Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SHAM, HOI YAN
Chinese Name of Relevant Individual
沈凱茵
HKMA Registration Number
AF4635
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
02 Feb 2015 - 15 Mar 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
02 Feb 2015 - 15 Mar 2021
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
30 Jan 2012 - 29 May 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
30 Jan 2012 - 29 May 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
SHAM, HOI YAN
:
Chinese Name of Relevant Individual
沈凱茵
:
HKMA Registration Number
AF4635
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF4635
MORGAN STANLEY BANK ASIA LIMITED
Type 1: dealing in securities
02 Feb 2015 - 15 Mar 2021
No
AF4635
MORGAN STANLEY BANK ASIA LIMITED
Type 2: dealing in futures contracts
02 Feb 2015 - 15 Mar 2021
No
AF4635
BANK MORGAN STANLEY AG
Type 1: dealing in securities
30 Jan 2012 - 29 May 2015
No
AF4635
BANK MORGAN STANLEY AG
Type 2: dealing in futures contracts
30 Jan 2012 - 29 May 2015
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.