Personnel SFC Licences and HKMA Registrations (ID 12070776)

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	Advising on securities	2022-12-01	-
	Rep	Asset management	2022-12-01	-
PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED	Rep	Advising on securities	2021-11-24	2022-12-31
	Rep	Asset management	2021-11-24	2022-12-31
CHINA LIFE FRANKLIN ASSET MANAGEMENT CO., LIMITED	Rep	Advising on securities	2019-10-10	2021-10-29
	Rep	Asset management	2019-10-10	2021-10-29
ORIENT ASSET MANAGEMENT (HONG KONG) LIMITED	Rep	Asset management	2017-09-21	2019-10-02
ORIENT SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2017-09-21	2019-10-02
	Rep	Dealing in securities	2017-09-21	2019-10-02

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.