Caroline Yu Maurer
沈昱
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Caroline Yu Maurer (沈昱), a licensed Responsible Officer with CE reference BFR076. 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 5 — Advising on futures contracts; Type 9 — Asset management. Total licence records on file: 19.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Advising on futures contracts →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2021-01-28 | present |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2021-01-28 | present |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2021-01-28 | present |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2021-01-28 | present |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 9 — Asset management | 2021-01-28 | present |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 9 — Asset management | 2021-01-28 | present |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2020-10-08 | present |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2020-10-08 | present |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2020-10-08 | 2021-01-28 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2020-10-08 | 2021-01-28 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2020-09-11 | 2021-01-28 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2020-09-11 | 2021-01-28 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2020-09-11 | 2021-01-28 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 9 — Asset management | 2020-09-11 | 2021-01-28 |
| 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 | 2019-01-01 | 2020-08-21 |
| BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 法國巴黎資產管理亞洲有限公司 |
RO | Type 9 — Asset management | 2019-01-01 | 2020-08-21 |
| BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 法國巴黎資產管理亞洲有限公司 |
RO | Type 9 — Asset management | 2017-08-25 | 2018-12-31 |
| 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 | 2015-06-17 | 2018-12-31 |
| 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 | 2015-06-17 | 2017-08-25 |