Chi Wai Poon
潘智威
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chi Wai Poon (潘智威), a licensed Responsible Officer with CE reference AJC313. Currently licensed at 1 firm(s): SR Wealth Securities Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 4 - Advising on securities; Type 9 - Asset management. Total licence records on file: 25.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SR Wealth Securities Limited 中富證券有限公司 |
RO | Type 1 - Dealing in securities | 2024-05-20 | present |
| SR Wealth Securities Limited 中富證券有限公司 |
RO | Type 2 - Dealing in futures contracts | 2024-05-20 | present |
| SR Wealth Securities Limited 中富證券有限公司 |
RO | Type 4 - Advising on securities | 2024-05-20 | present |
| SR Wealth Securities Limited 中富證券有限公司 |
RO | Type 9 - Asset management | 2024-05-20 | present |
| SR Wealth Securities Limited 中富證券有限公司 |
Rep | Type 1 - Dealing in securities | 2024-03-13 | 2024-05-20 |
| SR Wealth Securities Limited 中富證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2024-03-13 | 2024-05-20 |
| SR Wealth Securities Limited 中富證券有限公司 |
Rep | Type 4 - Advising on securities | 2024-03-13 | 2024-05-20 |
| SR Wealth Securities Limited 中富證券有限公司 |
Rep | Type 9 - Asset management | 2024-03-13 | 2024-05-20 |
| Z Capital Global Limited |
RO | Type 4 - Advising on securities | 2020-03-19 | 2023-05-22 |
| Z Capital Global Limited |
RO | Type 9 - Asset management | 2020-03-19 | 2023-05-22 |
| Zynergy Asset Management Limited 晟智資產管理有限公司 |
RO | Type 9 - Asset management | 2017-02-06 | 2020-03-13 |
| Zynergy Asset Management Limited 晟智資產管理有限公司 |
Rep | Type 9 - Asset management | 2013-11-28 | 2017-02-06 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2012-06-22 | 2012-12-21 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2012-06-22 | 2012-12-21 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 3 - Leveraged foreign exchange trading | 2012-06-22 | 2012-12-21 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2012-03-07 | 2012-12-21 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2012-03-07 | 2012-12-21 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
Rep | Type 3 - Leveraged foreign exchange trading | 2012-03-07 | 2012-12-21 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2007-01-23 | 2012-02-21 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 3 - Leveraged foreign exchange trading | 2006-11-09 | 2012-02-21 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2006-08-30 | 2012-02-21 |
| Fuji Hong Kong Commodities Company Limited 富士香港商品有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2004-08-23 | 2006-07-31 |
| Celestial Commodities Limited 時富商品有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2003-12-05 | 2004-08-17 |
| Celestial Commodities Limited 時富商品有限公司 |
Rep | Type 7 - Providing automated trading services | 2003-12-05 | 2004-03-02 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2003-07-28 | 2003-11-26 |