Personnel Hong Kong SFC License Details (ID 88274)

Personnel Hong Kong SFC License Details (ID 88274)

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
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Advising on securities	2014-03-17	2014-06-14
	Rep	Dealing in securities	2014-03-17	2014-06-14
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2014-03-17	2014-06-14
PRINCIPAL GLOBAL INVESTORS (ASIA) LIMITED	RO	Advising on securities	2013-06-13	2014-02-28
	RO	Dealing in securities	2013-06-13	2014-02-28
PRINCIPAL INVESTMENT &AMP; RETIREMENT SERVICES LIMITED	RO	Advising on securities	2012-08-14	2014-02-28
	RO	Dealing in securities	2012-08-14	2014-02-28
MIDLAND WEALTH MANAGEMENT LIMITED	RO	Advising on securities	2010-04-23	2012-07-06
	RO	Dealing in securities	2010-04-23	2012-07-06
	Rep	Dealing in securities	2010-01-27	2010-04-23
	Rep	Advising on securities	2009-05-22	2010-04-23
CENTALINE WEALTH MANAGEMENT LIMITED	RO	Advising on securities	2007-08-09	2009-05-08
	RO	Asset management	2007-08-09	2009-05-08
	Rep	Advising on securities	2004-08-18	2007-08-09
iBest Consultants Limited	Rep	Advising on corporate finance	-	2004-04-21
	Rep	Advising on securities	-	2004-04-21
	Rep	Asset management	-	2004-04-21