Poon, Ming Pui 潘明培
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 | CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED | RO | Asset management | 2008-06-06 | 2009-06-20 |
| 2 | CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED | Rep | Dealing in securities | 2005-10-05 | 2005-11-01 | RO | Dealing in securities | 2005-11-01 | 2009-06-03 |
| 3 | CICC US Securities, Inc. | RO | Dealing in securities | 2007-08-03 | 2009-06-20 |
| 4 | UBS SECURITIES ASIA LIMITED | RO | Advising on corporate finance | 2005-02-04 | RO | Asset management | 2005-02-04 | RO | Advising on securities | 2005-03-30 | RO | Dealing in securities | 2005-03-30 | Rep | Dealing in securities | 2005-03-30 | 2005-09-03 |
| 5 | UBS SECURITIES HONG KONG LIMITED | RO | Advising on corporate finance | 2005-02-07 | RO | Advising on securities | 2005-02-07 | RO | Asset management | 2005-02-07 | RO | Dealing in securities | 2005-03-30 | Rep | Dealing in securities | 2005-03-30 | 2005-09-03 |
| 6 | Yuanta Securities (Hong Kong) Company Limited | Rep | Dealing in securities | 2009-08-06 | 2009-11-02 | Rep | Advising on securities | 2009-09-02 | 2009-11-02 | RO | Advising on securities | 2009-11-02 | 2011-04-21 | RO | Dealing in securities | 2009-11-02 | 2011-04-21 |
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