Poon, Pat Ming Bor 潘銘波
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 | BOCOM International Securities Limited | Rep | Dealing in futures contracts | 2008-11-07 | 2010-11-30 | Rep | Dealing in securities | 2008-11-07 | 2013-08-30 |
| 2 | CSC FINANCIAL SERVICES LIMITED (d2015-11-19) | RO | Advising on corporate finance | 2003-12-29 | RO | Advising on securities | 2003-12-29 | RO | Asset management | 2003-12-29 | RO | Dealing in securities | 2008-08-19 | Rep | Dealing in securities | 2008-08-19 | 2008-10-31 |
| 3 | CSC FUTURES (HK) LIMITED | Rep | Advising on futures contracts | 2003-12-29 | Rep | Asset management | 2003-12-29 | Rep | Dealing in futures contracts | 2004-06-08 | RO | Dealing in futures contracts | 2004-06-08 | 2004-12-09 | Rep | Dealing in futures contracts | 2004-12-09 | 2008-10-31 |
| 4 | CSC SECURITIES (HK) LIMITED | RO | Automated trading services | 2003-11-07 | RO | Advising on corporate finance | 2003-12-29 | RO | Advising on securities | 2003-12-29 | RO | Asset management | 2003-12-29 | RO | Dealing in securities | 2008-08-19 | RO | Dealing in futures contracts | 2004-06-08 | 2004-12-09 | RO | Advising on securities | 2007-06-01 | 2008-08-19 | Rep | Advising on securities | 2008-08-19 | 2008-10-31 | Rep | Dealing in securities | 2008-08-19 | 2008-10-31 |
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