Personnel Hong Kong SFC License Details (ID 92665)

Personnel Hong Kong SFC License Details (ID 92665)

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
RS Investments (Hong Kong) Limited	RO	Asset management	2013-11-28	2020-04-27
PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED	RO	Advising on securities	2010-11-02	2012-11-06
	RO	Asset management	2010-11-02	2012-11-06
PRINCIPAL ASSET MANAGEMENT COMPANY (ASIA) LIMITED	Rep	Advising on securities	2008-12-02	2010-09-17
	Rep	Asset management	2008-12-02	2010-09-17
PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED	Rep	Advising on securities	2008-10-16	2010-11-02
	Rep	Asset management	2008-10-16	2010-11-02
PRINCIPAL ASSET MANAGEMENT COMPANY (ASIA) LIMITED	Rep	Advising on securities	2007-07-23	2008-10-02
PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED	Rep	Advising on securities	2007-07-23	2008-01-18
PRINCIPAL ASSET MANAGEMENT COMPANY (ASIA) LIMITED	Rep	Asset management	2007-06-22	2008-10-02
PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED	Rep	Asset management	2007-06-22	2008-01-18
INVESCO HONG KONG LIMITED (TRADING AS INVESCO ASIA PACIFIC)	Rep	Dealing in securities	2005-03-29	2007-06-10
INVESCO ASSET MANAGEMENT ASIA LIMITED	Rep	Advising on corporate finance	-	2005-03-08
	Rep	Advising on securities	-	2005-03-08
	Rep	Asset management	-	2005-03-08
	Rep	Dealing in securities	-	2007-06-10
INVESCO HONG KONG LIMITED (TRADING AS INVESCO ASIA PACIFIC)	Rep	Advising on corporate finance	-	2005-03-01
	Rep	Advising on securities	-	2005-03-08
	Rep	Asset management	-	2007-06-10