SFC Licences of PONG Joanne Chiu Yan 龐朝恩

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

Institution Role Licences Start date End date
Trinity Financial Group Limited
RO 1 16 February 2016 17 October 2019
Trinity Corporate Finance Limited
RO 6 04 January 2016
China Securities (International) Corporate Finance Company Limited 中信建投(國際)融資有限公司
RO 1 11 November 2013 29 January 2015
China Securities (International) Brokerage Company Limited 中信建投(國際)証券有限公司
RO 1 29 August 2013 29 January 2015
China Securities (International) Corporate Finance Company Limited 中信建投(國際)融資有限公司
RO 6 29 August 2013 29 January 2015
China Securities (International) Brokerage Company Limited 中信建投(國際)証券有限公司
RE 4 13 May 2013 29 January 2015
China Securities (International) Brokerage Company Limited 中信建投(國際)証券有限公司
RE 1 13 May 2013 29 August 2013
China Securities (International) Corporate Finance Company Limited 中信建投(國際)融資有限公司
RE 6 13 May 2013 29 August 2013
ABCI Capital Limited 農銀國際融資有限公司
RE 1, 6 04 April 2011 14 May 2011
ABCI Securities Company Limited 農銀國際證券有限公司
RE 1, 6 31 July 2009 24 March 2011
China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司
China Everbright Capital Limited 中國光大融資有限公司
RE 1, 6 14 April 2009 22 July 2009
Macquarie Capital Limited 麥格理資本股份有限公司
RE 1, 6 26 July 2006 15 October 2008
Macquarie Corporate (Hong Kong) Limited
RE 6 26 July 2006 15 October 2008
DBS Asia Capital Limited 星展亞洲融資有限公司
RE 1, 4, 6 28 January 2005 23 June 2006