Charles Stephen Anthony Brooke
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Charles Stephen Anthony Brooke ( ), a licensed former licensee with CE reference BQE331. Total licence records on file: 11.
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 1 — Dealing in securities | 2024-07-19 | 2025-04-24 |
| 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 | 2022-12-16 | 2025-04-24 |
| 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 | 2022-12-16 | 2025-04-24 |
| Principal Asset Management Company (Asia) Limited 信安資金管理(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2022-05-24 | 2025-04-24 |
| Principal Asset Management Company (Asia) Limited 信安資金管理(亞洲)有限公司 |
Rep | Type 9 — Asset management | 2022-05-24 | 2025-04-24 |
| 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 | 2021-11-26 | 2022-12-16 |
| Principal Global Investors (Hong Kong) Limited 信安環球投資(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2021-11-26 | 2022-12-31 |
| Principal Global Investors (Hong Kong) Limited 信安環球投資(香港)有限公司 |
Rep | Type 9 — Asset management | 2021-11-26 | 2022-12-31 |
| abrdn Hong Kong Limited 安本香港有限公司 |
Rep | Type 1 — Dealing in securities | 2020-11-03 | 2021-11-05 |
| abrdn Hong Kong Limited 安本香港有限公司 |
Rep | Type 4 — Advising on securities | 2020-11-03 | 2021-11-05 |
| abrdn Hong Kong Limited 安本香港有限公司 |
Rep | Type 9 — Asset management | 2020-11-03 | 2021-11-05 |