Charlotte Ying Heung Poon
潘凝香
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Charlotte Ying Heung Poon (潘凝香), a licensed former licensee with CE reference AVS728. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2021-12-21 | 2024-06-03 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2021-12-21 | 2024-06-03 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2021-12-21 | 2024-06-03 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2015-04-23 | 2017-07-22 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2015-04-23 | 2017-07-22 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2015-04-23 | 2017-07-22 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-08-08 | 2016-01-01 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2011-08-08 | 2016-01-01 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2011-08-08 | 2016-01-01 |
| Piper Jaffray Asia Limited 派杰亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-08-20 | 2011-07-28 |