
| BlackRock (Hong Kong) Limited 貝萊德(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2012-10-19 | 2014-12-31 |
| BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 |
Rep | Type 9 - Asset management | 2012-10-19 | 2015-11-19 |
| BlackRock (Hong Kong) Limited 貝萊德(香港)有限公司 |
Rep | Type 9 - Asset management | 2012-10-19 | 2014-12-31 |
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2010-03-10 | 2010-04-08 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Yu Cai during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.