Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
MOK, SIN YAN
Chinese Name of Relevant Individual
莫倩茵
HKMA Registration Number
AF0476
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
23 Nov 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
23 Nov 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 23 Nov 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 23 Nov 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
11 Jan 2018 - 26 Oct 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Apr 2013 - 30 Jun 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
26 Apr 2013 - 30 Jun 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Mar 2011 - 15 Apr 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
18 Mar 2011 - 15 Apr 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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
MOK, SIN YAN
:
Chinese Name of Relevant Individual
莫倩茵
:
HKMA Registration Number
AF0476
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
23 Nov 2021
No
PRIVATE WEALTH MANAGEMENT
MORGAN STANLEY BANK ASIA LIMITED
Type 2: dealing in futures contracts
23 Nov 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)
AF0476
MORGAN STANLEY BANK ASIA LIMITED
Type 1: dealing in securities
Since 23 Nov 2021
No
AF0476
MORGAN STANLEY BANK ASIA LIMITED
Type 2: dealing in futures contracts
Since 23 Nov 2021
No
AF0476
UBS AG
Type 1: dealing in securities
11 Jan 2018 - 26 Oct 2021
No
AF0476
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
26 Apr 2013 - 30 Jun 2017
No
AF0476
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
26 Apr 2013 - 30 Jun 2017
No
AF0476
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
18 Mar 2011 - 15 Apr 2013
No
AF0476
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
18 Mar 2011 - 15 Apr 2013
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.