Hong Kong SFC licence institution ABH456, Principal Global Investors (Asia) Limited 信安環球投資(亞洲)有限公司

These are the licence-holders that were found for SFC licence institution ABH456 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
ABH458 TAM CHEUNG Fung Yi, Viola 譚張鳳儀 RE Dealing in Securities 2003-04-01 2004-02-20
ABH458 TAM CHEUNG Fung Yi, Viola 譚張鳳儀 RE Advising on Securities 2003-04-01 2004-02-20
ABH458 TAM CHEUNG Fung Yi, Viola 譚張鳳儀 RE Advising on Corporate Finance 2003-04-01 2004-02-20
ABH458 TAM CHEUNG Fung Yi, Viola 譚張鳳儀 RE Asset Management 2003-04-01 2004-02-20
ACC589 SINN Pak Ming, Ringo 冼百明 RE Dealing in Securities 2005-04-15 2005-10-31
ACC589 SINN Pak Ming, Ringo 冼百明 RE Dealing in Securities 2007-03-01 2007-08-27
ACC589 SINN Pak Ming, Ringo 冼百明 RO Dealing in Securities 2005-10-31 2007-03-01
ACC589 SINN Pak Ming, Ringo 冼百明 RO Dealing in Securities 2007-08-27 2013-06-21
ACC589 SINN Pak Ming, Ringo 冼百明 RE Advising on Securities 2005-04-15 2005-10-31
ACC589 SINN Pak Ming, Ringo 冼百明 RE Advising on Securities 2007-03-19 2007-08-27
ACC589 SINN Pak Ming, Ringo 冼百明 RO Advising on Securities 2005-10-31 2007-03-19
ACC589 SINN Pak Ming, Ringo 冼百明 RO Advising on Securities 2007-08-27 2013-06-21
ACM359 LUK Wing Sze, Linda 陸穎詩 RE Dealing in Securities 2004-03-23 2005-01-21
ACM359 LUK Wing Sze, Linda 陸穎詩 RE Advising on Securities 2004-03-23 2005-01-21
ACR693 HUNG Hing On 孔慶安 RO Dealing in Securities 2003-04-01 2005-12-22
ACR693 HUNG Hing On 孔慶安 RO Advising on Securities 2003-04-01 2005-12-22
ACR693 HUNG Hing On 孔慶安 RO Advising on Corporate Finance 2003-04-01 2004-03-16
ACR693 HUNG Hing On 孔慶安 RO Asset Management 2003-04-01 2005-01-12
ACS128 YEUNG Yat Sang, Nelson 楊逸生 RE Advising on Securities 2008-02-13 2009-12-07
ACS669 WOO John Kwok Kwong 胡國光 RE Dealing in Securities 2005-12-14 2006-03-03
ACS669 WOO John Kwok Kwong 胡國光 RO Dealing in Securities 2006-03-03 2007-09-01
ACS669 WOO John Kwok Kwong 胡國光 RO Advising on Securities 2006-03-03 2007-09-01
ADI597 NGAN Edith Man Ling 顏文玲 RO Advising on Securities 2008-02-20 2008-04-03
ADJ630 FUNG Che Yin, Jane 馮芷賢 RE Dealing in Securities 2013-10-21 2013-11-11
ADJ630 FUNG Che Yin, Jane 馮芷賢 RO Dealing in Securities 2013-11-11 2014-12-31
ADJ630 FUNG Che Yin, Jane 馮芷賢 RO Advising on Securities 2014-01-24 2014-12-31
ADZ884 WAN Yu Ming, David 尹宇明 RE Advising on Securities 2004-02-17 2006-05-19
AEA546 WONG Ching Wa 黃菁華 RE Dealing in Securities 2005-07-27 2007-01-17
AEA546 WONG Ching Wa 黃菁華 RE Advising on Securities 2005-07-27 2007-01-17
AEM704 WONG Yuk Fong, Noel 黃玉芳 RE Dealing in Securities 2006-09-11 2007-08-31
AEM704 WONG Yuk Fong, Noel 黃玉芳 RE Advising on Securities 2005-06-02 2006-07-31
AEQ255 CHEUNG Wai Chuen 張偉銓 RE Dealing in Securities 2003-04-01 2003-09-09
