Poon, Ying Heung Charlotte 潘凝香
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 | CITIC Securities (Hong Kong) Limited | Rep | Advising on corporate finance | 2015-04-23 | 2017-07-22 | Rep | Advising on securities | 2015-04-23 | 2017-07-22 | Rep | Advising on corporate finance | 2021-12-21 | Rep | Advising on securities | 2021-12-21 |
| 2 | CLSA LIMITED | Rep | Dealing in securities | 2015-04-23 | 2017-07-22 | Rep | Dealing in securities | 2021-12-21 |
| 3 | CSI Corporate Finance (HK) Limited | Rep | Advising on corporate finance | 2011-08-08 | 2016-01-01 | Rep | Advising on securities | 2011-08-08 | 2016-01-01 | Rep | Dealing in securities | 2011-08-08 | 2016-01-01 |
| 4 | PIPER JAFFRAY ASIA LIMITED | Rep | Advising on corporate finance | 2010-08-20 | 2011-07-28 |
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