Caroline Mary Higgins
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Caroline Mary Higgins ( ), a licensed former licensee with CE reference BCW430. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Northern Trust Company of Hong Kong Limited, The | RO | Type 1 — Dealing in securities | 2021-07-26 | 2023-09-25 |
| Northern Trust Company of Hong Kong Limited, The | RO | Type 2 — Dealing in futures contracts | 2021-07-26 | 2023-09-25 |
| Northern Trust Company of Hong Kong Limited, The | RO | Type 4 — Advising on securities | 2021-07-26 | 2023-09-25 |
| Northern Trust Company of Hong Kong Limited, The | RO | Type 9 — Asset management | 2021-07-26 | 2023-09-25 |
| Brown Brothers Harriman (Hong Kong) Limited |
RO | Type 1 — Dealing in securities | 2014-04-14 | 2016-06-11 |