Poon, Ronald King Tou 潘敬濤
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 | Altive Limited | Rep | Advising on securities | 2020-08-27 | 2020-11-13 | Rep | Asset management | 2020-08-27 | 2020-11-13 |
| 2 | CHARLES SCHWAB, HONG KONG, LIMITED | Rep | Advising on futures contracts | 2011-03-30 | 2016-08-24 | Rep | Advising on securities | 2011-03-30 | 2018-03-28 | Rep | Dealing in securities | 2011-03-30 | 2018-03-28 |
| 3 | China-Hong Kong Connect International Securities Limited | Rep | Dealing in securities | 2021-02-03 | 2022-01-08 |
| 4 | Fintech Investment Group Limited | RO | Advising on securities | 2022-05-26 | RO | Asset management | 2022-05-26 |
| 5 | Hang Tai Asset Management Limited | Rep | Advising on securities | 2021-01-29 | 2021-02-23 | Rep | Asset management | 2021-01-29 | 2021-02-23 | RO | Advising on securities | 2021-02-23 | 2022-01-08 | RO | Asset management | 2021-02-23 | 2022-01-08 |
| 6 | HARRIS FRASER (INTERNATIONAL) LIMITED | Rep | Advising on securities | 2019-02-19 | 2019-10-18 | Rep | Asset management | 2019-02-19 | 2019-10-18 | Rep | Dealing in securities | 2019-02-19 | 2019-10-18 |
| 7 | Kaisa Asset Management Limited | Rep | Advising on securities | 2019-12-02 | 2020-02-20 | Rep | Asset management | 2019-12-02 | 2020-02-20 |
| 8 | Kaisa Financial Group Company Limited | Rep | Dealing in securities | 2019-12-02 | 2020-02-20 |
| 9 | MORRIS ZENDER FUND MANAGEMENT LIMITED | Rep | Advising on securities | 2007-02-01 | 2011-02-21 |
| 10 | OnePlatform Asset Management Limited | Rep | Advising on securities | 2006-04-24 | 2006-12-08 |
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