Lam Wong, Carmen Wei Ching 林黃慧貞
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 | MIDLAND WEALTH MANAGEMENT LIMITED | RO | Advising on securities | 2008-02-18 | 2010-06-01 | RO | Dealing in securities | 2008-02-18 | 2010-06-01 |
| 2 | PRINCIPAL ASSET MANAGEMENT COMPANY (ASIA) LIMITED | RO | Advising on securities | 2014-05-16 | 2017-05-01 |
| 3 | 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 |
| 4 | PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED | Rep | Advising on securities | 2005-04-22 | 2005-12-01 |
| 5 | Principal Investment & Retirement Services Limited | RO | Advising on securities | 2011-08-17 | 2017-05-01 | RO | Dealing in securities | 2011-08-17 | 2017-05-01 |
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