Sarah King Wai Kwok
郭瓊蔚
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sarah King Wai Kwok (郭瓊蔚), a licensed Representative with CE reference BPC435. Currently licensed at 2 firm(s): HSBC Global Asset Management (Hong Kong) Limited, HSBC Investment Funds (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 9.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2021-09-10 | present |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2021-09-10 | present |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2021-09-10 | present |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2021-09-10 | present |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2021-09-10 | present |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 9 — Asset management | 2021-09-10 | present |
| Taikang Asset Management (Hong Kong) Company Limited 泰康資產管理(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2020-05-27 | 2021-08-02 |
| Taikang Asset Management (Hong Kong) Company Limited 泰康資產管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2019-12-20 | 2021-08-02 |
| Taikang Asset Management (Hong Kong) Company Limited 泰康資產管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2019-12-20 | 2021-08-02 |