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NG Lai Man, Carmen

吳麗文
CE AFT874Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

NG Lai Man, Carmen (CE number AFT874) is an individual licensed by the Hong Kong SFC. First licensed on 2007-06-13. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerRedwood Asset Management Limited
紅木林資產管理有限公司

Licence Record (4)

2019-12-12 – present Current
Redwood Asset Management Limited RO
RA 1 RA 4 RA 9
2018-05-10 – 2019-03-11
Hong Kong Asset Management Limited RO
RA 4 RA 9
2014-03-11 – 2019-03-11
Hong Kong Asset Management Limited Rep
RA 1 RA 4 RA 9
2007-06-13 – 2007-12-24
Optima Capital Limited Rep
RA 6

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/AFT874