Brooke, Charles Stephen Anthony
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | abrdn Hong Kong Limited | Rep | Advising on securities | 2020-11-03 | 2021-11-05 | Rep | Asset management | 2020-11-03 | 2021-11-05 | Rep | Dealing in securities | 2020-11-03 | 2021-11-05 |
| 2 | PRINCIPAL ASSET MANAGEMENT COMPANY (ASIA) LIMITED | Rep | Advising on securities | 2022-05-24 | Rep | Asset management | 2022-05-24 |
| 3 | PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED | Rep | Advising on securities | 2021-11-26 | 2022-12-31 | Rep | Asset management | 2021-11-26 | 2022-12-31 |
| 4 | Principal Investment & Retirement Services Limited | Rep | Dealing in securities | 2021-11-26 | 2022-12-16 | RO | Advising on securities | 2022-12-16 | RO | Dealing in securities | 2022-12-16 |
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