Personnel Hong Kong SFC License Details (ID 92647)

Personnel Hong Kong SFC License Details (ID 92647)

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
VL ASSET MANAGEMENT LIMITED	Rep	Asset management	2015-01-30	2021-01-31
PRINCIPAL GLOBAL INVESTORS (ASIA) LIMITED	RO	Advising on securities	2007-08-27	2013-06-21
	RO	Dealing in securities	2007-08-27	2013-06-21
	Rep	Advising on securities	2007-03-19	2007-08-27
	Rep	Dealing in securities	2007-03-01	2007-08-27
PRINCIPAL ASSET MANAGEMENT COMPANY (ASIA) LIMITED	RO	Advising on securities	2005-10-31	2013-06-21
	RO	Asset management	2005-10-31	2013-06-21
PRINCIPAL GLOBAL INVESTORS (ASIA) LIMITED	RO	Dealing in securities	2005-10-31	2007-03-01
	RO	Advising on securities	2005-10-31	2007-03-19
PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED	RO	Advising on securities	2005-10-31	2009-01-16
	RO	Asset management	2005-10-31	2009-01-16
PRINCIPAL GLOBAL INVESTORS (ASIA) LIMITED	Rep	Advising on securities	2005-04-15	2005-10-31
	Rep	Dealing in securities	2005-04-15	2005-10-31
BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED	RO	Advising on corporate finance	-	2005-02-18
	RO	Advising on futures contracts	-	2005-03-31
	RO	Advising on securities	-	2005-03-31
	RO	Asset management	-	2005-03-31
	RO	Dealing in securities	-	2005-03-31