Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, HO YIN
Chinese Name of Relevant Individual
李浩然
HKMA Registration Number
AC5467
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
MORGAN STANLEY BANK ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
22 Dec 2021
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE WEALTH MANAGEMENT
Remarks
Registered Institution
MORGAN STANLEY BANK ASIA LIMITED
Regulated Activity
Type 2: dealing in futures contracts
First date of engagement
22 Dec 2021
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE WEALTH MANAGEMENT
Remarks
Registered Institution
MORGAN STANLEY BANK ASIA LIMITED
Regulated Activity
Type 9: asset management
First date of engagement
22 Dec 2021
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE WEALTH MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
MORGAN STANLEY BANK ASIA LIMITED
SFC CE number
BDM672
Business Address
LEVEL 31, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
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
Since 22 Dec 2021
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
Since 22 Dec 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY BANK ASIA LIMITED
Regulated Activity
Type 9: asset management
Effective Period
Since 22 Dec 2021
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
21 Sep 2017 - 25 Aug 2021
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
21 Sep 2017 - 25 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Apr 2012 - 18 Aug 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
26 Apr 2012 - 18 Aug 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
26 Apr 2012 - 18 Aug 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Apr 2005 - 05 Jun 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
26 Apr 2005 - 05 Jun 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
26 Apr 2005 - 05 Jun 2009
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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
LEE, HO YIN
:
Chinese Name of Relevant Individual
李浩然
:
HKMA Registration Number
AC5467
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
MORGAN STANLEY BANK ASIA LIMITED
Type 1: dealing in securities
22 Dec 2021
No
PRIVATE WEALTH MANAGEMENT
MORGAN STANLEY BANK ASIA LIMITED
Type 2: dealing in futures contracts
22 Dec 2021
No
PRIVATE WEALTH MANAGEMENT
MORGAN STANLEY BANK ASIA LIMITED
Type 9: asset management
22 Dec 2021
No
PRIVATE WEALTH MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
MORGAN STANLEY BANK ASIA LIMITED
BDM672
LEVEL 31, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC5467
MORGAN STANLEY BANK ASIA LIMITED
Type 1: dealing in securities
Since 22 Dec 2021
No
AC5467
MORGAN STANLEY BANK ASIA LIMITED
Type 2: dealing in futures contracts
Since 22 Dec 2021
No
AC5467
MORGAN STANLEY BANK ASIA LIMITED
Type 9: asset management
Since 22 Dec 2021
No
AC5467
CREDIT SUISSE AG
Type 1: dealing in securities
21 Sep 2017 - 25 Aug 2021
No
AC5467
CREDIT SUISSE AG
Type 4: advising on securities
21 Sep 2017 - 25 Aug 2021
No
AC5467
HANG SENG BANK, LIMITED
Type 1: dealing in securities
26 Apr 2012 - 18 Aug 2017
No
AC5467
HANG SENG BANK, LIMITED
Type 4: advising on securities
26 Apr 2012 - 18 Aug 2017
No
AC5467
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
26 Apr 2012 - 18 Aug 2017
No
AC5467
HANG SENG BANK, LIMITED
Type 1: dealing in securities
26 Apr 2005 - 05 Jun 2009
No
AC5467
HANG SENG BANK, LIMITED
Type 4: advising on securities
26 Apr 2005 - 05 Jun 2009
No
AC5467
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
26 Apr 2005 - 05 Jun 2009
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.