SFC Licenceholders of Principal Global Investors (Hong Kong) Limited 信安環球投資(香港)有限公司
- tai.joseph@principal.com
- Website
- www.principal.com.hk
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Licenceholders | Role | Licences | Start date | End date |
|---|---|---|---|---|
| BROOKE Charles Stephen Anthony | RE | 9 | 26 November 2021 | 31 December 2022 |
| BROOKE Charles Stephen Anthony | RE | 4 | 26 November 2021 | 31 December 2022 |
| CHAN Ka Wai 陳嘉威 | RE | 9 | 31 August 2009 | 19 June 2012 |
| CHAN Ka Wai 陳嘉威 | RE | 4 | 31 August 2009 | 19 June 2012 |
| CHAN Ka Wai 陳嘉威 | RE | 9 | 10 July 2007 | 18 January 2008 |
| CHAN Ka Wai 陳嘉威 | RE | 4 | 11 June 2007 | 18 January 2008 |
| CHAN Mei Wan 陳美雲 | RE | 4 | 07 January 2008 | 05 February 2008 |
| CHAN Pik Yan 陳碧忻 | RE | 9 | 01 April 2003 | 10 May 2003 |
| CHAN Pik Yan 陳碧忻 | RE | 6 | 01 April 2003 | 10 May 2003 |
| CHAN Pik Yan 陳碧忻 | RE | 4 | 01 April 2003 | 10 May 2003 |
| CHAN Po Shan 陳寶珊 | RE | 1 | 26 November 2003 | 22 March 2004 |
| CHAN Wai Ho 陳偉濠 | RE | 4 | 01 April 2003 | 01 November 2003 |
| CHAN Wai Ho 陳偉濠 | RE | 9 | 01 April 2003 | 01 November 2003 |
| CHAN Wai Ho 陳偉濠 | RE | 6 | 01 April 2003 | 01 November 2003 |
| CHAN Wing Yau, George 陳永祐 | RO | 4 | 01 April 2003 | 13 January 2005 |
| CHAN Wing Yau, George 陳永祐 | RO | 9 | 01 April 2003 | 13 January 2005 |
| CHAN Wing Yau, George 陳永祐 | RO | 1 | 01 April 2003 | 18 October 2004 |
| CHAN Wing Yau, George 陳永祐 | RO | 6 | 01 April 2003 | 18 October 2004 |
| CHAN Wing Yau, George 陳永祐 | RO | 5 | 01 April 2003 | 18 October 2004 |
| CHANDGOTHIA Binay | RO | 4 | 20 March 2006 | 11 June 2021 |
| CHANDGOTHIA Binay | RO | 9 | 20 March 2006 | 11 June 2021 |
| CHANDGOTHIA Binay | RE | 4 | 28 October 2005 | 20 March 2006 |
| CHANDGOTHIA Binay | RE | 9 | 28 October 2005 | 20 March 2006 |
| CHANG Aofei 常奧菲 | RE | 4 | 20 January 2022 | 31 December 2022 |
| CHANG Aofei 常奧菲 | RE | 9 | 20 January 2022 | 31 December 2022 |
| CHANG Helen 張令遠 | RO | 9 | 06 January 2009 | 29 November 2019 |
| CHANG Helen 張令遠 | RO | 4 | 06 January 2009 | 29 November 2019 |
| CHANG Hing Pong, Solomon 陳興邦 | RE | 4 | 18 September 2018 | 30 June 2022 |
| CHANG Yu Cheng 張育誠 | RE | 9 | 24 September 2021 | 31 December 2022 |
| CHANG Yu Cheng 張育誠 | RE | 4 | 24 September 2021 | 31 December 2022 |
| CHAO Mei-ying 楊美瑛 | RO | 9 | 26 October 2005 | 12 October 2007 |
