Pong, Joanne Chiu Yan 龐朝恩

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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 ABCI CAPITAL LIMITED Rep Advising on corporate finance 2011-04-04 2011-05-14
Rep Dealing in securities 2011-04-04 2011-05-14
2 ABCI Securities Company Limited Rep Advising on corporate finance 2009-07-31 2011-03-24
Rep Dealing in securities 2009-07-31 2011-03-24
3 CHINA EVERBRIGHT CAPITAL LIMITED Rep Advising on corporate finance 2009-04-14 2009-07-22
Rep Dealing in securities 2009-04-14 2009-07-22
4 CHINA EVERBRIGHT SECURITIES (HK) LIMITED Rep Advising on corporate finance 2009-04-14 2009-07-22
Rep Dealing in securities 2009-04-14 2009-07-22
5 China Securities (International) Brokerage Company Limited Rep Dealing in securities 2013-05-13 2013-08-29
Rep Advising on securities 2013-05-13 2015-01-29
RO Dealing in securities 2013-08-29 2015-01-29
6 China Securities (International) Corporate Finance Company Limited Rep Advising on corporate finance 2013-05-13 2013-08-29
RO Advising on corporate finance 2013-08-29 2015-01-29
RO Dealing in securities 2013-11-11 2015-01-29
7 DBS ASIA CAPITAL LIMITED Rep Advising on corporate finance 2005-01-28 2006-06-23
Rep Advising on securities 2005-01-28 2006-06-23
Rep Dealing in securities 2005-01-28 2006-06-23
8 MACQUARIE CAPITAL LIMITED Rep Advising on corporate finance 2006-07-26 2008-10-15
Rep Dealing in securities 2006-07-26 2008-10-15
9 Macquarie Corporate (Hong Kong) Limited Rep Advising on corporate finance 2006-07-26 2008-10-15
10 Trinity Corporate Finance Limited (VG) RO Advising on corporate finance 2016-01-04
11 Trinity Financial Group Limited RO Dealing in securities 2016-02-16 2019-10-17

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