AEQ255 CHEUNG Wai Chuen 張偉銓 RE Advising on Securities 2003-04-01 2003-09-09
AEQ255 CHEUNG Wai Chuen 張偉銓 RE Advising on Corporate Finance 2003-04-01 2003-09-09
AEQ255 CHEUNG Wai Chuen 張偉銓 RE Asset Management 2003-04-01 2003-09-09
AEX966 CHEUNG Kam Ping 張錦屏 RO Dealing in Securities 2013-10-03 2016-12-31
AEX966 CHEUNG Kam Ping 張錦屏 RO Advising on Securities 2013-10-03 2016-12-31
AEZ949 YEUNG Mei Lin 楊美蓮 RE Advising on Securities 2003-11-04 2005-05-25
AFA295 LAU Koon Ping, Jaclyn 劉冠屏 RE Advising on Securities 2004-06-17 2005-06-02
AFO917 LEUNG Man Ho, Raymond 梁文豪 RE Advising on Securities 2005-06-21 2006-05-01
AFP576 IP Yun Ping 葉潤屏 RE Dealing in Securities 2003-04-01 2004-05-24
AFP576 IP Yun Ping 葉潤屏 RE Advising on Securities 2003-04-01 2004-05-24
AFP576 IP Yun Ping 葉潤屏 RE Advising on Corporate Finance 2003-04-01 2004-05-24
AFP576 IP Yun Ping 葉潤屏 RE Asset Management 2003-04-01 2004-05-24
AFP587 CHAN Wai Yee 陳慧儀 RE Advising on Securities 2005-02-25 2006-10-22
AFP736 WONG Kit Man 黃潔雯 RE Dealing in Securities 2012-03-13 2012-03-19
AFR390 WONG Kwok Chun 黃國俊 RE Advising on Securities 2004-10-15 2005-04-25
AFR432 HO Ming Wai, Alberta 何明蕙 RE Advising on Securities 2005-05-24 2006-08-22
AFU158 HO Ping Nga, Derek 何平雅 RO Dealing in Securities 2013-06-13 2014-02-28
AFU158 HO Ping Nga, Derek 何平雅 RO Advising on Securities 2013-06-13 2014-02-28
AFU575 CHEUNG Pak Lun 張伯倫 RE Advising on Securities 2005-05-03 2006-02-07
AGB716 FAN Chi Wai, Simon 樊志偉 RE Dealing in Securities 2012-11-22 2013-01-11
AGC358 LI Yu Fun, Grace 李如歡 RE Advising on Securities 2003-07-21 2007-09-03
AGH205 LAU Wing Sze 劉泳思 RE Advising on Securities 2005-05-24 2008-03-03
AGJ428 SIMMONDS Ian Timothy RO Dealing in Securities 2003-04-01 2003-07-31
AGJ428 SIMMONDS Ian Timothy RO Advising on Securities 2003-04-01 2003-07-31
AGJ428 SIMMONDS Ian Timothy RO Advising on Corporate Finance 2003-04-01 2003-07-31
AGJ428 SIMMONDS Ian Timothy RO Asset Management 2003-04-01 2003-07-31
AGP156 TSANG Yin Kan 曾燕勤 RE Dealing in Securities 2005-11-23 2008-05-26
AGP156 TSANG Yin Kan 曾燕勤 RE Dealing in Securities 2009-01-13 2012-07-07
AGP156 TSANG Yin Kan 曾燕勤 RE Advising on Securities 2005-11-21 2008-05-26
AGP156 TSANG Yin Kan 曾燕勤 RE Advising on Securities 2009-01-13 2011-07-29
AGP381 TSANG Lok Ping 曾樂平 RE Dealing in Securities 2007-03-06 2010-11-17
AGP381 TSANG Lok Ping 曾樂平 RE Advising on Securities 2007-03-06 2010-11-17
AGP586 KONG Ching Wai 江清慧 RE Dealing in Securities 2003-05-07 2004-08-26
AGP586 KONG Ching Wai 江清慧 RE Advising on Securities 2005-07-27 2006-03-15
AHA954 CHAN Ching Charm 陳清杉 RE Dealing in Securities 2003-04-01 2004-08-13
AHA954 CHAN Ching Charm 陳清杉 RE Advising on Securities 2003-04-01 2004-08-13
AHA954 CHAN Ching Charm 陳清杉 RE Advising on Corporate Finance 2003-04-01 2004-08-13
