Hong Kong SFC licence institution AAB864, Principal Global Investors (Hong Kong) Limited 信安環球投資(香港)有限公司

These are the licence-holders that were found for SFC licence institution AAB864 on the SFC website.

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Key for Role: RE = Respresentative, RO = Responsible Officer

SFC code English name Chinese name Role Activity Start date End date
AAB901 FONG CHIA Kim Luan 方謝金鸞 RO Dealing in Securities 2003-04-01 2004-01-31
AAB901 FONG CHIA Kim Luan 方謝金鸞 RO Advising on Securities 2003-04-01 2004-01-31
AAB901 FONG CHIA Kim Luan 方謝金鸞 RO Advising on Corporate Finance 2003-04-01 2004-01-31
AAB901 FONG CHIA Kim Luan 方謝金鸞 RO Asset Management 2003-04-01 2004-01-31
AAC044 CHAN Wing Yau, George 陳永祐 RO Dealing in Securities 2003-04-01 2004-10-18
AAC044 CHAN Wing Yau, George 陳永祐 RO Advising on Securities 2003-04-01 2005-01-13
AAC044 CHAN Wing Yau, George 陳永祐 RO Advising on Futures Contracts 2003-04-01 2004-10-18
AAC044 CHAN Wing Yau, George 陳永祐 RO Advising on Corporate Finance 2003-04-01 2004-10-18
AAC044 CHAN Wing Yau, George 陳永祐 RO Asset Management 2003-04-01 2005-01-13
AAC907 TAN Lim Heng 陳林興 RO Dealing in Securities 2003-04-01 2004-03-27
AAC907 TAN Lim Heng 陳林興 RO Advising on Securities 2003-04-01 2004-03-27
AAC907 TAN Lim Heng 陳林興 RO Advising on Futures Contracts 2003-04-01 2004-03-27
AAC907 TAN Lim Heng 陳林興 RO Advising on Corporate Finance 2003-04-01 2004-03-27
AAC907 TAN Lim Heng 陳林興 RO Asset Management 2003-04-01 2004-03-27
ABA343 REYES Ethylyn G. RE Advising on Securities 2003-04-01 2004-04-01
ABA343 REYES Ethylyn G. RE Advising on Corporate Finance 2003-04-01 2004-04-01
ABA343 REYES Ethylyn G. RE Asset Management 2003-04-01 2004-04-01
ABS834 CHU Sau Kuen, Fanny 朱秀娟 RE Advising on Securities 2005-07-25 2008-01-18
ABU618 WONG Tak Cheong 黃德昌 RE Advising on Securities 2003-04-01 2004-03-12
ABU618 WONG Tak Cheong 黃德昌 RE Advising on Corporate Finance 2003-04-01 2004-03-12
ABU618 WONG Tak Cheong 黃德昌 RE Asset Management 2003-04-01 2004-03-12
ACA542 MAK Hau Sum 麥巧心 RE Advising on Securities 2004-04-15 2008-01-18
ACA542 MAK Hau Sum 麥巧心 RE Asset Management 2004-04-15 2008-01-18
ACC589 SINN Pak Ming, Ringo 冼百明 RO Advising on Securities 2005-10-31 2009-01-16
ACC589 SINN Pak Ming, Ringo 冼百明 RO Asset Management 2005-10-31 2009-01-16
ACJ598 CHEUNG Siu Man, Joann 張小敏 RE Advising on Securities 2006-05-30 2007-07-18
ACM359 LUK Wing Sze, Linda 陸穎詩 RE Advising on Securities 2003-04-01 2003-11-25
ACM359 LUK Wing Sze, Linda 陸穎詩 RE Advising on Corporate Finance 2003-04-01 2003-11-18
ACM359 LUK Wing Sze, Linda 陸穎詩 RE Asset Management 2003-04-01 2003-11-18
