Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HO, KA YEN
Chinese Name of Relevant Individual
何嘉茵
HKMA Registration Number
AF9177
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
06 Feb 2021
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
06 Feb 2021
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 06 Feb 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 06 Feb 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
12 Apr 2019 - 08 Jan 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Nov 2014 - 04 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
14 Nov 2014 - 04 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Mar 2013 - 16 Jan 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
07 Mar 2013 - 16 Jan 2014
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
HO, KA YEN
:
Chinese Name of Relevant Individual
何嘉茵
:
HKMA Registration Number
AF9177
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
06 Feb 2021
No
ASSOCIATE, PRIVATE WEALTH MANAGEMENT
MORGAN STANLEY BANK ASIA LIMITED
Type 2: dealing in futures contracts
06 Feb 2021
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)
AF9177
MORGAN STANLEY BANK ASIA LIMITED
Type 1: dealing in securities
Since 06 Feb 2021
No
AF9177
MORGAN STANLEY BANK ASIA LIMITED
Type 2: dealing in futures contracts
Since 06 Feb 2021
No
AF9177
UBS AG
Type 1: dealing in securities
12 Apr 2019 - 08 Jan 2021
No
AF9177
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
14 Nov 2014 - 04 Nov 2018
No
AF9177
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
14 Nov 2014 - 04 Nov 2018
No
AF9177
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
07 Mar 2013 - 16 Jan 2014
No
AF9177
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
07 Mar 2013 - 16 Jan 2014
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.