To Sing Poon
潘道成
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for To Sing Poon (潘道成), a licensed Responsible Officer with CE reference AAJ268. Currently licensed at 2 firm(s): Kingdom Investment Managers Limited, Kingdom Securities Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 21.5 years of SFC licence history. Total licence records on file: 42.
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Kingdom Investment Managers Limited 國權投資管理有限公司 |
RO | Type 4 - Advising on securities | 2023-01-11 | present |
| Kingdom Investment Managers Limited 國權投資管理有限公司 |
RO | Type 9 - Asset management | 2023-01-11 | present |
| Kingdom Securities Limited 國權證券有限公司 |
RO | Type 1 - Dealing in securities | 2022-11-21 | present |
| Avantua Capital Management Limited 璟裕資本管理有限公司 |
RO | Type 4 - Advising on securities | 2020-04-08 | 2022-10-31 |
| Avantua Capital Management Limited 璟裕資本管理有限公司 |
RO | Type 9 - Asset management | 2020-04-08 | 2022-10-31 |
| WealthQuay Asset Management Limited 華凱資產管理有限公司 |
RO | Type 4 - Advising on securities | 2018-11-27 | 2020-04-03 |
| WealthQuay Asset Management Limited 華凱資產管理有限公司 |
RO | Type 9 - Asset management | 2018-11-27 | 2020-04-03 |
| Rich Bay Securities Limited 富利證券有限公司 |
RO | Type 2 - Dealing in futures contracts | 2018-11-12 | 2020-04-03 |
| Rich Bay Securities Limited 富利證券有限公司 |
RO | Type 1 - Dealing in securities | 2017-08-28 | 2020-04-03 |
| Rich Bay Securities Limited 富利證券有限公司 |
Rep | Type 1 - Dealing in securities | 2017-06-28 | 2017-08-28 |
| KuCoin Commodity Futures Limited | RO | Type 2 - Dealing in futures contracts | 2016-09-26 | 2017-06-09 |
| KuCoin HK Limited | RO | Type 4 - Advising on securities | 2016-06-27 | 2017-06-09 |
| KuCoin HK Limited | RO | Type 1 - Dealing in securities | 2016-05-26 | 2017-06-09 |
| KuCoin HK Limited | Rep | Type 1 - Dealing in securities | 2016-04-07 | 2016-05-26 |
| Orient Securities (Hong Kong) Limited 東方證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2015-11-23 | 2015-12-03 |
| Changjiang Securities Brokerage (HK) Limited 長江證券經紀(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2014-08-22 | 2015-10-29 |
| Basic Asset Management Limited 基匯資產管理有限公司 |
Rep | Type 9 - Asset management | 2013-02-22 | 2014-07-31 |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2011-04-06 | 2012-07-04 |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2011-04-06 | 2012-07-04 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 1 - Dealing in securities | 2009-09-14 | 2011-04-01 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2009-09-14 | 2011-04-01 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2009-02-19 | 2009-08-29 |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2009-02-19 | 2009-08-29 |
| Winnington Capital Limited 永靈通金融有限公司 |
Rep | Type 4 - Advising on securities | 2008-01-07 | 2008-12-18 |
| Winnington Capital Limited 永靈通金融有限公司 |
Rep | Type 5 - Advising on futures contracts | 2008-01-07 | 2008-12-18 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
Rep | Type 1 - Dealing in securities | 2007-10-09 | 2007-11-20 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2007-10-09 | 2007-11-20 |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2007-09-12 | 2007-10-02 |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2007-09-12 | 2007-10-02 |
| BOCOM International Holdings Company Limited 交銀國際控股有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2006-08-28 | 2007-10-02 |
| BOCOM International Holdings Company Limited 交銀國際控股有限公司 |
Rep | Type 1 - Dealing in securities | 2006-07-10 | 2007-10-02 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2004-06-16 | 2006-06-09 |
| BOCI Commodities & Futures Limited 中銀國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2004-06-16 | 2006-01-26 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2004-04-07 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-04-07 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-04-07 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2004-04-07 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2004-04-07 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-04-07 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-04-07 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-04-07 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 9 - Asset management | Pre-2003 | 2004-04-07 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as To Sing Poon during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.