SFC Licences of BROOKE Charles Stephen Anthony
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Principal Investment & Retirement Services Limited 信安投資及退休金服務有限公司 | RO | 4 | 16 December 2022 | |
| Principal Investment & Retirement Services Limited 信安投資及退休金服務有限公司 | RO | 1 | 16 December 2022 | |
| Principal Asset Management Company (Asia) Limited 信安資金管理(亞洲)有限公司 | RE | 9 | 24 May 2022 | |
| Principal Asset Management Company (Asia) Limited 信安資金管理(亞洲)有限公司 | RE | 4 | 24 May 2022 | |
| Principal Global Investors (Hong Kong) Limited 信安環球投資(香港)有限公司 | RE | 9 | 26 November 2021 | 31 December 2022 |
| Principal Global Investors (Hong Kong) Limited 信安環球投資(香港)有限公司 | RE | 4 | 26 November 2021 | 31 December 2022 |
| Principal Investment & Retirement Services Limited 信安投資及退休金服務有限公司 | RE | 1 | 26 November 2021 | 16 December 2022 |
| abrdn Hong Kong Limited 安本香港有限公司 | RE | 1 | 03 November 2020 | 05 November 2021 |
| abrdn Hong Kong Limited 安本香港有限公司 | RE | 4 | 03 November 2020 | 05 November 2021 |
| abrdn Hong Kong Limited 安本香港有限公司 | RE | 9 | 03 November 2020 | 05 November 2021 |