Poon, To Sing 潘道成
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 | Avantua Capital Management Limited | RO | Advising on securities | 2020-04-08 | 2022-10-31 | RO | Asset management | 2020-04-08 | 2022-10-31 |
2 | BASIC ASSET MANAGEMENT LIMITED | Rep | Asset management | 2013-02-22 | 2014-07-31 |
3 | BOCI COMMODITIES & FUTURES LIMITED | Rep | Dealing in futures contracts | 2004-06-16 | 2006-01-26 |
4 | BOCI SECURITIES LIMITED | Rep | Dealing in securities | 2004-06-16 | 2006-06-09 |
5 | BOCOM International Holdings Company Limited | Rep | Dealing in securities | 2006-07-10 | 2007-10-02 | Rep | Dealing in futures contracts | 2006-08-28 | 2007-10-02 |
6 | BOCOM International Securities Limited | Rep | Dealing in futures contracts | 2007-09-12 | 2007-10-02 | Rep | Dealing in securities | 2007-09-12 | 2007-10-02 | Rep | Dealing in futures contracts | 2011-04-06 | 2012-07-04 | Rep | Dealing in securities | 2011-04-06 | 2012-07-04 |
7 | Changjiang Securities Brokerage (HK) Limited | Rep | Dealing in securities | 2014-08-22 | 2015-10-29 |
8 | CITIC Securities Brokerage (HK) Limited | Rep | Dealing in securities | 2009-02-19 | 2009-08-29 |
9 | CITIC Securities Futures (HK) Limited | Rep | Dealing in futures contracts | 2009-02-19 | 2009-08-29 |
10 | KINGDOM INVESTMENT MANAGERS LIMITED | RO | Advising on securities | 2023-01-11 | RO | Asset management | 2023-01-11 |
11 | KINGDOM SECURITIES LIMITED (HK) | RO | Dealing in securities | 2022-11-21 | |
12 | KINGSWAY FINANCIAL SERVICES GROUP LIMITED | Rep | Dealing in futures contracts | 2007-10-09 | 2007-11-20 | Rep | Dealing in securities | 2007-10-09 | 2007-11-20 |
13 | Legg Mason Asset Management Hong Kong Limited | Rep | Advising on corporate finance | 2004-04-07 | Rep | Advising on futures contracts | 2004-04-07 | Rep | Advising on securities | 2004-04-07 | Rep | Asset management | 2004-04-07 |
14 | Legg Mason International Equities (Hong Kong) Limited | Rep | Advising on corporate finance | 2004-04-07 | Rep | Advising on futures contracts | 2004-04-07 | Rep | Advising on securities | 2004-04-07 | Rep | Asset management | 2004-04-07 | Rep | Dealing in securities | 2004-04-07 |
15 | MAGIC COMPASS FUTURES LIMITED | RO | Dealing in futures contracts | 2016-09-26 | 2017-06-09 |
16 | ORIENT SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2015-11-23 | 2015-12-03 |
17 | Prime Cdex Securities Limited | Rep | Dealing in securities | 2016-04-07 | 2016-05-26 | RO | Dealing in securities | 2016-05-26 | 2017-06-09 | RO | Advising on securities | 2016-06-27 | 2017-06-09 |
18 | Rich Bay Securities Limited | Rep | Dealing in securities | 2017-06-28 | 2017-08-28 | RO | Dealing in securities | 2017-08-28 | 2020-04-03 | RO | Dealing in futures contracts | 2018-11-12 | 2020-04-03 |
19 | SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in securities | 2009-09-14 | 2011-04-01 |
20 | SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | Dealing in futures contracts | 2009-09-14 | 2011-04-01 |
21 | WealthQuay Asset Management Limited | RO | Advising on securities | 2018-11-27 | 2020-04-03 | RO | Asset management | 2018-11-27 | 2020-04-03 |
22 | WINNINGTON CAPITAL LIMITED | Rep | Advising on futures contracts | 2008-01-07 | 2008-12-18 | Rep | Advising on securities | 2008-01-07 | 2008-12-18 |
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