SFC Licences of POON To Sing 潘道成

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

Institution	Role	Licences	Start date	End date
Kingdom Investment Managers Limited 國權投資管理有限公司	RO	9	11 January 2023
Kingdom Investment Managers Limited 國權投資管理有限公司	RO	4	11 January 2023
Kingdom Securities Limited 國權證券有限公司	RO	1	21 November 2022
Avantua Capital Management Limited 璟裕資本管理有限公司	RO	9	08 April 2020	31 October 2022
Avantua Capital Management Limited 璟裕資本管理有限公司	RO	4	08 April 2020	31 October 2022
Mintai Asset Management Limited 民泰資產管理有限公司	RO	9	27 November 2018	03 April 2020
Mintai Asset Management Limited 民泰資產管理有限公司	RO	4	27 November 2018	03 April 2020
Rich Bay Securities Limited 富利證券有限公司	RO	2	12 November 2018	03 April 2020
Rich Bay Securities Limited 富利證券有限公司	RO	1	28 August 2017	03 April 2020
Rich Bay Securities Limited 富利證券有限公司	RE	1	28 June 2017	28 August 2017
Prime Cdex Futures Limited 乾立亨期貨有限公司	RO	2	26 September 2016	09 June 2017
Prime Cdex Securities Limited 乾立亨證券有限公司	RO	4	27 June 2016	09 June 2017
Prime Cdex Securities Limited 乾立亨證券有限公司	RO	1	26 May 2016	09 June 2017
Prime Cdex Securities Limited 乾立亨證券有限公司	RE	1	07 April 2016	26 May 2016
Orient Securities (Hong Kong) Limited 東方證券(香港)有限公司	RE	1	23 November 2015	03 December 2015
Changjiang Securities Brokerage (HK) Limited 長江證券經紀(香港)有限公司	RE	1	22 August 2014	29 October 2015
Basic Asset Management Limited 基匯資產管理有限公司	RE	9	22 February 2013	31 July 2014
BOCOM International Securities Limited 交銀國際證券有限公司	RE	2	06 April 2011	04 July 2012
BOCOM International Securities Limited 交銀國際證券有限公司	RE	1	06 April 2011	04 July 2012
Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司	RE	1	14 September 2009	01 April 2011
Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司	RE	2	14 September 2009	01 April 2011
CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司	RE	2	19 February 2009	29 August 2009
CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司	RE	1	19 February 2009	29 August 2009
Winnington Capital Limited 永靈通金融有限公司	RE	5	07 January 2008	18 December 2008
Winnington Capital Limited 永靈通金融有限公司	RE	4	07 January 2008	18 December 2008
Kingsway Financial Services Group Limited 滙富金融服務有限公司	RE	2	09 October 2007	20 November 2007
Kingsway Financial Services Group Limited 滙富金融服務有限公司	RE	1	09 October 2007	20 November 2007
BOCOM International Securities Limited 交銀國際證券有限公司	RE	2	12 September 2007	02 October 2007
BOCOM International Securities Limited 交銀國際證券有限公司	RE	1	12 September 2007	02 October 2007
BOCOM International Holdings Company Limited 交銀國際控股有限公司	RE	2	28 August 2006	02 October 2007
BOCOM International Holdings Company Limited 交銀國際控股有限公司	RE	1	10 July 2006	02 October 2007
BOCI Securities Limited 中銀國際證券有限公司	RE	1	16 June 2004	09 June 2006
BOCI Commodities & Futures Limited 中銀國際期貨有限公司	RE	2	16 June 2004	26 January 2006
Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司	RE	4	01 April 2003	07 April 2004
Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司	RE	6	01 April 2003	07 April 2004
Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司	RE	9	01 April 2003	07 April 2004
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務)	RE	9	01 April 2003	07 April 2004
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務)	RE	6	01 April 2003	07 April 2004
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務)	RE	1	01 April 2003	07 April 2004
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務)	RE	4	01 April 2003	07 April 2004
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務)	RE	5	01 April 2003	07 April 2004
Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司	RE	5	01 April 2003	07 April 2004