Caroline Yu Maurer
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. This person has 11.1 years of SFC licence history. Total licence records on file: 19.
Information
- LinkedIn:
- Email:
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 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Caroline Yu Maurer 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.