Personnel Hong Kong SFC License Details (ID 99729)

Personnel Hong Kong SFC License Details (ID 99729)

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 ASSET MANAGEMENT COMPANY (ASIA) LIMITED	RO	Advising on securities	2014-05-16	2017-05-01
PRINCIPAL GLOBAL INVESTORS (ASIA) LIMITED	RO	Advising on securities	2013-06-13	2017-05-01
	RO	Dealing in securities	2013-06-13	2017-05-01
PRINCIPAL INVESTMENT &AMP; RETIREMENT SERVICES LIMITED	RO	Advising on securities	2011-08-17	2017-05-01
	RO	Dealing in securities	2011-08-17	2017-05-01
MIDLAND WEALTH MANAGEMENT LIMITED	RO	Advising on securities	2008-02-18	2010-06-01
	RO	Dealing in securities	2008-02-18	2010-06-01
PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED	Rep	Advising on securities	2005-04-22	2005-12-01