Personnel Hong Kong SFC License Details (ID 118182)

Personnel Hong Kong SFC License Details (ID 118182)

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
PRINCIPAL ASSET MANAGEMENT COMPANY (ASIA) LIMITED	Rep	Dealing in securities	2024-10-31	-
	Rep	Advising on securities	2022-07-19	-
PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED	Rep	Advising on securities	2022-07-19	2022-12-31
PRINCIPAL INVESTMENT &AMP; RETIREMENT SERVICES LIMITED	Rep	Dealing in securities	2022-07-19	-
WINTON CAPITAL ASIA LIMITED	Rep	Asset management	2012-12-03	2014-04-17
FIL Investment Management (Hong Kong) Limited	Rep	Advising on securities	2010-06-07	2011-08-06
	Rep	Asset management	2010-06-07	2011-08-06
	Rep	Dealing in securities	2010-06-07	2011-08-06
AN QIAO INVESTMENT (HONG KONG) LIMITED	Rep	Advising on securities	2006-06-01	2007-01-03