Poon, Ming Pui 潘明培

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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 Yuanta Securities (Hong Kong) Company Limited Rep Advising on securities 2009-09-02 2009-11-02
2 UBS SECURITIES ASIA LIMITED Rep Dealing in securities 2005-03-30 2005-09-03
3 UBS SECURITIES HONG KONG LIMITED Rep Dealing in securities 2005-03-30 2005-09-03
4 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED Rep Dealing in securities 2005-10-05 2005-11-01
5 Yuanta Securities (Hong Kong) Company Limited Rep Dealing in securities 2009-08-06 2009-11-02
6 UBS SECURITIES ASIA LIMITED RO Advising on corporate finance 2005-02-04
7 UBS SECURITIES HONG KONG LIMITED RO Advising on corporate finance 2005-02-07
8 UBS SECURITIES ASIA LIMITED RO Advising on securities 2005-03-30
9 UBS SECURITIES HONG KONG LIMITED RO Advising on securities 2005-02-07
10 Yuanta Securities (Hong Kong) Company Limited RO Advising on securities 2009-11-02 2011-04-21
11 UBS SECURITIES ASIA LIMITED RO Asset management 2005-02-04
12 UBS SECURITIES HONG KONG LIMITED RO Asset management 2005-02-07
13 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED RO Asset management 2008-06-06 2009-06-20
14 UBS SECURITIES ASIA LIMITED RO Dealing in securities 2005-03-30
15 UBS SECURITIES HONG KONG LIMITED RO Dealing in securities 2005-03-30
16 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED RO Dealing in securities 2005-11-01 2009-06-03
17 CICC US Securities, Inc. RO Dealing in securities 2007-08-03 2009-06-20
18 Yuanta Securities (Hong Kong) Company Limited RO Dealing in securities 2009-11-02 2011-04-21

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