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DHIR Poonam

CE AVH305Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

DHIR Poonam (CE number AVH305) is an individual licensed by the Hong Kong SFC. First licensed on 2010-06-14. Their SFC licence is currently active. Accredited for regulated activities Type 4 (Advising on securities), Type 5 (Advising on futures), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (3)

RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerGoing International Asset Management Limited
高盈國際資產管理有限公司

Licence Record (4)

2020-09-03 – present Current
Going International Asset Management Limited RO
RA 9
2020-08-03 – 2020-09-03
Going International Asset Management Limited Rep
RA 9
2016-07-29 – 2020-07-01
Ballingal Investment Advisors Limited RO
RA 4 RA 5 RA 9
2010-06-14 – 2017-06-27
Ballingal Investment Advisors Limited Rep
RA 4 RA 5 RA 9

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/AVH305