| CHAO Mei-ying 楊美瑛 | RO | 4 | 26 October 2005 | 12 October 2007 |
| CHEN Wenhan 陳文翰 | RE | 9 | 18 March 2022 | 31 December 2022 |
| CHEN Wenhan 陳文翰 | RE | 4 | 18 March 2022 | 31 December 2022 |
| CHENG Ka Fu, Ricky 鄭家富 | RE | 9 | 01 April 2003 | 23 April 2003 |
| CHENG Ka Fu, Ricky 鄭家富 | RE | 6 | 01 April 2003 | 23 April 2003 |
| CHENG Ka Fu, Ricky 鄭家富 | RE | 4 | 01 April 2003 | 23 April 2003 |
| CHEUNG Chi Ho, Ricky 張稚灝 | RE | 4 | 13 June 2018 | 24 June 2019 |
| CHEUNG Hoi Kei, Eggie 張凱琪 | RE | 4 | 09 October 2007 | 18 January 2008 |
| CHEUNG Ka Man 張嘉敏 | RE | 9 | 01 April 2003 | 30 April 2004 |
| CHEUNG Ka Man 張嘉敏 | RE | 6 | 01 April 2003 | 30 April 2004 |
| CHEUNG Ka Man 張嘉敏 | RE | 4 | 01 April 2003 | 06 August 2004 |
| CHEUNG Siu Man, Joann 張小敏 | RE | 4 | 30 May 2006 | 18 July 2007 |
| CHEUNG Tsz Man 張子文 | RE | 4 | 28 February 2007 | 16 November 2007 |
| CHIANG Wai Ling, Winnie 蔣慧玲 | RE | 4 | 20 April 2006 | 18 January 2008 |
| CHONG Kwok Chee 莊國幟 | RE | 4 | 02 July 2021 | 31 December 2022 |
| CHOW Yan Yan 周茵茵 | RE | 9 | 01 April 2003 | 17 April 2003 |
| CHOW Yan Yan 周茵茵 | RE | 6 | 01 April 2003 | 17 April 2003 |
| CHOW Yan Yan 周茵茵 | RE | 4 | 01 April 2003 | 17 April 2003 |
| CHU Ka Shing 朱加城 | RO | 9 | 02 November 2010 | 06 November 2012 |
| CHU Ka Shing 朱加城 | RO | 4 | 02 November 2010 | 06 November 2012 |
| CHU Ka Shing 朱加城 | RE | 9 | 16 October 2008 | 02 November 2010 |
| CHU Ka Shing 朱加城 | RE | 4 | 16 October 2008 | 02 November 2010 |
| CHU Ka Shing 朱加城 | RE | 4 | 23 July 2007 | 18 January 2008 |
| CHU Ka Shing 朱加城 | RE | 9 | 22 June 2007 | 18 January 2008 |
| CHU Sau Kuen, Fanny 朱秀娟 | RE | 4 | 25 July 2005 | 18 January 2008 |
| CHUNG Kin Keung 鍾建強 | RE | 4 | 08 March 2006 | 29 September 2007 |
| FONG CHIA Kim Luan 方謝金鸞 | RO | 6 | 01 April 2003 | 31 January 2004 |
| FONG CHIA Kim Luan 方謝金鸞 | RO | 1 | 01 April 2003 | 31 January 2004 |
| FONG CHIA Kim Luan 方謝金鸞 | RO | 4 | 01 April 2003 | 31 January 2004 |
| FONG CHIA Kim Luan 方謝金鸞 | RO | 9 | 01 April 2003 | 31 January 2004 |
| FU Ching, Rachel 符清 | RE | 1 | 15 April 2004 | 10 August 2004 |
| FU Ching, Rachel 符清 | RE | 4 | 10 August 2004 | 29 June 2007 |
| FUNG Che Yin, Jane 馮芷賢 | RE | 4 | 21 October 2013 | 31 December 2014 |
| FUNG Wing Tsan 馮永贃 | RE | 9 | 15 April 2004 | 29 January 2007 |
| FUNG Wing Tsan 馮永贃 | RE | 4 | 15 April 2004 | 29 January 2007 |