AHA954 CHAN Ching Charm 陳清杉 RE Asset Management 2003-04-01 2004-08-13
AHD583 CHAN Wing Yan 陳詠恩 RE Dealing in Securities 2003-04-01 2003-06-13
AHD583 CHAN Wing Yan 陳詠恩 RE Advising on Securities 2003-04-01 2003-06-13
AHD583 CHAN Wing Yan 陳詠恩 RE Advising on Corporate Finance 2003-04-01 2003-06-13
AHD583 CHAN Wing Yan 陳詠恩 RE Asset Management 2003-04-01 2003-06-13
AHE252 LAU Chee Fung, Daniel 劉智峯 RE Dealing in Securities 2003-04-01 2005-11-12
AHE252 LAU Chee Fung, Daniel 劉智峯 RE Advising on Securities 2003-04-01 2005-11-12
AHE252 LAU Chee Fung, Daniel 劉智峯 RE Advising on Corporate Finance 2003-04-01 2004-12-08
AHE252 LAU Chee Fung, Daniel 劉智峯 RE Asset Management 2003-04-01 2004-12-08
AHG368 YIP Chi Leung 葉志良 RO Dealing in Securities 2003-04-01 2013-07-16
AHG368 YIP Chi Leung 葉志良 RO Advising on Securities 2005-09-12 2013-07-16
AIB242 JAROS Thomas Antonio RO Advising on Securities 2004-11-05 2005-12-31
AIH190 SUNG Wai Kit 宋韋傑 RE Advising on Securities 2003-10-13 2007-09-03
AIX162 FU Ching, Rachel 符清 RE Dealing in Securities 2003-12-10 2004-09-16
AIY650 MAK Chun Bond 麥俊邦 RE Dealing in Securities 2003-06-09 2003-07-24
AJA303 CHIANG Wai Ling, Winnie 蔣慧玲 RE Advising on Securities 2003-08-13 2005-09-28
AJD316 SO Po Man 蘇寶文 RE Dealing in Securities 2003-09-29 2004-06-16
AJD316 SO Po Man 蘇寶文 RE Dealing in Securities 2014-04-23 2015-08-10
AJD324 LEUNG Kwai Wah, Ronald 梁貴華 RE Advising on Securities 2003-10-13 2005-03-05
AJE115 KONG Siu Tin 江紹田 RE Dealing in Securities 2006-03-20 2007-09-03
AJE115 KONG Siu Tin 江紹田 RE Advising on Securities 2006-03-20 2007-09-03
AKI597 TAM Lai Chu 譚麗珠 RE Advising on Securities 2004-05-28 2005-03-21
AKY082 TONG Yin Nai 唐燕妮 RE Advising on Securities 2005-05-24 2007-06-28
ALH771 LEE Chi Fung 李志鋒 RE Dealing in Securities 2008-08-25 2008-08-25
ALQ529 CHAO Mei-ying 楊美瑛 RO Advising on Securities 2005-10-26 2007-10-12
ALS709 LAM WONG Wei Ching, Carmen 林黃慧貞 RO Dealing in Securities 2013-06-13 2017-05-01
ALS709 LAM WONG Wei Ching, Carmen 林黃慧貞 RO Advising on Securities 2013-06-13 2017-05-01
ALY653 SIN Ka Pui 冼嘉佩 RE Advising on Securities 2005-05-23 2005-10-03
AMB969 CHEUNG Hoi Kei, Eggie 張凱琪 RE Advising on Securities 2005-06-08 2007-09-03
AMC912 SO Ching Kong, Kevin 蘇正綱 RE Advising on Securities 2005-06-15 2006-05-16
AMF352 WONG Kwok Wa 王國華 RE Advising on Securities 2005-08-24 2006-04-13
AMH458 WONG Sui Man 黃瑞文 RE Dealing in Securities 2008-07-28 2008-08-05
AMH458 WONG Sui Man 黃瑞文 RE Advising on Securities 2008-07-28 2008-08-05
AMK138 WU Ka Ling 胡嘉玲 RE Advising on Securities 2005-08-26 2006-02-25
AML355 WONG Sai Kee 黃世基 RE Advising on Securities 2005-09-13 2006-01-07
AMQ648 CHANDGOTHIA Binay RE Dealing in Securities 2005-10-28 2005-12-12
AMQ648 CHANDGOTHIA Binay RE Advising on Securities 2005-10-28 2005-12-12
AMQ721 WONG Ying Fun 黃應勳 RE Dealing in Securities 2005-11-02 2006-12-23
