David Juyoung Pong
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Juyoung Pong ( ), a licensed former licensee with CE reference APW579. Total licence records on file: 17.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2022-04-29 | 2023-11-01 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2022-04-29 | 2023-11-01 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2022-04-29 | 2023-11-01 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2021-03-29 | 2022-04-29 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2021-03-29 | 2022-04-29 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2021-03-29 | 2022-04-29 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2016-05-24 | 2021-01-26 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2016-05-24 | 2021-01-26 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2016-05-24 | 2021-01-26 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
RO | Type 1 — Dealing in securities | 2012-02-10 | 2012-02-10 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
RO | Type 6 — Advising on corporate finance | 2012-02-10 | 2012-02-10 |
| Macquarie Corporate (Hong Kong) Limited | RO | Type 6 — Advising on corporate finance | 2012-02-10 | 2012-02-10 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 — Dealing in securities | 2011-05-16 | 2012-02-10 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 6 — Advising on corporate finance | 2011-05-16 | 2012-02-10 |
| Macquarie Corporate (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | 2011-05-16 | 2012-02-10 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2007-10-25 | 2008-04-14 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2007-10-25 | 2008-04-14 |