SFC Licences of POON Siu Yan 潘小茵

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

Institution Role Licences Start date End date
China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 RO 4 11 February 2020
China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 RO 1 11 February 2020
China Galaxy International Futures (Hong Kong) Co., Limited 中國銀河國際期貨(香港)有限公司 RE 2 23 December 2019
China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 RE 4 21 November 2019 11 February 2020
China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 RE 1 21 November 2019 11 February 2020
Tongfang Securities Limited 同方證券有限公司 RO 4 01 March 2019 08 November 2019
Tongfang Securities Limited 同方證券有限公司 RO 1 01 March 2019 08 November 2019
Tongfang Securities Limited 同方證券有限公司 RO 4 29 November 2018 10 January 2019
Tongfang Securities Limited 同方證券有限公司 RO 1 29 November 2018 10 January 2019
CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 RO 4 30 June 2017 21 September 2018
CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 RO 1 30 June 2017 21 September 2018
CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 RE 2 14 June 2017 21 September 2018
CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 RE 4 13 September 2012 30 June 2017
CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 RE 1 10 July 2012 30 June 2017