Sum Thian
田心
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sum Thian (田心), a licensed former licensee with CE reference BCU789. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2019-03-27 | 2021-06-30 |
| Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2019-03-27 | 2021-06-30 |
| Principal Asset Management Company (Asia) Limited 信安資金管理(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | 2017-06-27 | 2019-01-26 |
| Principal Asset Management Company (Asia) Limited 信安資金管理(亞洲)有限公司 |
Rep | Type 9 - Asset management | 2017-06-27 | 2019-01-26 |
| Principal Investment & Retirement Services Limited 信安投資及退休金服務有限公司 |
Rep | Type 1 - Dealing in securities | 2015-12-22 | 2019-01-26 |
| Principal Investment & Retirement Services Limited 信安投資及退休金服務有限公司 |
Rep | Type 4 - Advising on securities | 2015-12-22 | 2019-01-26 |
| AXA China Region Investment Services Limited 安盛投資服務有限公司 |
Rep | Type 1 - Dealing in securities | 2014-03-20 | 2015-10-13 |