Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YEN, JASON JAMES
Chinese Name of Relevant Individual
嚴嘉浩
HKMA Registration Number
AA1322
Current Registration
Not Applicable
Business Address
Not Applicable
Conditions
Not Applicable
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY BANK ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Mar 2019 - 04 Jun 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY BANK ASIA LIMITED
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
15 Mar 2019 - 04 Jun 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Aug 2018 - 11 Jan 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
28 Aug 2018 - 11 Jan 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Sep 2016 - 06 Jul 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
30 Sep 2016 - 06 Jul 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Apr 2013 - 30 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 4: advising on securities
Effective Period
10 Apr 2013 - 30 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE (SUISSE) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Apr 2012 - 25 Mar 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE (SUISSE) SA
Regulated Activity
Type 9: asset management
Effective Period
19 Apr 2012 - 25 Mar 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Aug 2011 - 09 Apr 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA INTERNATIONAL LIMITED
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
27 Aug 2011 - 09 Apr 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
27 Aug 2011 - 09 Apr 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Aug 2006 - 26 Jan 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Feb 2004 - 11 Apr 2006
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 18
Public Disciplinary Actions
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.
:
Name of Relevant Individual
YEN, JASON JAMES
:
Chinese Name of Relevant Individual
嚴嘉浩
:
HKMA Registration Number
AA1322
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1322
MORGAN STANLEY BANK ASIA LIMITED
Type 1: dealing in securities
15 Mar 2019 - 04 Jun 2020
No
AA1322
MORGAN STANLEY BANK ASIA LIMITED
Type 2: dealing in futures contracts
15 Mar 2019 - 04 Jun 2020
No
AA1322
CREDIT SUISSE AG
Type 1: dealing in securities
28 Aug 2018 - 11 Jan 2019
No
AA1322
CREDIT SUISSE AG
Type 4: advising on securities
28 Aug 2018 - 11 Jan 2019
No
AA1322
BNP PARIBAS
Type 1: dealing in securities
30 Sep 2016 - 06 Jul 2018
No
AA1322
BNP PARIBAS
Type 4: advising on securities
30 Sep 2016 - 06 Jul 2018
No
AA1322
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
10 Apr 2013 - 30 Sep 2016
No
AA1322
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
10 Apr 2013 - 30 Sep 2016
No
AA1322
CREDIT AGRICOLE (SUISSE) SA
Type 1: dealing in securities
19 Apr 2012 - 25 Mar 2013
No
AA1322
CREDIT AGRICOLE (SUISSE) SA
Type 9: asset management
19 Apr 2012 - 25 Mar 2013
No
AA1322
BANK OF CHINA INTERNATIONAL LIMITED
Type 1: dealing in securities
27 Aug 2011 - 09 Apr 2012
No
AA1322
BANK OF CHINA INTERNATIONAL LIMITED
Type 2: dealing in futures contracts
27 Aug 2011 - 09 Apr 2012
No
AA1322
BANK OF CHINA INTERNATIONAL LIMITED
Type 4: advising on securities
27 Aug 2011 - 09 Apr 2012
No
AA1322
UBS AG
Type 1: dealing in securities
22 Aug 2006 - 26 Jan 2010
No
AA1322
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
13 Feb 2004 - 11 Apr 2006
No
AA1322
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
13 Feb 2004 - 11 Apr 2006
No
AA1322
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
13 Feb 2004 - 11 Apr 2006
No
AA1322
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 02 Feb 2004
No
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.