SFC Licences of WONG Nim Poon 黃念本

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

Institution Role Licences Start date End date
Huarong International Securities Limited 華融國際證券有限公司 RE 4 18 October 2011 30 November 2011
Huarong International Securities Limited 華融國際證券有限公司 RE 2 18 October 2011 30 November 2011
Huarong International Securities Limited 華融國際證券有限公司 RE 1 18 October 2011 30 November 2011
Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 RE 2 07 June 2010 21 September 2011
Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 RE 9 07 June 2010 21 September 2011
Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 RE 1 07 June 2010 21 September 2011
Delta Asia Financial Futures Limited 滙業金融期貨有限公司 RO 5 02 June 2009 29 April 2010
Delta Asia Financial Futures Limited 滙業金融期貨有限公司 RO 2 02 June 2009 29 April 2010
Delta Asia Wealth Management Limited 滙業財富管理有限公司 RE 9 28 November 2008 29 April 2010
Delta Asia Securities Limited 滙業證券有限公司 RE 1 11 April 2007 29 April 2010
Delta Asia Financial Futures Limited 滙業金融期貨有限公司 RE 2 11 April 2007 02 June 2009
YF Securities Company Limited 怡發證券有限公司 RO 1 27 September 2003 15 March 2007
YF Futures Company Limited 怡發期貨有限公司 RE 2 18 August 2003 15 March 2007
YF Securities Company Limited 怡發證券有限公司 RE 1 18 August 2003 27 September 2003
CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 RE 2 06 June 2003 01 August 2003
CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 RO 7 01 April 2003 01 August 2003
CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 RO 1 01 April 2003 01 August 2003