Carmen Wei Ching Lam Wong
林黃慧貞
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Carmen Wei Ching Lam Wong (林黃慧貞), a licensed former licensee with CE reference ALS709. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Principal Asset Management Company (Asia) Limited 信安資金管理(亞洲)有限公司 |
RO | Type 4 — Advising on securities | 2014-05-16 | 2017-05-01 |
| Principal Global Investors (Asia) Limited 信安環球投資(亞洲)有限公司 |
RO | Type 1 — Dealing in securities | 2013-06-13 | 2017-05-01 |
| Principal Global Investors (Asia) Limited 信安環球投資(亞洲)有限公司 |
RO | Type 4 — Advising on securities | 2013-06-13 | 2017-05-01 |
| Principal Investment & Retirement Services Limited 信安投資及退休金服務有限公司 |
RO | Type 1 — Dealing in securities | 2011-08-17 | 2017-05-01 |
| Principal Investment & Retirement Services Limited 信安投資及退休金服務有限公司 |
RO | Type 4 — Advising on securities | 2011-08-17 | 2017-05-01 |
| Midland Wealth Management Limited 美聯資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2008-02-18 | 2010-06-01 |
| Midland Wealth Management Limited 美聯資產管理有限公司 |
RO | Type 4 — Advising on securities | 2008-02-18 | 2010-06-01 |
| Principal Global Investors (Hong Kong) Limited 信安環球投資(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2005-04-22 | 2005-12-01 |