| GOPALAKRISHNAN Prakash | RE | 9 | 17 September 2020 | 31 December 2022 |
| HO Cham 何湛 | RE | 4 | 03 July 2014 | 15 June 2018 |
| HO Chi Hang, Andy 何自衡 | RE | 4 | 05 July 2007 | 18 January 2008 |
| HO Wai Yee, Winnie 何慧兒 | RE | 4 | 17 June 2015 | 15 August 2018 |
| HUNG Hing On 孔慶安 | RO | 1 | 15 April 2004 | 18 October 2004 |
| HUNG Hing On 孔慶安 | RO | 4 | 15 April 2004 | 22 December 2005 |
| HUNG Hing On 孔慶安 | RO | 9 | 15 April 2004 | 22 December 2005 |
| JAROS Thomas Antonio | RO | 9 | 05 November 2004 | 31 December 2005 |
| JAROS Thomas Antonio | RO | 4 | 05 November 2004 | 31 December 2005 |
| JIANG Yiwei 姜一葦 | RE | 9 | 16 June 2015 | 24 August 2018 |
| JIANG Yiwei 姜一葦 | RE | 4 | 16 June 2015 | 24 August 2018 |
| KA Pui Man 賈佩文 | RE | 4 | 29 March 2007 | 18 January 2008 |
| KAM Man Yin 甘敏賢 | RE | 9 | 01 April 2003 | 27 February 2004 |
| KAM Man Yin 甘敏賢 | RE | 6 | 01 April 2003 | 27 February 2004 |
| KAM Man Yin 甘敏賢 | RE | 4 | 01 April 2003 | 27 February 2004 |
| KE Wing Shuen 柯泳璇 | RE | 4 | 06 July 2018 | 31 December 2022 |
| KHOO Geok Choo Celestine | RO | 4 | 03 November 2017 | 17 October 2019 |
| KIM Joon Young | RE | 4 | 20 January 2022 | 31 December 2022 |
| KOH Chee Sin | RE | 9 | 18 November 2022 | 31 December 2022 |
| KUNG Wai Ting 龔偉廷 | RE | 9 | 31 August 2009 | 06 December 2013 |
| KUNG Wai Ting 龔偉廷 | RE | 4 | 31 August 2009 | 06 December 2013 |
| KUNG Wai Ting 龔偉廷 | RE | 9 | 28 February 2007 | 18 January 2008 |
| KUNG Wai Ting 龔偉廷 | RE | 4 | 28 February 2007 | 18 January 2008 |
| KWAN Shuk Yee 關淑儀 | RE | 4 | 29 March 2007 | 07 October 2007 |
| KWOK Ka Pik, Karen 郭嘉碧 | RE | 9 | 01 April 2003 | 07 June 2005 |
| KWOK Ka Pik, Karen 郭嘉碧 | RE | 4 | 01 April 2003 | 07 June 2005 |
| KWOK Ka Pik, Karen 郭嘉碧 | RE | 6 | 01 April 2003 | 18 October 2004 |
| LAM Chi Jing, Crystal 林芷貞 | RE | 9 | 31 August 2009 | 28 September 2009 |
| LAM Lai Kwan 林麗君 | RE | 4 | 27 June 2017 | 31 December 2022 |
| LAM Lam, Linda 林霖 | RE | 4 | 29 September 2009 | 13 September 2013 |
| LAM WONG Wei Ching, Carmen 林黃慧貞 | RE | 4 | 22 April 2005 | 01 December 2005 |
| LAU Kwai Chun, Yuki 劉桂珍 | RE | 4 | 12 August 2005 | 04 May 2006 |
| LAU Man 劉敏 | RE | 4 | 07 August 2006 | 18 January 2008 |
| LAW Wai Hang 羅偉恆 | RE | 4 | 13 January 2011 | 06 November 2012 |
| LAW Wai Hang 羅偉恆 | RE | 9 | 31 August 2009 | 06 November 2012 |
| LAW Wai Hang 羅偉恆 | RE | 9 | 14 May 2007 | 18 January 2008 |
