Karen Ka Pik Kwok
郭嘉碧
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Karen Ka Pik Kwok (郭嘉碧), a licensed former licensee with CE reference AFX845. Total licence records on file: 4.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Schroder Investment Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2005-06-07 | 2012-07-31 |
| Principal Global Investors (Hong Kong) Limited 信安環球投資(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2005-06-07 |
| Principal Global Investors (Hong Kong) Limited 信安環球投資(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-10-18 |
| Principal Global Investors (Hong Kong) Limited 信安環球投資(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2005-06-07 |