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YAU Ka Mun, Carmen

邱嘉敏
CE ADJ396Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

YAU Ka Mun, Carmen (CE number ADJ396) is an individual licensed by the Hong Kong SFC. First licensed on 2004-08-19. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerMFG Limited
峰滙金融集團有限公司

Licence Record (8)

2025-10-03 – present Current
MFG Limited RO
RA 1 RA 2 RA 9
2017-01-06 – 2020-06-05
Luk Fook Asset Management (HK) Limited Rep
RA 9
2012-02-06 – 2025-09-30
Luk Fook Securities (HK) Limited Rep
RA 1 RA 9
2012-02-06 – 2025-09-30
Luk Fook Futures (HK) Limited Rep
RA 2
2011-01-31 – 2012-01-13
RHB Futures Hong Kong Limited Rep
RA 2
2010-09-10 – 2012-01-13
RHB Securities Hong Kong Limited Rep
RA 1
2007-09-03 – 2010-09-04
RPS Investment Limited Rep
RA 1
2004-08-19 – 2007-07-06
Wellington Management Hong Kong 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/ADJ396