Senior Manager, Investment Products
SECURITIES AND FUTURES COMMISSION
Carol is a senior manager of the Investment Products Division of the Hong Kong Securities and Futures Commission (SFC). The Investment Products Division performs gatekeeping functions in authorising investment products and monitoring compliance with disclosure and other requirements.
Carol focuses on authorising publicly offered collective investment schemes, including unit trusts and mutual funds. She has also been actively involved in the formulation and implementation of policies relating to the regulation of the asset management industry, especially initiatives aiming to developing Hong Kong into a green and sustainable finance centre. Prior to joining the SFC, she worked in an international accounting firm.