Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SO, FUNG KWAN
Chinese Name of Relevant Individual
蘇鳳君
HKMA Registration Number
AF5586
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
20 Sep 2022
Is an Executive Officer? (Yes / No)
No
Capacity
ASSOCIATE, PRIVATE WEALTH MANAGEMENT
Remarks
Registered Institution
MORGAN STANLEY BANK ASIA LIMITED
Regulated Activity
Type 2: dealing in futures contracts
First date of engagement
20 Sep 2022
Is an Executive Officer? (Yes / No)
No
Capacity
ASSOCIATE, 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 20 Sep 2022
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 20 Sep 2022
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
07 Aug 2020 - 06 Sep 2022
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
07 Aug 2020 - 06 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Jul 2018 - 03 Jul 2020
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
01 Jun 2017 - 23 Feb 2018
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
01 Jun 2017 - 23 Feb 2018
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
12 Sep 2016 - 12 Mar 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
12 May 2014 - 12 Mar 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
12 May 2014 - 12 Mar 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Apr 2012 - 22 Jun 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
06 Apr 2012 - 22 Jun 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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
SO, FUNG KWAN
:
Chinese Name of Relevant Individual
蘇鳳君
:
HKMA Registration Number
AF5586
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
20 Sep 2022
No
ASSOCIATE, PRIVATE WEALTH MANAGEMENT
MORGAN STANLEY BANK ASIA LIMITED
Type 2: dealing in futures contracts
20 Sep 2022
No
ASSOCIATE, 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)
AF5586
MORGAN STANLEY BANK ASIA LIMITED
Type 1: dealing in securities
Since 20 Sep 2022
No
AF5586
MORGAN STANLEY BANK ASIA LIMITED
Type 2: dealing in futures contracts
Since 20 Sep 2022
No
AF5586
CREDIT SUISSE AG
Type 1: dealing in securities
07 Aug 2020 - 06 Sep 2022
No
AF5586
CREDIT SUISSE AG
Type 4: advising on securities
07 Aug 2020 - 06 Sep 2022
No
AF5586
UBS AG
Type 1: dealing in securities
04 Jul 2018 - 03 Jul 2020
No
AF5586
BANK OF CHINA INTERNATIONAL LIMITED
Type 1: dealing in securities
01 Jun 2017 - 23 Feb 2018
No
AF5586
BANK OF CHINA INTERNATIONAL LIMITED
Type 2: dealing in futures contracts
01 Jun 2017 - 23 Feb 2018
No
AF5586
HANG SENG BANK, LIMITED
Type 4: advising on securities
12 Sep 2016 - 12 Mar 2017
No
AF5586
HANG SENG BANK, LIMITED
Type 1: dealing in securities
12 May 2014 - 12 Mar 2017
No
AF5586
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
12 May 2014 - 12 Mar 2017
No
AF5586
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
06 Apr 2012 - 22 Jun 2013
No
AF5586
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
06 Apr 2012 - 22 Jun 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.