Personnel Hong Kong SFC License Details (ID 22068845)

Personnel Hong Kong SFC License Details (ID 22068845)

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
Apollo Management Asia Pacific Limited	Rep	Advising on securities	2024-08-16	2026-03-16
	Rep	Dealing in securities	2024-08-16	2026-03-16
PRINCIPAL ASSET MANAGEMENT COMPANY (ASIA) LIMITED	Rep	Advising on securities	2022-12-01	2024-08-05
PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED	Rep	Advising on securities	2022-01-20	2022-12-31
PRINCIPAL INVESTMENT &AMP; RETIREMENT SERVICES LIMITED	Rep	Dealing in securities	2022-01-20	2024-08-05
Conning Asia Pacific Limited	Rep	Asset management	2021-09-01	2022-01-07
	Rep	Advising on securities	2018-08-17	2022-01-07
	Rep	Dealing in securities	2018-08-17	2022-01-07