SFC Licences of POON Ying Heung, Charlotte 潘凝香
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| CLSA Limited 中信里昂證券有限公司 |
RE | 1 | 21 December 2021 | |
| CLSA Capital Markets Limited 中信里昂證券資本市場有限公司 |
RE | 4, 6 | 21 December 2021 | |
| CLSA Capital Markets Limited 中信里昂證券資本市場有限公司 |
RE | 4, 6 | 23 April 2015 | 22 July 2017 |
| CLSA Limited 中信里昂證券有限公司 |
RE | 1 | 23 April 2015 | 22 July 2017 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
RE | 1, 4, 6 | 08 August 2011 | 01 January 2016 |
| Piper Jaffray Asia Limited 派杰亞洲有限公司 |
RE | 6 | 20 August 2010 | 28 July 2011 |