| LAYDON Frederick Tennyson | RE | 4 | 06 December 2019 | 03 May 2021 |
| LEE Hoi Lam 李凱琳 | RE | 4 | 15 September 2006 | 01 March 2007 |
| LEE Ka Wai 李家偉 | RE | 1 | 25 November 2003 | 06 May 2004 |
| LEE Ka Wai 李家偉 | RE | 4 | 01 April 2003 | 06 May 2004 |
| LEE Ka Wai 李家偉 | RE | 9 | 01 April 2003 | 18 November 2003 |
| LEE Ka Wai 李家偉 | RE | 6 | 01 April 2003 | 18 November 2003 |
| LEE Pui Lan, Mary 李佩蘭 | RE | 4 | 06 March 2007 | 18 January 2008 |
| LEE Suet Lai, Chloe 李雪麗 | RE | 4 | 16 October 2008 | 02 March 2009 |
| LEUNG Man Ho, Raymond 梁文豪 | RE | 6 | 01 April 2003 | 12 July 2004 |
| LEUNG Man Ho, Raymond 梁文豪 | RE | 9 | 01 April 2003 | 12 July 2004 |
| LEUNG Man Ho, Raymond 梁文豪 | RE | 4 | 01 April 2003 | 12 July 2004 |
| LEUNG Wing Hang 梁永恒 | RE | 9 | 18 October 2021 | 31 December 2022 |
| LEUNG Wing Hang 梁永恒 | RE | 4 | 18 October 2021 | 31 December 2022 |
| LI Man 李曼 | RE | 9 | 24 November 2021 | 31 December 2022 |
| LI Man 李曼 | RE | 4 | 24 November 2021 | 31 December 2022 |
| LI Pui Shan 李佩珊 | RE | 4 | 25 May 2006 | 18 January 2008 |
| LI Yu Fun, Grace 李如歡 | RE | 4 | 09 October 2007 | 18 January 2008 |
| LIM Wai Ching 林瑋楨 | RE | 4 | 28 November 2005 | 17 August 2006 |
| LO Sin Sin 羅倩倩 | RO | 4 | 20 November 2020 | 31 December 2022 |
| LO Sin Sin 羅倩倩 | RE | 9 | 22 September 2020 | 31 December 2022 |
| LO Sin Sin 羅倩倩 | RE | 4 | 22 September 2020 | 20 November 2020 |
| LO Wan Wai, Isaac 盧運威 | RE | 4 | 01 April 2003 | 01 April 2004 |
| LO Wan Wai, Isaac 盧運威 | RE | 9 | 01 April 2003 | 01 April 2004 |
| LO Wan Wai, Isaac 盧運威 | RE | 6 | 01 April 2003 | 01 April 2004 |
| LUK Wing Sze, Linda 陸穎詩 | RE | 4 | 01 April 2003 | 25 November 2003 |
| LUK Wing Sze, Linda 陸穎詩 | RE | 9 | 01 April 2003 | 18 November 2003 |
| LUK Wing Sze, Linda 陸穎詩 | RE | 6 | 01 April 2003 | 18 November 2003 |
| LUO Xi 羅希 | RE | 9 | 18 October 2021 | 31 December 2022 |
| LUO Xi 羅希 | RE | 4 | 18 October 2021 | 31 December 2022 |
| MAK Hau Sum 麥巧心 | RE | 4 | 15 April 2004 | 18 January 2008 |
| MAK Hau Sum 麥巧心 | RE | 9 | 15 April 2004 | 18 January 2008 |
| PENG Han 彭瀚 | RE | 9 | 18 February 2015 | 31 December 2022 |
| PENG Han 彭瀚 | RE | 4 | 18 February 2015 | 31 December 2022 |
| REYES Ethylyn G. | RE | 9 | 01 April 2003 | 01 April 2004 |
| REYES Ethylyn G. | RE | 6 | 01 April 2003 | 01 April 2004 |
| REYES Ethylyn G. | RE | 4 | 01 April 2003 | 01 April 2004 |
