Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
MA, SIU YAN
Chinese Name of Relevant Individual
馬少欣
HKMA Registration Number
AC9403
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
BANQUE PICTET & CIE SA
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Aug 2021 - 30 Mar 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANQUE PICTET & CIE SA
Regulated Activity
Type 4: advising on securities
Effective Period
01 Aug 2021 - 30 Mar 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
PICTET & CIE (EUROPE) S.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Sep 2019 - 30 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
PICTET & CIE (EUROPE) S.A.
Regulated Activity
Type 4: advising on securities
Effective Period
03 Sep 2019 - 30 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
29 May 2015 - 25 Jul 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
29 May 2015 - 25 Jul 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Feb 2015 - 30 Apr 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
02 Feb 2015 - 30 Apr 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK MORGAN STANLEY AG
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Jul 2014 - 30 Apr 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK MORGAN STANLEY AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
15 Jul 2014 - 30 Apr 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Aug 2013 - 03 Jul 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK MORGAN STANLEY AG
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Feb 2012 - 28 Sep 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK MORGAN STANLEY AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
01 Feb 2012 - 28 Sep 2012
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
16 Sep 2009 - 22 Dec 2009
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
16 May 2007 - 22 Dec 2009
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 20
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
MA, SIU YAN
:
Chinese Name of Relevant Individual
馬少欣
:
HKMA Registration Number
AC9403
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC9403
BANQUE PICTET & CIE SA
Type 1: dealing in securities
01 Aug 2021 - 30 Mar 2025
No
AC9403
BANQUE PICTET & CIE SA
Type 4: advising on securities
01 Aug 2021 - 30 Mar 2025
No
AC9403
PICTET & CIE (EUROPE) S.A.
Type 1: dealing in securities
03 Sep 2019 - 30 Jul 2021
No
AC9403
PICTET & CIE (EUROPE) S.A.
Type 4: advising on securities
03 Sep 2019 - 30 Jul 2021
No
AC9403
UBS AG
Type 1: dealing in securities
29 May 2015 - 25 Jul 2019
No
AC9403
UBS AG
Type 4: advising on securities
29 May 2015 - 25 Jul 2019
No
AC9403
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
02 Feb 2015 - 30 Apr 2015
No
AC9403
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 2: dealing in futures contracts
02 Feb 2015 - 30 Apr 2015
No
AC9403
BANK MORGAN STANLEY AG
Type 1: dealing in securities
15 Jul 2014 - 30 Apr 2015
No
AC9403
BANK MORGAN STANLEY AG
Type 2: dealing in futures contracts
15 Jul 2014 - 30 Apr 2015
No
AC9403
UBS AG
Type 1: dealing in securities
28 Aug 2013 - 03 Jul 2014
No
AC9403
BANK MORGAN STANLEY AG
Type 1: dealing in securities
01 Feb 2012 - 28 Sep 2012
No
AC9403
BANK MORGAN STANLEY AG
Type 2: dealing in futures contracts
01 Feb 2012 - 28 Sep 2012
No
AC9403
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
16 Sep 2009 - 22 Dec 2009
No
AC9403
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
16 May 2007 - 22 Dec 2009
No
AC9403
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
01 Aug 2009 - 02 Aug 2009
No
AC9403
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
11 Nov 2006 - 05 Mar 2007
No
AC9403
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
11 Nov 2006 - 05 Mar 2007
No
AC9403
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
19 May 2006 - 13 Jul 2006
No
AC9403
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
19 May 2006 - 13 Jul 2006
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.