ACM361 LEE Ka Wai 李家偉 RE Dealing in Securities 2003-11-25 2004-05-06
ACM361 LEE Ka Wai 李家偉 RE Advising on Securities 2003-04-01 2004-05-06
ACM361 LEE Ka Wai 李家偉 RE Advising on Corporate Finance 2003-04-01 2003-11-18
ACM361 LEE Ka Wai 李家偉 RE Asset Management 2003-04-01 2003-11-18
ACR693 HUNG Hing On 孔慶安 RO Dealing in Securities 2004-04-15 2004-10-18
ACR693 HUNG Hing On 孔慶安 RO Advising on Securities 2004-04-15 2005-12-22
ACR693 HUNG Hing On 孔慶安 RO Asset Management 2004-04-15 2005-12-22
ACS669 WOO John Kwok Kwong 胡國光 RE Asset Management 2006-07-31 2007-09-01
ACV707 KAM Man Yin 甘敏賢 RE Advising on Securities 2003-04-01 2004-02-27
ACV707 KAM Man Yin 甘敏賢 RE Advising on Corporate Finance 2003-04-01 2004-02-27
ACV707 KAM Man Yin 甘敏賢 RE Asset Management 2003-04-01 2004-02-27
ADJ630 FUNG Che Yin, Jane 馮芷賢 RE Advising on Securities 2013-10-21 2014-12-31
ADQ913 FUNG Wing Tsan 馮永贃 RE Advising on Securities 2004-04-15 2007-01-29
ADQ913 FUNG Wing Tsan 馮永贃 RE Asset Management 2004-04-15 2007-01-29
ADR784 YUNG Yuen Ting, Wendy 翁婉婷 RE Advising on Securities 2003-04-01 2003-10-25
ADR784 YUNG Yuen Ting, Wendy 翁婉婷 RE Advising on Corporate Finance 2003-04-01 2003-10-25
ADR784 YUNG Yuen Ting, Wendy 翁婉婷 RE Asset Management 2003-04-01 2003-10-25
ADW712 CHOW Yan Yan 周茵茵 RE Advising on Securities 2003-04-01 2003-04-17
ADW712 CHOW Yan Yan 周茵茵 RE Advising on Corporate Finance 2003-04-01 2003-04-17
ADW712 CHOW Yan Yan 周茵茵 RE Asset Management 2003-04-01 2003-04-17
ADZ884 WAN Yu Ming, David 尹宇明 RE Advising on Securities 2003-04-01 2003-07-15
ADZ884 WAN Yu Ming, David 尹宇明 RE Advising on Corporate Finance 2003-04-01 2003-07-15
ADZ884 WAN Yu Ming, David 尹宇明 RE Asset Management 2003-04-01 2003-07-15
AEM704 WONG Yuk Fong, Noel 黃玉芳 RE Advising on Securities 2003-04-01 2005-06-02
AEM704 WONG Yuk Fong, Noel 黃玉芳 RE Advising on Corporate Finance 2003-04-01 2004-10-18
AEM704 WONG Yuk Fong, Noel 黃玉芳 RE Asset Management 2003-04-01 2005-06-02
AFD506 HO Wai Yee, Winnie 何慧兒 RE Advising on Securities 2015-06-17 2018-08-15
AFD507 KE Wing Shuen 柯泳璇 RE Advising on Securities 2018-07-06
AFL296 CHUNG Kin Keung 鍾建強 RE Advising on Securities 2006-03-08 2007-09-29
AFL304 HO Chi Hang, Andy 何自衡 RE Advising on Securities 2007-07-05 2008-01-18
AFO671 WOO Pak On, Johnny 胡柏安 RE Advising on Securities 2003-04-01 2004-07-12
AFO671 WOO Pak On, Johnny 胡柏安 RE Advising on Corporate Finance 2003-04-01 2004-07-12
AFO671 WOO Pak On, Johnny 胡柏安 RE Asset Management 2003-04-01 2004-07-12
AFO917 LEUNG Man Ho, Raymond 梁文豪 RE Advising on Securities 2003-04-01 2004-07-12
AFO917 LEUNG Man Ho, Raymond 梁文豪 RE Advising on Corporate Finance 2003-04-01 2004-07-12
