Tsz Yuen Poon
潘子遠
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tsz Yuen Poon (潘子遠), a licensed former licensee with CE reference AUM378. This person has 13.8 years of SFC licence history. Total licence records on file: 14.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | RO | Type 1 - Dealing in securities | 2021-11-11 | 2024-01-23 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 4 - Advising on securities | 2021-11-11 | 2024-01-23 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 6 - Advising on corporate finance | 2021-11-11 | 2024-01-23 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2021-08-06 | 2024-01-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2021-08-06 | 2021-11-11 |
| Merrill Lynch Far East Limited | Rep | Type 4 - Advising on securities | 2021-08-06 | 2024-01-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2021-08-06 | 2021-11-11 |
| Merrill Lynch Far East Limited | Rep | Type 6 - Advising on corporate finance | 2021-07-09 | 2024-01-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | 2021-07-09 | 2021-11-11 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
RO | Type 6 - Advising on corporate finance | 2020-04-24 | 2021-07-01 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2015-08-28 | 2020-04-24 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2013-05-24 | 2015-07-08 |
| ICBC International Capital Limited 工銀國際融資有限公司 |
Rep | Type 1 - Dealing in securities | 2010-01-12 | 2013-04-12 |
| ICBC International Capital Limited 工銀國際融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2010-01-12 | 2013-04-12 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Tsz Yuen 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.