Mak, Carol Michele Kar Wai 麥嘉慧
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED | Rep | Advising on futures contracts | 2012-05-14 | 2015-08-25 | Rep | Advising on securities | 2012-05-14 | 2015-08-25 | Rep | Asset management | 2012-05-14 | 2015-08-25 | Rep | Dealing in securities | 2012-05-14 | 2015-08-25 |
| 2 | BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | Advising on securities | 2009-07-20 | 2011-11-21 |
| 3 | Credit Agricole Securities (Asia) Limited | Rep | Advising on corporate finance | 2004-06-23 | Rep | Asset management | 2004-06-23 | Rep | Advising on securities | 2004-08-27 | RO | Advising on securities | 2004-08-27 | 2005-02-16 |
| 4 | Credit Suisse (Hong Kong) Limited | Rep | Advising on securities | 2005-05-12 | 2008-12-10 |
| 5 | HSBC Global Asset Management (Hong Kong) Limited | Rep | Advising on futures contracts | 2015-11-24 | 2019-06-10 | Rep | Advising on securities | 2015-11-24 | 2019-06-10 | Rep | Asset management | 2015-11-24 | 2019-06-10 | Rep | Dealing in securities | 2015-11-24 | 2019-06-10 | Rep | Dealing in futures contracts | 2016-05-18 | 2019-06-10 |
| 6 | HSBC INVESTMENT FUNDS (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2015-11-24 | 2019-06-10 | Rep | Advising on securities | 2015-11-24 | 2019-06-10 | Rep | Asset management | 2015-11-24 | 2019-06-10 | Rep | Dealing in securities | 2015-11-24 | 2019-06-10 |
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