AFO917 LEUNG Man Ho, Raymond 梁文豪 RE Asset Management 2003-04-01 2004-07-12
AFR390 WONG Kwok Chun 黃國俊 RE Advising on Securities 2003-04-01 2004-01-02
AFR390 WONG Kwok Chun 黃國俊 RE Advising on Corporate Finance 2003-04-01 2004-01-02
AFR390 WONG Kwok Chun 黃國俊 RE Asset Management 2003-04-01 2004-01-02
AFR829 CHEUNG Ka Man 張嘉敏 RE Advising on Securities 2003-04-01 2004-08-06
AFR829 CHEUNG Ka Man 張嘉敏 RE Advising on Corporate Finance 2003-04-01 2004-04-30
AFR829 CHEUNG Ka Man 張嘉敏 RE Asset Management 2003-04-01 2004-04-30
AFW549 SZE Woon Sang 史煥生 RE Advising on Securities 2013-12-03 2015-04-15
AFX845 KWOK Ka Pik, Karen 郭嘉碧 RE Advising on Securities 2003-04-01 2005-06-07
AFX845 KWOK Ka Pik, Karen 郭嘉碧 RE Advising on Corporate Finance 2003-04-01 2004-10-18
AFX845 KWOK Ka Pik, Karen 郭嘉碧 RE Asset Management 2003-04-01 2005-06-07
AFX847 CHAN Wai Ho 陳偉濠 RE Advising on Securities 2003-04-01 2003-11-01
AFX847 CHAN Wai Ho 陳偉濠 RE Advising on Corporate Finance 2003-04-01 2003-11-01
AFX847 CHAN Wai Ho 陳偉濠 RE Asset Management 2003-04-01 2003-11-01
AGC129 WONG Pui Kei 王珮琪 RE Advising on Securities 2006-04-20 2008-01-18
AGC358 LI Yu Fun, Grace 李如歡 RE Advising on Securities 2007-10-09 2008-01-18
AGE409 CHAN Pik Yan 陳碧忻 RE Advising on Securities 2003-04-01 2003-05-10
AGE409 CHAN Pik Yan 陳碧忻 RE Advising on Corporate Finance 2003-04-01 2003-05-10
AGE409 CHAN Pik Yan 陳碧忻 RE Asset Management 2003-04-01 2003-05-10
AGG767 CHENG Ka Fu, Ricky 鄭家富 RE Advising on Securities 2003-04-01 2003-04-23
AGG767 CHENG Ka Fu, Ricky 鄭家富 RE Advising on Corporate Finance 2003-04-01 2003-04-23
AGG767 CHENG Ka Fu, Ricky 鄭家富 RE Asset Management 2003-04-01 2003-04-23
AGK199 CHAN Po Shan 陳寶珊 RE Dealing in Securities 2003-11-26 2004-03-22
AGP663 LAM Lam, Linda 林霖 RE Advising on Securities 2009-09-29 2013-09-13
AGR427 LO Wan Wai, Isaac 盧運威 RE Advising on Securities 2003-04-01 2004-04-01
AGR427 LO Wan Wai, Isaac 盧運威 RE Advising on Corporate Finance 2003-04-01 2004-04-01
AGR427 LO Wan Wai, Isaac 盧運威 RE Asset Management 2003-04-01 2004-04-01
AIB242 JAROS Thomas Antonio RO Advising on Securities 2004-11-05 2005-12-31
AIB242 JAROS Thomas Antonio RO Asset Management 2004-11-05 2005-12-31
AIH190 SUNG Wai Kit 宋韋傑 RE Advising on Securities 2003-04-01 2003-05-03
AIH190 SUNG Wai Kit 宋韋傑 RE Advising on Securities 2007-10-09 2008-01-18
AIH190 SUNG Wai Kit 宋韋傑 RE Advising on Corporate Finance 2003-04-01 2003-05-03
AIH190 SUNG Wai Kit 宋韋傑 RE Asset Management 2003-04-01 2003-05-03
AIJ345 CHU Ka Shing 朱加城 RE Advising on Securities 2007-07-23 2008-01-18
AIJ345 CHU Ka Shing 朱加城 RE Advising on Securities 2008-10-16 2010-11-02
