Personnel Hong Kong SFC License Details (ID 92667)

Personnel Hong Kong SFC License Details (ID 92667)

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
PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED	Rep	Advising on securities	2009-08-31	2012-06-19
	Rep	Asset management	2009-08-31	2012-06-19
PRINCIPAL ASSET MANAGEMENT COMPANY (ASIA) LIMITED	Rep	Asset management	2007-07-10	2009-08-31
PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED	Rep	Asset management	2007-07-10	2008-01-18
PRINCIPAL ASSET MANAGEMENT COMPANY (ASIA) LIMITED	Rep	Advising on securities	2007-06-11	2009-08-31
PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED	Rep	Advising on securities	2007-06-11	2008-01-18
HAITONG INTERNATIONAL RESEARCH LIMITED	Rep	Advising on securities	2006-12-07	2007-06-04
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Advising on securities	2006-08-08	2006-12-04
CSC FUTURES (HK) LIMITED	Rep	Dealing in futures contracts	2004-06-28	2006-07-24
CSC SECURITIES (HK) LIMITED	Rep	Dealing in securities	2004-06-28	2006-07-24