AMQ721 WONG Ying Fun 黃應勳 RE Advising on Securities 2005-11-02 2006-12-23
AMS059 LAU Kit 劉杰 RE Dealing in Securities 2005-11-10 2007-01-02
AMS059 LAU Kit 劉杰 RE Advising on Securities 2005-11-10 2007-01-02
AMS605 SHU Lai Yi 舒麗兒 RE Advising on Securities 2005-11-21 2006-08-22
AMS605 SHU Lai Yi 舒麗兒 RE Advising on Securities 2007-01-26 2007-04-12
AMS708 IP Kwai Keung 葉桂強 RE Dealing in Securities 2010-04-22 2015-08-10
AMS708 IP Kwai Keung 葉桂強 RE Advising on Securities 2008-05-26 2010-07-30
AMV243 AU Soong Chun, Jenny 區崇真 RE Advising on Securities 2005-12-19 2006-01-07
AMY548 HO Mei Lok 何美樂 RE Dealing in Securities 2007-10-10 2007-11-28
AMY548 HO Mei Lok 何美樂 RE Advising on Securities 2007-11-19 2007-11-28
ANG569 LEUNG Ka Man 梁家文 RE Advising on Securities 2006-04-04 2007-04-01
ANJ786 SIM James Choon Wen 沈俊文 RE Advising on Securities 2006-05-16 2006-05-22
ANJ789 WEST Kenneth Kirk RE Advising on Securities 2006-05-16 2006-05-22
ANJ789 WEST Kenneth Kirk RE Advising on Securities 2006-08-14 2007-03-27
ANJ789 WEST Kenneth Kirk RE Advising on Securities 2007-06-04 2009-02-02
ANK445 FREIHEIT Aisling Mary RE Advising on Securities 2006-05-19 2006-05-25
ANM831 WONG Mo Lan, Monica 黃慕蘭 RE Dealing in Securities 2013-09-23 2015-07-25
ANM831 WONG Mo Lan, Monica 黃慕蘭 RE Advising on Securities 2013-09-23 2015-07-25
ANQ047 LEE Suet Lai, Chloe 李雪麗 RE Dealing in Securities 2008-04-18 2008-10-02
ANQ047 LEE Suet Lai, Chloe 李雪麗 RE Advising on Securities 2008-04-18 2008-10-02
ANV167 LAM Wai Yu 林慧瑜 RE Dealing in Securities 2014-02-24 2015-08-10
AON716 LI Hiu Fung, Vivian 李曉楓 RE Dealing in Securities 2007-02-05 2013-09-23
AON724 MA Man Lai 馬文麗 RE Advising on Securities 2007-02-05 2007-02-16
AOP207 MAN Chi Sing 萬志成 RE Dealing in Securities 2007-02-28 2007-06-01
AOP207 MAN Chi Sing 萬志成 RE Advising on Securities 2007-02-28 2007-06-01
AOT555 LAM Tze Wan, Phyllis 林紫芸 RE Advising on Securities 2007-04-02 2009-12-07
AOX816 CHUNG Lui 鍾蕾 RE Dealing in Securities 2010-04-29 2015-08-10
AOX816 CHUNG Lui 鍾蕾 RE Advising on Securities 2007-05-16 2009-11-30
APC655 CHANG Helen 張令遠 RE Dealing in Securities 2007-06-22 2009-02-02
APC655 CHANG Helen 張令遠 RE Dealing in Securities 2014-08-21 2015-12-21
APC655 CHANG Helen 張令遠 RE Advising on Securities 2007-06-22 2009-02-02
APC655 CHANG Helen 張令遠 RE Advising on Securities 2014-08-21 2015-12-21
APH931 WONG Hoi Man 黃海雯 RE Advising on Securities 2007-07-26 2007-11-25
APJ710 FONG Hau Wah 方巧華 RE Dealing in Securities 2010-04-22 2010-11-08
APJ710 FONG Hau Wah 方巧華 RE Advising on Securities 2009-12-18 2010-07-30
APQ324 CHOI Chi Fai 蔡志輝 RE Advising on Securities 2008-03-25 2008-05-15
APS492 TSANG Lok Man 曾樂雯 RE Dealing in Securities 2010-05-06 2010-05-13
AQB101 CHIANG Ki Yuk 蔣麒鈺 RE Dealing in Securities 2007-11-29 2008-01-07
