Personnel Hong Kong SFC License Details (ID 92664)

Personnel Hong Kong SFC License Details (ID 92664)

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
PGIM (Hong Kong) Limited	RO	Advising on securities	2024-09-01	2025-09-30
	RO	Dealing in securities	2024-09-01	2025-09-30
	RO	Advising on securities	2020-08-27	2024-08-31
	RO	Dealing in securities	2020-08-27	2024-08-31
	Rep	Advising on securities	2020-03-16	2020-08-27
	Rep	Dealing in securities	2020-03-16	2020-08-27
PRINCIPAL GLOBAL INVESTORS (ASIA) LIMITED	Rep	Advising on securities	2014-08-21	2015-12-21
	Rep	Dealing in securities	2014-08-21	2015-12-21
PRINCIPAL INVESTMENT &AMP; RETIREMENT SERVICES LIMITED	Rep	Advising on securities	2014-08-21	2019-11-29
	Rep	Dealing in securities	2014-08-21	2019-11-29
PRINCIPAL ASSET MANAGEMENT COMPANY (ASIA) LIMITED	RO	Advising on securities	2013-06-11	2014-06-01
PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED	RO	Advising on securities	2009-01-06	2019-11-29
	RO	Asset management	2009-01-06	2019-11-29
PRINCIPAL GLOBAL INVESTORS (ASIA) LIMITED	Rep	Advising on securities	2007-06-22	2009-02-02
	Rep	Dealing in securities	2007-06-22	2009-02-02