SFC Licences of POON Ming Pui 潘明培

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

Institution Role Licences Start date End date
Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 RO 4 02 November 2009 21 April 2011
Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 RO 1 02 November 2009 21 April 2011
Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 RE 4 02 September 2009 02 November 2009
Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 RE 1 06 August 2009 02 November 2009
China International Capital Corporation Hong Kong Asset Management Limited 中國國際金融香港資產管理有限公司 RO 9 06 June 2008 20 June 2009
CICC US Securities, Inc. RO 1 03 August 2007 20 June 2009
China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 RO 1 01 November 2005 03 June 2009
China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 RE 1 05 October 2005 01 November 2005
UBS Securities Asia Limited RE 1 30 March 2005 03 September 2005
UBS Securities Hong Kong Limited RE 1 30 March 2005 03 September 2005
UBS Securities Hong Kong Limited RO 1 01 April 2003 30 March 2005
UBS Securities Asia Limited RO 4 01 April 2003 30 March 2005
UBS Securities Asia Limited RO 1 01 April 2003 30 March 2005
UBS Securities Hong Kong Limited RO 4 01 April 2003 07 February 2005
UBS Securities Hong Kong Limited RO 6 01 April 2003 07 February 2005
UBS Securities Hong Kong Limited RO 9 01 April 2003 07 February 2005
UBS Securities Asia Limited RO 9 01 April 2003 04 February 2005
UBS Securities Asia Limited RO 6 01 April 2003 04 February 2005