C = licensed corporation regulated by the SFC; R = registered institution regulated by the HKMA. If there is no starting date, the entity has conducted that activity since at least 1 Apr 2003, when the current register began.
C/R
Regulated Activity
From
Until
C
Advising on corporate finance
-
2005-01-12
C
Advising on securities
-
2017-06-28
C
Asset management
-
2005-01-12
C
Dealing in securities
-
2017-06-28
PRINCIPAL GLOBAL INVESTORS (ASIA) LIMITED Hong Kong SFC License Details