Ka Yee Joanna Poon
潘嘉怡
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ka Yee Joanna Poon (潘嘉怡), a licensed Representative with CE reference AGL868. Currently licensed at 1 firm(s): RBC Global Asset Management (Asia) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 20.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| RBC Global Asset Management (Asia) Limited 加皇環球資產管理(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2023-09-25 | present |
| RBC Global Asset Management (Asia) Limited 加皇環球資產管理(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2023-09-25 | present |
| Vontobel (Hong Kong) Limited 瑞萬通博(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2015-11-13 | 2023-02-28 |
| Vontobel (Hong Kong) Limited 瑞萬通博(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2015-11-13 | 2023-02-28 |
| RCM Asia Pacific Limited | Rep | Type 1 — Dealing in securities | 2011-06-10 | 2013-04-08 |
| RCM Asia Pacific Limited | Rep | Type 4 — Advising on securities | 2011-06-10 | 2013-04-08 |
| RCM Asia Pacific Limited | Rep | Type 9 — Asset management | 2011-06-10 | 2013-04-08 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-04-12 | 2010-09-16 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2010-04-12 | 2010-09-16 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
Rep | Type 9 — Asset management | 2010-04-12 | 2010-09-16 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
Rep | Type 4 — Advising on securities | 2009-07-17 | 2009-08-08 |
| Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-06-18 | 2009-06-27 |
| Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2009-06-18 | 2009-06-27 |
| Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2009-06-18 | 2009-06-27 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 1 — Dealing in securities | 2007-04-16 | 2008-06-28 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 4 — Advising on securities | 2007-04-16 | 2008-06-28 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 9 — Asset management | 2007-04-16 | 2008-06-28 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 1 — Dealing in securities | 2006-09-05 | 2007-04-01 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 4 — Advising on securities | 2006-09-05 | 2007-04-01 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 9 — Asset management | 2006-09-05 | 2007-04-01 |