Sum, Poon Yun 岑本訢
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | Atlantic Asset Management Limited | Rep | Advising on securities | 2019-07-16 | 2019-10-14 | Rep | Asset management | 2019-07-16 | 2019-10-14 | RO | Advising on securities | 2019-10-14 | 2022-09-28 | RO | Asset management | 2019-10-14 | 2022-09-28 |
| 2 | Awaken Thunder Capital Limited | RO | Advising on securities | 2019-03-11 | 2019-06-25 | RO | Asset management | 2019-03-11 | 2019-06-25 |
| 3 | Azure Lion International Asset Management Company Limited | RO | Asset management | 2016-11-14 | 2017-03-12 |
| 4 | Azure Lion International Securities Company Limited | Rep | Advising on securities | 2016-11-14 | 2017-01-17 | Rep | Dealing in securities | 2016-11-14 | 2017-03-12 | RO | Advising on securities | 2017-01-17 | 2017-03-12 |
| 5 | CSC FINANCIAL SERVICES LIMITED (d2015-11-19) | RO | Dealing in securities | 2004-11-19 | 2006-07-14 |
| 6 | CSC FUTURES (HK) LIMITED | Rep | Dealing in futures contracts | 2004-09-10 | 2004-11-19 | RO | Dealing in futures contracts | 2004-11-19 | 2006-07-14 |
| 7 | CSC SECURITIES (HK) LIMITED | Rep | Dealing in futures contracts | 2004-09-10 | 2004-11-19 | Rep | Dealing in securities | 2004-09-10 | 2004-11-19 | RO | Dealing in futures contracts | 2004-11-19 | 2006-07-14 | RO | Dealing in securities | 2004-11-19 | 2006-07-14 |
| 8 | GALAXY ASSET MANAGEMENT (H.K.) LIMITED | Rep | Asset management | 2011-01-27 | 2011-09-15 |
| 9 | GOLD DRAGON WORLDWIDE ASSET MANAGEMENT LIMITED | RO | Advising on securities | 2017-11-30 | 2018-02-09 | RO | Asset management | 2017-11-30 | 2018-02-09 |
| 10 | JS CRESVALE CAPITAL LIMITED | Rep | Asset management | 2012-03-12 | 2013-05-16 |
| 11 | KINGDOM INVESTMENT MANAGERS LIMITED | Rep | Asset management | 2013-11-13 | 2016-08-09 |
| 12 | Protocol Asset Management (HK) Limited | Rep | Asset management | 2023-03-16 | 2023-04-20 | RO | Asset management | 2023-04-20 | 2023-12-15 |
| 13 | SBI China Capital Commodities Limited | RO | Dealing in futures contracts | 2004-09-08 | |
| 14 | SBI China Capital Financial Services Limited | RO | Dealing in securities | 2004-09-08 | |
| 15 | SBI China Capital Securities Limited | RO | Dealing in securities | 2004-09-08 | |
| 16 | Zhonghao International Futures Co., Limited | Rep | Dealing in futures contracts | 2016-11-14 | 2017-03-12 |
| 17 | Zhonghao International Investment Consulting Co., Limited | Rep | Advising on futures contracts | 2016-11-14 | 2017-03-12 |
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