Personnel Hong Kong SFC License Details (ID 69276)

Personnel Hong Kong SFC License Details (ID 69276)

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
AXA CHINA REGION INVESTMENT SERVICES LIMITED	Rep	Advising on securities	2007-08-28	2012-04-23
	Rep	Dealing in securities	2007-08-28	2019-05-31
HENDERSON GLOBAL INVESTORS (HONG KONG) LIMITED	Rep	Advising on securities	2005-11-17	2006-07-21
	Rep	Dealing in securities	2005-11-17	2006-07-21
PRINCIPAL GLOBAL INVESTORS (ASIA) LIMITED	Rep	Advising on corporate finance	-	2004-12-08
	Rep	Asset management	-	2004-12-08
	Rep	Advising on securities	-	2005-11-12
	Rep	Dealing in securities	-	2005-11-12