Pong, Nicholas Cheuk Pun 龐卓斌
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | CHINA SHANDONG INTERNATIONAL ASSET MANAGEMENT LIMITED | RO | Advising on securities | 2022-03-23 | 2023-11-08 | RO | Asset management | 2022-03-23 | 2023-11-08 | RO | Dealing in securities | 2022-08-01 | 2023-11-08 |
| 2 | CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED | Rep | Advising on securities | 2017-09-13 | 2017-11-10 | Rep | Dealing in securities | 2017-09-13 | 2017-11-10 | Rep | Asset management | 2017-09-13 | 2018-01-12 | RO | Advising on securities | 2017-11-10 | 2018-01-12 | RO | Dealing in securities | 2017-11-10 | 2018-01-12 |
| 3 | DaoKou Asset Management Limited | Rep | Advising on securities | 2023-11-15 | 2023-12-01 | Rep | Asset management | 2023-11-15 | 2023-12-01 | RO | Advising on securities | 2023-12-01 | 2024-12-15 | RO | Asset management | 2023-12-01 | 2024-12-15 |
| 4 | DaoKou Securities Limited | Rep | Dealing in securities | 2023-11-15 | 2023-12-01 | RO | Dealing in securities | 2023-12-01 | 2024-12-15 |
| 5 | FIRST SHANGHAI SECURITIES LIMITED | Rep | Dealing in securities | 2013-04-05 | 2015-09-30 |
| 6 | Fortune Origin Securities Limited | Rep | Advising on securities | 2025-01-17 | 2025-04-16 | Rep | Asset management | 2025-01-17 | 2025-04-16 | Rep | Dealing in securities | 2025-01-17 | 2025-04-16 | RO | Advising on securities | 2025-04-16 | RO | Asset management | 2025-04-16 | RO | Dealing in securities | 2025-04-16 |
| 7 | Target Securities International Limited | RO | Advising on securities | 2018-11-12 | 2020-12-18 | RO | Asset management | 2018-11-12 | 2020-12-18 | RO | Dealing in securities | 2019-09-20 | 2020-12-18 | RO | Advising on securities | 2021-03-01 | 2022-01-31 | RO | Asset management | 2021-03-01 | 2022-01-31 | RO | Dealing in securities | 2021-03-01 | 2022-01-31 |
| 8 | Waton Securities International Limited | Rep | Dealing in securities | 2015-10-06 | 2016-04-11 | RO | Dealing in securities | 2016-04-11 | 2017-08-31 |
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