Personnel SFC Licences and HKMA Registrations (ID 92253)

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
PRINCIPAL ASSET MANAGEMENT COMPANY (ASIA) LIMITED	RO	Advising on securities	2022-07-11	-
	RO	Asset management	2022-07-11	-
PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED	RO	Advising on securities	2013-04-05	2023-10-25
	RO	Asset management	2013-04-05	2023-10-25
	Rep	Advising on securities	2013-01-14	2013-04-05
	Rep	Asset management	2013-01-14	2013-04-05
PING AN OF CHINA ASSET MANAGEMENT (HONG KONG) COMPANY LIMITED	RO	Advising on securities	2009-08-06	2012-12-07
	RO	Asset management	2009-08-06	2012-12-07
	Rep	Advising on securities	2009-06-11	2009-08-06
	Rep	Asset management	2009-06-11	2009-08-06
BLACKROCK (HONG KONG) LIMITED	Rep	Dealing in securities	2008-06-16	2009-03-17
	Rep	Advising on securities	2008-05-21	2009-03-17
	Rep	Asset management	2008-05-21	2009-03-17
PRINCIPAL ASSET MANAGEMENT COMPANY (ASIA) LIMITED	Rep	Advising on securities	2007-02-05	2008-04-26
	Rep	Asset management	2007-02-05	2008-04-26

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.