Wong, Nim Poon 黃念本
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 Brokerage (HK) Limited | RO | Automated trading services | 2003-08-01 | RO | Dealing in securities | 2003-08-01 |
| 2 | CITIC Securities Futures (HK) Limited | Rep | Dealing in futures contracts | 2003-06-06 | 2003-08-01 |
| 3 | DELTA ASIA FINANCIAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2007-04-11 | 2009-06-02 | RO | Advising on futures contracts | 2009-06-02 | 2010-04-29 | RO | Dealing in futures contracts | 2009-06-02 | 2010-04-29 |
| 4 | DELTA ASIA SECURITIES LIMITED | Rep | Dealing in securities | 2007-04-11 | 2010-04-29 |
| 5 | Delta Asia Wealth Management Limited | Rep | Asset management | 2008-11-28 | 2010-04-29 |
| 6 | Huarong International Securities Limited | Rep | Advising on securities | 2011-10-18 | 2011-11-30 | Rep | Dealing in futures contracts | 2011-10-18 | 2011-11-30 | Rep | Dealing in securities | 2011-10-18 | 2011-11-30 |
| 7 | PHILLIP COMMODITIES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2010-06-07 | 2011-09-21 |
| 8 | PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Asset management | 2010-06-07 | 2011-09-21 | Rep | Dealing in securities | 2010-06-07 | 2011-09-21 |
| 9 | YF FUTURES COMPANY LIMITED | Rep | Dealing in futures contracts | 2003-08-18 | 2007-03-15 |
| 10 | YF SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2003-08-18 | 2003-09-27 | RO | Dealing in securities | 2003-09-27 | 2007-03-15 |
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