Personnel SFC Licences and HKMA Registrations (ID 121025)

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
BCT Financial Limited	Rep	Advising on securities	2026-01-26	-
	Rep	Dealing in securities	2026-01-26	-
PRINCIPAL INVESTMENT &AMP; RETIREMENT SERVICES LIMITED	Rep	Advising on securities	2015-06-25	2025-12-29
	Rep	Dealing in securities	2014-10-10	2025-12-29
PRINCIPAL ASSET MANAGEMENT COMPANY (ASIA) LIMITED	Rep	Advising on securities	2007-03-29	2009-12-07
PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED	Rep	Advising on securities	2007-03-29	2008-01-18

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.