Personnel Hong Kong SFC License Details (ID 70624)

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
M&G Investments (Hong Kong) Limited	RO	Asset management	2025-10-16	-
	RO	Advising on securities	2024-08-08	-
	RO	Dealing in securities	2024-08-08	-
	Rep	Advising on securities	2024-06-11	2024-08-08
	Rep	Dealing in securities	2024-06-11	2024-08-08
PRINCIPAL ASSET MANAGEMENT COMPANY (ASIA) LIMITED	RO	Advising on securities	2023-01-27	2024-05-04
	Rep	Advising on securities	2022-12-16	2023-01-27
	Rep	Asset management	2022-12-16	2024-05-04
PRINCIPAL INVESTMENT &AMP; RETIREMENT SERVICES LIMITED	Rep	Dealing in securities	2020-12-28	2024-05-04
PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED	RO	Advising on securities	2020-11-20	2022-12-31
	Rep	Advising on securities	2020-09-22	2020-11-20
	Rep	Asset management	2020-09-22	2022-12-31
METLIFE INVESTMENTS ASIA LIMITED	RO	Advising on securities	2019-07-16	2020-06-05
	RO	Dealing in securities	2019-07-16	2020-06-05
	Rep	Advising on securities	2018-04-16	2019-07-16
	Rep	Dealing in securities	2018-04-16	2019-07-16
	Rep	Asset management	2018-04-16	2020-06-05
BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED	RO	Advising on securities	2017-08-01	2018-02-14
	RO	Dealing in securities	2017-08-01	2018-02-14
BNP PARIBAS DEALING SERVICES ASIA LIMITED	Rep	Advising on securities	2010-04-20	2010-07-02
	Rep	Asset management	2010-04-20	2010-07-02
	Rep	Dealing in securities	2010-04-20	2010-11-08
BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED	Rep	Advising on securities	2007-10-25	2017-08-01
	Rep	Dealing in securities	2007-10-25	2017-08-01
	Rep	Asset management	2007-10-25	2018-02-14
HSBC Global Asset Management (Hong Kong) Limited	Rep	Asset management	2007-09-21	2007-10-03
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Asset management	2007-09-21	2007-10-03
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on securities	2007-08-16	2007-10-03
	Rep	Dealing in securities	2007-08-16	2007-10-03
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Advising on securities	2007-08-16	2007-10-03
	Rep	Dealing in securities	2007-08-16	2007-10-03
Janus Henderson Investors Hong Kong Limited	Rep	Advising on securities	2007-01-11	2007-05-12
	Rep	Dealing in securities	2007-01-11	2007-05-12