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CAO Carol Yu

曹宇
CE AOJ928Licensed IndividualExecutive OfficerNo active licence
Official SFC record

CAO Carol Yu (CE number AOJ928) is an individual licensed by the Hong Kong SFC. First licensed on 2007-01-12. Their SFC licence is currently not active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities).

Regulated Activities (on record) (2)

RA 1 Dealing in Securities
RA 4 Advising on Securities

Roles & Accreditations (1)

CapacityCompany / Institution
Executive OfficerMorgan Stanley Bank Asia Limited
摩根士丹利銀行亞洲有限公司

Licence Record (3)

2011-09-22 – 2020-02-14
Credit Suisse (Hong Kong) Limited Rep
RA 1
2011-09-22 – 2013-10-30
Credit Suisse Securities (Hong Kong) Limited Rep
RA 1
2007-01-12 – 2011-06-16
Macquarie Capital Limited Rep
RA 4

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/AOJ928