Siu Yan Poon
潘小茵
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Siu Yan Poon (潘小茵), a licensed Responsible Officer with CE reference AZW079. Currently licensed at 2 firm(s): China Galaxy International Securities (Hong Kong) Co., Limited, China Galaxy International Futures (Hong Kong) Co., Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts; Type 4 — Advising on securities. Total licence records on file: 14.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Advising on securities →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2020-02-11 | present |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2020-02-11 | present |
| China Galaxy International Futures (Hong Kong) Co., Limited 中國銀河國際期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2019-12-23 | present |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2019-11-21 | 2020-02-11 |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2019-11-21 | 2020-02-11 |
| Tongfang Securities Limited 同方證券有限公司 |
RO | Type 1 — Dealing in securities | 2019-03-01 | 2019-11-08 |
| Tongfang Securities Limited 同方證券有限公司 |
RO | Type 4 — Advising on securities | 2019-03-01 | 2019-11-08 |
| Tongfang Securities Limited 同方證券有限公司 |
RO | Type 1 — Dealing in securities | 2018-11-29 | 2019-01-10 |
| Tongfang Securities Limited 同方證券有限公司 |
RO | Type 4 — Advising on securities | 2018-11-29 | 2019-01-10 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2017-06-30 | 2018-09-21 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
RO | Type 4 — Advising on securities | 2017-06-30 | 2018-09-21 |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2017-06-14 | 2018-09-21 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2012-09-13 | 2017-06-30 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2012-07-10 | 2017-06-30 |