Joanne Chiu Yan Pong
龐朝恩
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Joanne Chiu Yan Pong (龐朝恩), a licensed Responsible Officer with CE reference ALQ969. Currently licensed at 1 firm(s): Trinity Corporate Finance Limited. Active regulated activities: Type 6 — Advising on corporate finance. Total licence records on file: 22.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Trinity Corporate Finance Limited |
RO | Type 6 — Advising on corporate finance | 2016-01-04 | present |
| Trinity Financial Group Limited |
RO | Type 1 — Dealing in securities | 2016-02-16 | 2019-10-17 |
| China Securities (International) Corporate Finance Company Limited 中信建投(國際)融資有限公司 |
RO | Type 1 — Dealing in securities | 2013-11-11 | 2015-01-29 |
| China Securities (International) Brokerage Company Limited 中信建投(國際)証券有限公司 |
RO | Type 1 — Dealing in securities | 2013-08-29 | 2015-01-29 |
| China Securities (International) Corporate Finance Company Limited 中信建投(國際)融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2013-08-29 | 2015-01-29 |
| China Securities (International) Brokerage Company Limited 中信建投(國際)証券有限公司 |
Rep | Type 1 — Dealing in securities | 2013-05-13 | 2013-08-29 |
| China Securities (International) Brokerage Company Limited 中信建投(國際)証券有限公司 |
Rep | Type 4 — Advising on securities | 2013-05-13 | 2015-01-29 |
| China Securities (International) Corporate Finance Company Limited 中信建投(國際)融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2013-05-13 | 2013-08-29 |
| ABCI Capital Limited 農銀國際融資有限公司 |
Rep | Type 1 — Dealing in securities | 2011-04-04 | 2011-05-14 |
| ABCI Capital Limited 農銀國際融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2011-04-04 | 2011-05-14 |
| ABCI Securities Company Limited 農銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2009-07-31 | 2011-03-24 |
| ABCI Securities Company Limited 農銀國際證券有限公司 |
Rep | Type 6 — Advising on corporate finance | 2009-07-31 | 2011-03-24 |
| China Everbright Capital Limited 中國光大融資有限公司 |
Rep | Type 1 — Dealing in securities | 2009-04-14 | 2009-07-22 |
| China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-04-14 | 2009-07-22 |
| China Everbright Capital Limited 中國光大融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2009-04-14 | 2009-07-22 |
| China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2009-04-14 | 2009-07-22 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 — Dealing in securities | 2006-07-26 | 2008-10-15 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 6 — Advising on corporate finance | 2006-07-26 | 2008-10-15 |
| Macquarie Corporate (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | 2006-07-26 | 2008-10-15 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 1 — Dealing in securities | 2005-01-28 | 2006-06-23 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 4 — Advising on securities | 2005-01-28 | 2006-06-23 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2005-01-28 | 2006-06-23 |