Personnel Hong Kong SFC License Details (ID 76141)

Personnel Hong Kong SFC License Details (ID 76141)

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
OnePlatform Asset Management Limited	Rep	Dealing in securities	2011-02-23	2018-08-01
PRINCIPAL ASSET MANAGEMENT COMPANY (ASIA) LIMITED	Rep	Advising on securities	2008-06-11	2009-05-18
Sun Life Hong Kong Limited	Rep	Advising on securities	2007-10-25	2008-05-24
PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED	Rep	Advising on securities	2006-03-08	2007-09-29
AIA WEALTH MANAGEMENT COMPANY LIMITED	Rep	Advising on corporate finance	-	2004-06-05
	Rep	Asset management	-	2004-08-16
	Rep	Dealing in securities	-	2004-08-16
	Rep	Advising on securities	-	2006-01-23