AQB101 CHIANG Ki Yuk 蔣麒鈺 RE Advising on Securities 2007-11-29 2008-01-07
AQO288 KO Ka Wai 高家慧 RE Advising on Securities 2009-12-19 2010-02-17
AQO523 WAI Kam San 衛錦珊 RE Dealing in Securities 2010-04-22 2015-08-10
AQO523 WAI Kam San 衛錦珊 RE Advising on Securities 2008-03-05 2009-03-01
ARE665 CHAN Wing Sze 陳詠詩 RE Dealing in Securities 2010-10-12 2011-05-23
ARH646 CHOY Suet Yin 蔡雪賢 RE Dealing in Securities 2010-04-22 2015-08-10
ARH646 CHOY Suet Yin 蔡雪賢 RE Advising on Securities 2008-07-11 2010-07-30
ARI452 CHENG Hong Shing, Nelson 鄭康勝 RE Dealing in Securities 2008-07-21 2009-01-01
ARI452 CHENG Hong Shing, Nelson 鄭康勝 RE Advising on Securities 2008-07-21 2009-01-01
ARI812 CHEUNG LUI Mei Sze, Iris 張呂美施 RE Advising on Securities 2008-07-25 2009-03-23
ASK323 SUM Ho Sang 岑皓生 RE Advising on Securities 2009-08-28 2010-02-01
AST101 NG Yin Tung 吳彥彤 RE Dealing in Securities 2012-09-11 2015-08-10
ATL969 TSANG Chun Wai 曾俊威 RE Dealing in Securities 2010-04-19 2010-09-01
ATO798 CHOW Wai Chi 周煒智 RE Dealing in Securities 2014-03-10 2015-08-10
AUP907 CHEUNG King Hei 張敬禧 RE Dealing in Securities 2010-04-22 2011-01-01
AUP907 CHEUNG King Hei 張敬禧 RE Advising on Securities 2010-01-22 2010-07-30
AVI054 LOK Remus Chu Kit 駱柱傑 RE Dealing in Securities 2010-07-23 2015-08-10
AVY395 LAW Hiu Ying 羅曉迎 RE Dealing in Securities 2010-09-24 2010-12-13
AVY400 CHEUNG Kwong Yan 張廣恩 RE Dealing in Securities 2010-09-24 2010-11-08
AWC512 LEE Wai Man 李慧文 RE Dealing in Securities 2010-10-26 2015-08-10
AWK776 CHAN King Sum Kelvin 陳敬琛 RE Dealing in Securities 2010-12-06 2016-09-03
AWN677 NG Wing Kin 伍永健 RE Dealing in Securities 2010-12-24 2011-06-20
AWS990 CHOU Chun Kit 周俊杰 RE Dealing in Securities 2011-06-27 2012-02-07
AXL684 NG Kwan Yi Queenie 吳鈞儀 RE Dealing in Securities 2011-06-22 2014-08-25
AXL883 NG Chun Nok 吳俊諾 RE Dealing in Securities 2012-06-26 2014-06-16
AYH500 WONG Mona 黃夢娜 RE Dealing in Securities 2011-11-10 2012-03-02
AZO177 LAU Chi Ho 劉志豪 RE Dealing in Securities 2012-06-25 2014-07-14
BBQ053 WONG Hoi Ka 黃鎧珈 RE Dealing in Securities 2014-04-28 2015-08-10
BBQ230 LI Cecilia Lok-yee 李樂儀 RE Dealing in Securities 2014-07-22 2015-08-10
BCG431 HO Cham 何湛 RE Dealing in Securities 2014-07-03 2015-12-21
BCG431 HO Cham 何湛 RE Advising on Securities 2014-07-03 2015-12-21
BCT297 LI Ying Cheung 李應章 RE Dealing in Securities 2014-02-25 2015-03-06
BCW805 CHIU Yin Bong, Tony 趙彥邦 RE Dealing in Securities 2014-02-11 2017-06-19
BCZ293 JUIN Enoch 晉以諾 RE Dealing in Securities 2014-02-27 2015-08-10
BDC865 HUNG Shin Mei 孔倩美 RE Dealing in Securities 2014-03-13 2016-09-07
BDI116 LEUNG Chi Him 梁智謙 RE Dealing in Securities 2014-06-06 2014-10-07
BDI119 CHEUNG Lee Yee 張莉儀 RE Dealing in Securities 2014-06-06 2014-09-11

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