Ming Pui Poon
潘明培
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ming Pui Poon (潘明培), a licensed former licensee with CE reference AAF320. Total licence records on file: 18.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2009-11-02 | 2011-04-21 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2009-11-02 | 2011-04-21 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2009-09-02 | 2009-11-02 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-08-06 | 2009-11-02 |
| China International Capital Corporation Hong Kong Asset Management Limited 中國國際金融香港資產管理有限公司 |
RO | Type 9 — Asset management | 2008-06-06 | 2009-06-20 |
| CICC US Securities, Inc. |
RO | Type 1 — Dealing in securities | 2007-08-03 | 2009-06-20 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
RO | Type 1 — Dealing in securities | 2005-11-01 | 2009-06-03 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 1 — Dealing in securities | 2005-10-05 | 2005-11-01 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2005-03-30 | 2005-09-03 |
| UBS Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2005-03-30 | 2005-09-03 |
| UBS Securities Asia Limited | RO | Type 1 — Dealing in securities | present | 2005-03-30 |
| UBS Securities Hong Kong Limited | RO | Type 1 — Dealing in securities | present | 2005-03-30 |
| UBS Securities Asia Limited | RO | Type 4 — Advising on securities | present | 2005-03-30 |
| UBS Securities Hong Kong Limited | RO | Type 4 — Advising on securities | present | 2005-02-07 |
| UBS Securities Hong Kong Limited | RO | Type 6 — Advising on corporate finance | present | 2005-02-07 |
| UBS Securities Asia Limited | RO | Type 6 — Advising on corporate finance | present | 2005-02-04 |
| UBS Securities Hong Kong Limited | RO | Type 9 — Asset management | present | 2005-02-07 |
| UBS Securities Asia Limited | RO | Type 9 — Asset management | present | 2005-02-04 |