Joanne Chiu Yan Pong
龐朝恩
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Joanne Chiu Yan Pong (龐朝恩), a licensed Responsible Officer with CE reference ALQ969. Currently licensed at 1 firm(s): Trinity Corporate Finance Limited. Active regulated activities: Type 6 - Advising on corporate finance. This person has 17.9 years of SFC licence history. Total licence records on file: 22.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Trinity Corporate Finance Limited | RO | Type 6 - Advising on corporate finance | 2016-01-04 | present |
| Trinity Financial Group Limited | RO | Type 1 - Dealing in securities | 2016-02-16 | 2019-10-17 |
| China Securities (International) Corporate Finance Company Limited 中信建投(國際)融資有限公司 |
RO | Type 1 - Dealing in securities | 2013-11-11 | 2015-01-29 |
| China Securities (International) Brokerage Company Limited 中信建投(國際)証券有限公司 |
RO | Type 1 - Dealing in securities | 2013-08-29 | 2015-01-29 |
| China Securities (International) Corporate Finance Company Limited 中信建投(國際)融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2013-08-29 | 2015-01-29 |
| China Securities (International) Brokerage Company Limited 中信建投(國際)証券有限公司 |
Rep | Type 1 - Dealing in securities | 2013-05-13 | 2013-08-29 |
| China Securities (International) Brokerage Company Limited 中信建投(國際)証券有限公司 |
Rep | Type 4 - Advising on securities | 2013-05-13 | 2015-01-29 |
| China Securities (International) Corporate Finance Company Limited 中信建投(國際)融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2013-05-13 | 2013-08-29 |
| ABCI Capital Limited 農銀國際融資有限公司 |
Rep | Type 1 - Dealing in securities | 2011-04-04 | 2011-05-14 |
| ABCI Capital Limited 農銀國際融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2011-04-04 | 2011-05-14 |
| ABCI Securities Company Limited 農銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2009-07-31 | 2011-03-24 |
| ABCI Securities Company Limited 農銀國際證券有限公司 |
Rep | Type 6 - Advising on corporate finance | 2009-07-31 | 2011-03-24 |
| China Everbright Capital Limited 中國光大融資有限公司 |
Rep | Type 1 - Dealing in securities | 2009-04-14 | 2009-07-22 |
| China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2009-04-14 | 2009-07-22 |
| China Everbright Capital Limited 中國光大融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2009-04-14 | 2009-07-22 |
| China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2009-04-14 | 2009-07-22 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 - Dealing in securities | 2006-07-26 | 2008-10-15 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 6 - Advising on corporate finance | 2006-07-26 | 2008-10-15 |
| Macquarie Corporate (Hong Kong) Limited | Rep | Type 6 - Advising on corporate finance | 2006-07-26 | 2008-10-15 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 1 - Dealing in securities | 2005-01-28 | 2006-06-23 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 4 - Advising on securities | 2005-01-28 | 2006-06-23 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2005-01-28 | 2006-06-23 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Joanne Chiu Yan Pong 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.