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