SFC Licences of MAURER Caroline Yu 沈昱

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution	Role	Licences	Start date	End date
HSBC Investment Funds (Hong Kong) Limited	RO	9	28 January 2021
HSBC Investment Funds (Hong Kong) Limited	RO	4	28 January 2021
HSBC Investment Funds (Hong Kong) Limited	RO	1	28 January 2021
HSBC Global Asset Management (Hong Kong) Limited	RO	9	28 January 2021
HSBC Global Asset Management (Hong Kong) Limited	RO	4	28 January 2021
HSBC Global Asset Management (Hong Kong) Limited	RO	1	28 January 2021
HSBC Investment Funds (Hong Kong) Limited	RE	1	08 October 2020	28 January 2021
HSBC Global Asset Management (Hong Kong) Limited	RE	1	08 October 2020	28 January 2021
HSBC Investment Funds (Hong Kong) Limited	RE	5	08 October 2020
HSBC Global Asset Management (Hong Kong) Limited	RE	5	08 October 2020
HSBC Investment Funds (Hong Kong) Limited	RE	9	11 September 2020	28 January 2021
HSBC Investment Funds (Hong Kong) Limited	RE	4	11 September 2020	28 January 2021
HSBC Global Asset Management (Hong Kong) Limited	RE	9	11 September 2020	28 January 2021
HSBC Global Asset Management (Hong Kong) Limited	RE	4	11 September 2020	28 January 2021
BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 法國巴黎資產管理亞洲有限公司	RO	9	01 January 2019	21 August 2020
BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 法國巴黎資產管理亞洲有限公司	RE	4	01 January 2019	21 August 2020
BNP PARIBAS ASSET MANAGEMENT ASIA Limited 法國巴黎資產管理亞洲有限公司	RO	9	25 August 2017	31 December 2018
BNP PARIBAS ASSET MANAGEMENT ASIA Limited 法國巴黎資產管理亞洲有限公司	RE	4	17 June 2015	31 December 2018
BNP PARIBAS ASSET MANAGEMENT ASIA Limited 法國巴黎資產管理亞洲有限公司	RE	9	17 June 2015	25 August 2017