AIJ345 CHU Ka Shing 朱加城 RO Advising on Securities 2010-11-02 2012-11-06
AIJ345 CHU Ka Shing 朱加城 RE Asset Management 2007-06-22 2008-01-18
AIJ345 CHU Ka Shing 朱加城 RE Asset Management 2008-10-16 2010-11-02
AIJ345 CHU Ka Shing 朱加城 RO Asset Management 2010-11-02 2012-11-06
AIX162 FU Ching, Rachel 符清 RE Dealing in Securities 2004-04-15 2004-08-10
AIX162 FU Ching, Rachel 符清 RE Advising on Securities 2004-08-10 2007-06-29
AIY506 CHANG Hing Pong, Solomon 陳興邦 RE Advising on Securities 2018-09-18
AJA303 CHIANG Wai Ling, Winnie 蔣慧玲 RE Advising on Securities 2006-04-20 2008-01-18
AJG153 LAU Man 劉敏 RE Advising on Securities 2006-08-07 2008-01-18
AJJ807 SUM Hong Ning 沈康寧 RE Advising on Securities 2006-08-14 2007-04-20
AJJ807 SUM Hong Ning 沈康寧 RE Asset Management 2006-08-14 2007-04-20
AJL603 LI Pui Shan 李佩珊 RE Advising on Securities 2006-05-25 2008-01-18
AKO666 CHAN Ka Wai 陳嘉威 RE Advising on Securities 2007-06-11 2008-01-18
AKO666 CHAN Ka Wai 陳嘉威 RE Advising on Securities 2009-08-31 2012-06-19
AKO666 CHAN Ka Wai 陳嘉威 RE Asset Management 2007-07-10 2008-01-18
AKO666 CHAN Ka Wai 陳嘉威 RE Asset Management 2009-08-31 2012-06-19
ALQ529 CHAO Mei-ying 楊美瑛 RO Advising on Securities 2005-10-26 2007-10-12
ALQ529 CHAO Mei-ying 楊美瑛 RO Asset Management 2005-10-26 2007-10-12
ALR072 LAU Kwai Chun, Yuki 劉桂珍 RE Advising on Securities 2005-08-12 2006-05-04
ALS709 LAM WONG Wei Ching, Carmen 林黃慧貞 RE Advising on Securities 2005-04-22 2005-12-01
AMB557 CHEUNG Tsz Man 張子文 RE Advising on Securities 2007-02-28 2007-11-16
AMB969 CHEUNG Hoi Kei, Eggie 張凱琪 RE Advising on Securities 2007-10-09 2008-01-18
AMQ648 CHANDGOTHIA Binay RE Advising on Securities 2005-10-28 2006-03-20
AMQ648 CHANDGOTHIA Binay RO Advising on Securities 2006-03-20
AMQ648 CHANDGOTHIA Binay RE Asset Management 2005-10-28 2006-03-20
AMQ648 CHANDGOTHIA Binay RO Asset Management 2006-03-20
AMQ721 WONG Ying Fun 黃應勳 RE Advising on Securities 2005-11-02 2006-12-23
AMQ721 WONG Ying Fun 黃應勳 RE Asset Management 2005-11-02 2006-08-22
AMT914 LIM Wai Ching 林瑋楨 RE Advising on Securities 2005-11-28 2006-08-17
ANJ789 WEST Kenneth Kirk RO Advising on Securities 2008-11-28
ANJ789 WEST Kenneth Kirk RO Asset Management 2008-11-28
ANM831 WONG Mo Lan, Monica 黃慕蘭 RE Advising on Securities 2006-06-14 2008-01-18
ANQ047 LEE Suet Lai, Chloe 李雪麗 RE Advising on Securities 2008-10-16 2009-03-02
ANW240 WONG Chi Ho, Bernie 黃熾豪 RE Advising on Securities 2006-08-28 2008-01-18
ANY111 LEE Hoi Lam 李凱琳 RE Advising on Securities 2006-09-15 2007-03-01
AON741 WANG Xi 王曦 RE Advising on Securities 2013-01-14 2013-04-05