| SARAN Phillip Howard Hasenfus 郝振毅 | RE | 9 | 24 January 2020 | 31 December 2022 |
| SARAN Phillip Howard Hasenfus 郝振毅 | RE | 4 | 24 January 2020 | 31 December 2022 |
| SHIN Hee Jai 申熙才 | RE | 4 | 17 June 2014 | 31 December 2022 |
| SINGH Raj Kumar | RO | 9 | 11 May 2018 | 31 December 2022 |
| SINGH Raj Kumar | RE | 4 | 17 October 2016 | 31 December 2022 |
| SINGH Raj Kumar | RE | 9 | 17 October 2016 | 11 May 2018 |
| SINGH Suresh Kumar | RE | 4 | 13 September 2016 | 31 December 2022 |
| SINN Pak Ming, Ringo 冼百明 | RO | 4 | 31 October 2005 | 16 January 2009 |
| SINN Pak Ming, Ringo 冼百明 | RO | 9 | 31 October 2005 | 16 January 2009 |
| SUM Hong Ning 沈康寧 | RE | 9 | 14 August 2006 | 20 April 2007 |
| SUM Hong Ning 沈康寧 | RE | 4 | 14 August 2006 | 20 April 2007 |
| SUNG Wai Kit 宋韋傑 | RE | 4 | 09 October 2007 | 18 January 2008 |
| SUNG Wai Kit 宋韋傑 | RE | 9 | 01 April 2003 | 03 May 2003 |
| SUNG Wai Kit 宋韋傑 | RE | 6 | 01 April 2003 | 03 May 2003 |
| SUNG Wai Kit 宋韋傑 | RE | 4 | 01 April 2003 | 03 May 2003 |
| SZE Woon Sang 史煥生 | RE | 4 | 03 December 2013 | 15 April 2015 |
| TAN Lim Heng 陳林興 | RO | 1 | 01 April 2003 | 27 March 2004 |
| TAN Lim Heng 陳林興 | RO | 4 | 01 April 2003 | 27 March 2004 |
| TAN Lim Heng 陳林興 | RO | 5 | 01 April 2003 | 27 March 2004 |
| TAN Lim Heng 陳林興 | RO | 6 | 01 April 2003 | 27 March 2004 |
| TAN Lim Heng 陳林興 | RO | 9 | 01 April 2003 | 27 March 2004 |
| TSANG Yuen Ling 曾琬玲 | RE | 4 | 02 May 2007 | 18 January 2008 |
| WAN Howe Chung | RE | 9 | 09 October 2019 | 31 December 2022 |
| WAN Howe Chung | RO | 9 | 18 March 2019 | 09 October 2019 |
| WAN Yu Ming, David 尹宇明 | RE | 4 | 01 April 2003 | 15 July 2003 |
| WAN Yu Ming, David 尹宇明 | RE | 6 | 01 April 2003 | 15 July 2003 |
| WAN Yu Ming, David 尹宇明 | RE | 9 | 01 April 2003 | 15 July 2003 |
| WANG Xi 王曦 | RO | 9 | 05 April 2013 | 25 October 2023 |
| WANG Xi 王曦 | RO | 4 | 05 April 2013 | 25 October 2023 |
| WANG Xi 王曦 | RE | 9 | 14 January 2013 | 05 April 2013 |
| WANG Xi 王曦 | RE | 4 | 14 January 2013 | 05 April 2013 |
| WEST Kenneth Kirk | RO | 9 | 28 November 2008 | 25 October 2023 |
| WEST Kenneth Kirk | RO | 4 | 28 November 2008 | 25 October 2023 |
| WONG Chi Ho, Bernie 黃熾豪 | RE | 4 | 28 August 2006 | 18 January 2008 |
| WONG Kwok Chun 黃國俊 | RE | 4 | 01 April 2003 | 02 January 2004 |
| WONG Kwok Chun 黃國俊 | RE | 6 | 01 April 2003 | 02 January 2004 |
