Lo, Sin Sin 羅倩倩
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 | BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED | Rep | Advising on securities | 2007-10-25 | 2017-08-01 | Rep | Dealing in securities | 2007-10-25 | 2017-08-01 | Rep | Asset management | 2007-10-25 | 2018-02-14 | RO | Advising on securities | 2017-08-01 | 2018-02-14 | RO | Dealing in securities | 2017-08-01 | 2018-02-14 |
| 2 | BNP PARIBAS DEALING SERVICES ASIA LIMITED | Rep | Advising on securities | 2010-04-20 | 2010-07-02 | Rep | Asset management | 2010-04-20 | 2010-07-02 | Rep | Dealing in securities | 2010-04-20 | 2010-11-08 |
| 3 | HSBC Global Asset Management (Hong Kong) Limited | Rep | Advising on securities | 2007-08-16 | 2007-10-03 | Rep | Dealing in securities | 2007-08-16 | 2007-10-03 | Rep | Asset management | 2007-09-21 | 2007-10-03 |
| 4 | HSBC INVESTMENT FUNDS (HONG KONG) LIMITED | Rep | Advising on securities | 2007-08-16 | 2007-10-03 | Rep | Dealing in securities | 2007-08-16 | 2007-10-03 | Rep | Asset management | 2007-09-21 | 2007-10-03 |
| 5 | Janus Henderson Investors Hong Kong Limited | Rep | Advising on securities | 2007-01-11 | 2007-05-12 | Rep | Dealing in securities | 2007-01-11 | 2007-05-12 |
| 6 | METLIFE INVESTMENTS ASIA LIMITED | Rep | Advising on securities | 2018-04-16 | 2019-07-16 | Rep | Dealing in securities | 2018-04-16 | 2019-07-16 | Rep | Asset management | 2018-04-16 | 2020-06-05 | RO | Advising on securities | 2019-07-16 | 2020-06-05 | RO | Dealing in securities | 2019-07-16 | 2020-06-05 |
| 7 | PRINCIPAL ASSET MANAGEMENT COMPANY (ASIA) LIMITED | Rep | Asset management | 2022-12-16 | Rep | Advising on securities | 2022-12-16 | 2023-01-27 | RO | Advising on securities | 2023-01-27 |
| 8 | PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED | Rep | Advising on securities | 2020-09-22 | 2020-11-20 | Rep | Asset management | 2020-09-22 | 2022-12-31 | RO | Advising on securities | 2020-11-20 | 2022-12-31 |
| 9 | Principal Investment & Retirement Services Limited | Rep | Dealing in securities | 2020-12-28 |
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