Siu Ming Poon
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Siu Ming Poon (潘紹銘), a licensed Responsible Officer with CE reference AXZ690. Currently licensed at 1 firm(s): Lumen Innovation Asset Management Limited. Active regulated activities: Type 4 - Advising on securities; Type 9 - Asset management. This person has 4.7 years of SFC licence history. Total licence records on file: 13.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Lumen Innovation Asset Management Limited | RO | Type 4 - Advising on securities | 2026-01-26 | present |
| Lumen Innovation Asset Management Limited | RO | Type 9 - Asset management | 2026-01-26 | present |
| Lumen Innovation Asset Management Limited | Rep | Type 4 - Advising on securities | 2025-11-21 | 2026-01-26 |
| Lumen Innovation Asset Management Limited | Rep | Type 9 - Asset management | 2025-11-21 | 2026-01-26 |
| Yee Tai Asset Management Limited | RO | Type 4 - Advising on securities | 2023-04-17 | 2025-07-18 |
| Yee Tai Asset Management Limited | RO | Type 9 - Asset management | 2023-04-17 | 2025-07-18 |
| Yee Tai Asset Management Limited | Rep | Type 4 - Advising on securities | 2023-03-14 | 2023-04-17 |
| Yee Tai Asset Management Limited | Rep | Type 9 - Asset management | 2023-03-14 | 2023-04-17 |
| China United Merchants Asset Management Company Limited 新華國通資產管理有限公司 |
RO | Type 1 - Dealing in securities | 2022-07-04 | 2023-03-14 |
| China United Merchants Asset Management Company Limited 新華國通資產管理有限公司 |
RO | Type 4 - Advising on securities | 2022-07-04 | 2023-03-14 |
| China United Merchants Asset Management Company Limited 新華國通資產管理有限公司 |
RO | Type 9 - Asset management | 2022-07-04 | 2023-03-14 |
| Glory Sun Securities Limited 寶新證券有限公司 |
Rep | Type 1 - Dealing in securities | 2012-09-10 | 2013-03-13 |
| Cheong Lee Securities Limited 昌利證券有限公司 |
Rep | Type 1 - Dealing in securities | 2012-02-14 | 2012-08-17 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Siu Ming 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.