| WONG Kwok Chun 黃國俊 | RE | 9 | 01 April 2003 | 02 January 2004 |
| WONG Mo Lan, Monica 黃慕蘭 | RE | 4 | 14 June 2006 | 18 January 2008 |
| WONG Pui Kei 王珮琪 | RE | 4 | 20 April 2006 | 18 January 2008 |
| WONG Tak Cheong 黃德昌 | RE | 9 | 01 April 2003 | 12 March 2004 |
| WONG Tak Cheong 黃德昌 | RE | 6 | 01 April 2003 | 12 March 2004 |
| WONG Tak Cheong 黃德昌 | RE | 4 | 01 April 2003 | 12 March 2004 |
| WONG Wing Leong 王永亮 | RE | 9 | 02 November 2022 | 31 December 2022 |
| WONG Wing Leong 王永亮 | RE | 4 | 02 November 2022 | 31 December 2022 |
| WONG Ying Fun 黃應勳 | RE | 9 | 02 November 2005 | 22 August 2006 |
| WONG Ying Fun 黃應勳 | RE | 4 | 02 November 2005 | 23 December 2006 |
| WONG Yuk Fong, Noel 黃玉芳 | RE | 6 | 01 April 2003 | 18 October 2004 |
| WONG Yuk Fong, Noel 黃玉芳 | RE | 4 | 01 April 2003 | 02 June 2005 |
| WONG Yuk Fong, Noel 黃玉芳 | RE | 9 | 01 April 2003 | 02 June 2005 |
| WOO John Kwok Kwong 胡國光 | RE | 9 | 31 July 2006 | 01 September 2007 |
| WOO Pak On, Johnny 胡柏安 | RE | 6 | 01 April 2003 | 12 July 2004 |
| WOO Pak On, Johnny 胡柏安 | RE | 9 | 01 April 2003 | 12 July 2004 |
| WOO Pak On, Johnny 胡柏安 | RE | 4 | 01 April 2003 | 12 July 2004 |
| XIAO Yang 蕭楊 | RE | 9 | 08 March 2013 | 23 May 2020 |
| XIAO Yang 蕭楊 | RE | 4 | 08 March 2013 | 23 May 2020 |
| YANG Fan 楊帆 | RE | 4 | 01 April 2014 | 25 April 2018 |
| YANG Fan 楊帆 | RE | 9 | 01 April 2014 | 25 April 2018 |
| YAU Yuet Fong 丘月芳 | RE | 4 | 19 July 2022 | 31 December 2022 |
| YE Junrui 叶俊睿 | RE | 9 | 21 January 2019 | 31 December 2022 |
| YE Junrui 叶俊睿 | RE | 4 | 12 November 2018 | 31 December 2022 |
| YEUNG Pui Ching 楊佩貞 | RE | 4 | 06 August 2007 | 18 January 2008 |
| YU Ran 郁然 | RE | 4 | 10 June 2014 | 31 December 2022 |
| YU Ran 郁然 | RE | 9 | 13 August 2013 | 31 December 2022 |
| YU William Norhan 庾諾行 | RE | 4 | 24 September 2019 | 20 November 2020 |
| YU Ying 余穎 | RE | 9 | 19 October 2020 | 31 December 2022 |
| YU Ying 余穎 | RE | 4 | 19 October 2020 | 31 December 2022 |
| YU Yiu Kuen, Adrian 余耀權 | RE | 4 | 02 May 2007 | 01 June 2007 |
| YUNG Yuen Ting, Wendy 翁婉婷 | RE | 4 | 01 April 2003 | 25 October 2003 |
| YUNG Yuen Ting, Wendy 翁婉婷 | RE | 9 | 01 April 2003 | 25 October 2003 |
| YUNG Yuen Ting, Wendy 翁婉婷 | RE | 6 | 01 April 2003 | 25 October 2003 |
| ZHANG Yifan 張一凡 | RE | 9 | 11 September 2019 | 31 December 2022 |
| ZHANG Yifan 張一凡 | RE | 4 | 11 September 2019 | 31 December 2022 |