Pat Ming Bor Poon
潘銘波
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Pat Ming Bor Poon (潘銘波), a licensed former licensee with CE reference AAC611. Total licence records on file: 21.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BOCOM International Securities Limited 交銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2008-11-07 | 2013-08-30 |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-11-07 | 2010-11-30 |
| CSC Financial Services Limited 群益金融服務有限公司 |
Rep | Type 1 — Dealing in securities | 2008-08-19 | 2008-10-31 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-08-19 | 2008-10-31 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2008-08-19 | 2008-10-31 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2007-06-01 | 2008-08-19 |
| CSC Futures (HK) Limited 群益期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-12-09 | 2008-10-31 |
| CSC Futures (HK) Limited 群益期貨(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2004-06-08 | 2004-12-09 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2004-06-08 | 2004-12-09 |
| CSC Futures (HK) Limited 群益期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2004-06-08 |
| CSC Futures (HK) Limited 群益期貨(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2003-12-29 |
| CSC Futures (HK) Limited 群益期貨(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2003-12-29 |
| CSC Financial Services Limited 群益金融服務有限公司 |
RO | Type 1 — Dealing in securities | present | 2008-08-19 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | present | 2008-08-19 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
RO | Type 4 — Advising on securities | present | 2003-12-29 |
| CSC Financial Services Limited 群益金融服務有限公司 |
RO | Type 4 — Advising on securities | present | 2003-12-29 |
| CSC Financial Services Limited 群益金融服務有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2003-12-29 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2003-12-29 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
RO | Type 7 — Providing automated trading services | present | 2003-11-07 |
| CSC Financial Services Limited 群益金融服務有限公司 |
RO | Type 9 — Asset management | present | 2003-12-29 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
RO | Type 9 — Asset management | present | 2003-12-29 |