PONG Joanne Chiu Yan

龐朝恩

CE ALQ969Licensed IndividualResponsible OfficerSFO licence active

PONG Joanne Chiu Yan (CE number ALQ969) is an individual licensed by the Hong Kong SFC. First licensed on 2005-01-28. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities

RA 4 Advising on Securities

RA 6 Advising on Corporate Finance

Roles & Accreditations (2)

Capacity	Company / Institution
Responsible Officer	Trinity Capital Asia Limited
Responsible Officer	Trinity Corporate Finance Limited

Licence Record (13)

2016-01-04 – present Current

Trinity Corporate Finance Limited RO

RA 6

2016-02-16 – 2019-10-17

Trinity Financial Group Limited RO

RA 1

2013-08-29 – 2015-01-29

China Securities (International) Brokerage Company Limited RO

RA 1

2013-08-29 – 2015-01-29

China Securities (International) Corporate Finance Company Limited RO

RA 1 RA 6

2013-05-13 – 2015-01-29

China Securities (International) Brokerage Company Limited Rep

RA 1 RA 4

2013-05-13 – 2013-08-29

China Securities (International) Corporate Finance Company Limited Rep

RA 6

2011-04-04 – 2011-05-14

ABCI Capital Limited Rep

RA 1 RA 6

2009-07-31 – 2011-03-24

ABCI Securities Company Limited Rep

RA 1 RA 6

2009-04-14 – 2009-07-22

China Everbright Capital Limited Rep

RA 1 RA 6

2009-04-14 – 2009-07-22

China Everbright Securities (HK) Limited Rep

RA 1 RA 6

2006-07-26 – 2008-10-15

Macquarie Capital Limited Rep

RA 1 RA 6

2006-07-26 – 2008-10-15

Macquarie Corporate (Hong Kong) Limited Rep

RA 6

2005-01-28 – 2006-06-23

DBS Asia Capital Limited Rep

RA 1 RA 4 RA 6

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/ALQ969