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. This person has 4.3 years of SFC licence history. Total licence records on file: 5.
Information
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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 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Caroline Mary Higgins during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.