Poon, Siu Yan 潘小茵
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 | China Galaxy International Futures (Hong Kong) Co., Limited | Rep | Dealing in futures contracts | 2019-12-23 | |
| 2 | China Galaxy International Securities (Hong Kong) Co., Limited | Rep | Advising on securities | 2019-11-21 | 2020-02-11 | Rep | Dealing in securities | 2019-11-21 | 2020-02-11 | RO | Advising on securities | 2020-02-11 | RO | Dealing in securities | 2020-02-11 |
| 3 | CITIC Securities Brokerage (HK) Limited | Rep | Dealing in securities | 2012-07-10 | 2017-06-30 | Rep | Advising on securities | 2012-09-13 | 2017-06-30 | RO | Advising on securities | 2017-06-30 | 2018-09-21 | RO | Dealing in securities | 2017-06-30 | 2018-09-21 |
| 4 | CITIC Securities Futures (HK) Limited | Rep | Dealing in futures contracts | 2017-06-14 | 2018-09-21 |
| 5 | Tongfang Securities Limited | RO | Advising on securities | 2018-11-29 | 2019-01-10 | RO | Dealing in securities | 2018-11-29 | 2019-01-10 | RO | Advising on securities | 2019-03-01 | 2019-11-08 | RO | Dealing in securities | 2019-03-01 | 2019-11-08 |
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