Charles Cheong Ping Kwok
郭昌平
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Charles Cheong Ping Kwok (郭昌平), a licensed former licensee with CE reference ACJ620. Total licence records on file: 15.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| State Street Global Advisors Asia Limited 道富環球投資管理亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2016-07-13 | 2019-01-21 |
| State Street Global Advisors Asia Limited 道富環球投資管理亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2016-07-13 | 2019-01-21 |
| State Street Global Advisors Asia Limited 道富環球投資管理亞洲有限公司 |
Rep | Type 5 — Advising on futures contracts | 2016-07-13 | 2019-01-21 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
Rep | Type 1 — Dealing in securities | 2009-09-25 | 2011-03-28 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
Rep | Type 4 — Advising on securities | 2009-09-25 | 2011-03-28 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
Rep | Type 5 — Advising on futures contracts | 2009-09-25 | 2011-03-28 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
Rep | Type 9 — Asset management | 2009-09-01 | 2011-03-28 |
| Capital International, Inc. |
Rep | Type 9 — Asset management | 2006-07-07 | 2009-08-22 |
| GAM Hong Kong Limited 環球投資(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2005-06-08 | 2006-06-16 |
| GAM Hong Kong Limited 環球投資(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2005-06-08 | 2006-06-16 |
| GAM Hong Kong Limited 環球投資(香港)有限公司 |
Rep | Type 9 — Asset management | 2005-06-08 | 2006-06-16 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2004-05-17 | 2005-05-30 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | present | 2005-05-30 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | present | 2004-04-06 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | present | 2005-05-30 |