Ka Yee Joanna Poon
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ka Yee Joanna Poon (潘嘉怡), a licensed Representative with CE reference AGL868. Currently licensed at 1 firm(s): RBC Global Asset Management (Asia) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities. This person has 14.3 years of SFC licence history. Total licence records on file: 20.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| RBC Global Asset Management (Asia) Limited 加皇環球資產管理(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2023-09-25 | present |
| RBC Global Asset Management (Asia) Limited 加皇環球資產管理(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | 2023-09-25 | present |
| Vontobel (Hong Kong) Limited 瑞萬通博(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2015-11-13 | 2023-02-28 |
| Vontobel (Hong Kong) Limited 瑞萬通博(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2015-11-13 | 2023-02-28 |
| RCM Asia Pacific Limited | Rep | Type 1 - Dealing in securities | 2011-06-10 | 2013-04-08 |
| RCM Asia Pacific Limited | Rep | Type 4 - Advising on securities | 2011-06-10 | 2013-04-08 |
| RCM Asia Pacific Limited | Rep | Type 9 - Asset management | 2011-06-10 | 2013-04-08 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2010-04-12 | 2010-09-16 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | 2010-04-12 | 2010-09-16 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
Rep | Type 9 - Asset management | 2010-04-12 | 2010-09-16 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
Rep | Type 4 - Advising on securities | 2009-07-17 | 2009-08-08 |
| Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2009-06-18 | 2009-06-27 |
| Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2009-06-18 | 2009-06-27 |
| Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 |
Rep | Type 9 - Asset management | 2009-06-18 | 2009-06-27 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 1 - Dealing in securities | 2007-04-16 | 2008-06-28 |
| 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 | 2007-04-16 | 2008-06-28 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 9 - Asset management | 2007-04-16 | 2008-06-28 |
| 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 | 2006-09-05 | 2007-04-01 |
| 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 | 2006-09-05 | 2007-04-01 |
| 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 | 2006-09-05 | 2007-04-01 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Ka Yee Joanna 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.