AON741 WANG Xi 王曦 RO Advising on Securities 2013-04-05
AON741 WANG Xi 王曦 RE Asset Management 2013-01-14 2013-04-05
AON741 WANG Xi 王曦 RO Asset Management 2013-04-05
AOQ511 KUNG Wai Ting 龔偉廷 RE Advising on Securities 2007-02-28 2008-01-18
AOQ511 KUNG Wai Ting 龔偉廷 RE Advising on Securities 2009-08-31 2013-12-06
AOQ511 KUNG Wai Ting 龔偉廷 RE Asset Management 2007-02-28 2008-01-18
AOQ511 KUNG Wai Ting 龔偉廷 RE Asset Management 2009-08-31 2013-12-06
AOQ910 LEE Pui Lan, Mary 李佩蘭 RE Advising on Securities 2007-03-06 2008-01-18
AOS684 KA Pui Man 賈佩文 RE Advising on Securities 2007-03-29 2008-01-18
AOS686 KWAN Shuk Yee 關淑儀 RE Advising on Securities 2007-03-29 2007-10-07
AOV570 YU Yiu Kuen, Adrian 余耀權 RE Advising on Securities 2007-05-02 2007-06-01
AOV655 TSANG Yuen Ling 曾琬玲 RE Advising on Securities 2007-05-02 2008-01-18
AOX111 LAW Wai Hang 羅偉恆 RE Advising on Securities 2011-01-13 2012-11-06
AOX111 LAW Wai Hang 羅偉恆 RE Asset Management 2007-05-14 2008-01-18
AOX111 LAW Wai Hang 羅偉恆 RE Asset Management 2009-08-31 2012-11-06
APC655 CHANG Helen 張令遠 RO Advising on Securities 2009-01-06
APC655 CHANG Helen 張令遠 RO Asset Management 2009-01-06
APJ612 YEUNG Pui Ching 楊佩貞 RE Advising on Securities 2007-08-06 2008-01-18
AQF654 CHAN Mei Wan 陳美雲 RE Advising on Securities 2008-01-07 2008-02-05
ARO451 XIAO Yang 蕭楊 RE Advising on Securities 2013-03-08
ARO451 XIAO Yang 蕭楊 RE Asset Management 2013-03-08
ASE662 LAM Chi Jing, Crystal 林芷貞 RE Asset Management 2009-08-31 2009-09-28
AXC908 LAM Lai Kwan 林麗君 RE Advising on Securities 2017-06-27
AXT587 SHIN Hee Jai 申熙才 RE Advising on Securities 2014-06-17
AXY243 SINGH Suresh Kumar RE Advising on Securities 2016-09-13
AYD306 SINGH Raj Kumar RE Advising on Securities 2016-10-17
AYD306 SINGH Raj Kumar RE Asset Management 2016-10-17 2018-05-11
AYD306 SINGH Raj Kumar RO Asset Management 2018-05-11
BBR452 YU Ran 郁然 RE Advising on Securities 2014-06-10
BBR452 YU Ran 郁然 RE Asset Management 2013-08-13
BCG431 HO Cham 何湛 RE Advising on Securities 2014-07-03 2018-06-15
BDD668 YANG Fan 楊帆 RE Advising on Securities 2014-04-01 2018-04-25
BDD668 YANG Fan 楊帆 RE Asset Management 2014-04-01 2018-04-25
BEZ915 PENG Han 彭瀚 RE Advising on Securities 2015-02-18
BEZ915 PENG Han 彭瀚 RE Asset Management 2015-02-18
BFO772 JIANG Yiwei 姜一葦 RE Advising on Securities 2015-06-16 2018-08-24
BFO772 JIANG Yiwei 姜一葦 RE Asset Management 2015-06-16 2018-08-24
BJU937 KHOO Geok Choo Celestine RO Advising on Securities 2017-11-03
BNB785 CHEUNG Chi Ho, Ricky 張稚灝 RE Advising on Securities 2018-06-13
BNU268 YE Junrui 叶俊睿 RE Advising on Securities 2018-11-12

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