Carol Michele Kar Wai Mak
麥嘉慧
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Carol Michele Kar Wai Mak (麥嘉慧), a licensed former licensee with CE reference ABX294. Total licence records on file: 19.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2016-05-18 | 2019-06-10 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2015-11-24 | 2019-06-10 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2015-11-24 | 2019-06-10 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2015-11-24 | 2019-06-10 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2015-11-24 | 2019-06-10 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2015-11-24 | 2019-06-10 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2015-11-24 | 2019-06-10 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2015-11-24 | 2019-06-10 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 9 — Asset management | 2015-11-24 | 2019-06-10 |
| BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 法國巴黎資產管理亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2012-05-14 | 2015-08-25 |
| BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 法國巴黎資產管理亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2012-05-14 | 2015-08-25 |
| BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 法國巴黎資產管理亞洲有限公司 |
Rep | Type 5 — Advising on futures contracts | 2012-05-14 | 2015-08-25 |
| BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 法國巴黎資產管理亞洲有限公司 |
Rep | Type 9 — Asset management | 2012-05-14 | 2015-08-25 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2009-07-20 | 2011-11-21 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2005-05-12 | 2008-12-10 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
RO | Type 4 — Advising on securities | 2004-08-27 | 2005-02-16 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-08-27 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-06-23 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 9 — Asset management | present | 2004-06-23 |