Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YAN, KAN
Chinese Name of Relevant Individual
嚴侃
HKMA Registration Number
AF9805
Other HKMA Registration Number(s)
AE8152
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
19 Apr 2018
Is an Executive Officer? (Yes / No)
No
Capacity
EXECUTIVE DIRECTOR, PRIVATE WEALTH MANAGEMENT
Remarks
Registered Institution
MORGAN STANLEY BANK ASIA LIMITED
Regulated Activity
Type 2: dealing in futures contracts
First date of engagement
19 Apr 2018
Is an Executive Officer? (Yes / No)
No
Capacity
EXECUTIVE DIRECTOR, 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 19 Apr 2018
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 19 Apr 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
17 May 2013 - 23 Mar 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
17 May 2013 - 23 Mar 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
17 May 2013 - 23 Mar 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
17 May 2013 - 23 Mar 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Sep 2010 - 19 May 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
21 Sep 2010 - 19 May 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Sep 2010 - 19 May 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
21 Sep 2010 - 19 May 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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
YAN, KAN
:
Chinese Name of Relevant Individual
嚴侃
:
HKMA Registration Number
AF9805
:
Other HKMA Registration Number(s)
AE8152
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
19 Apr 2018
No
EXECUTIVE DIRECTOR, PRIVATE WEALTH MANAGEMENT
MORGAN STANLEY BANK ASIA LIMITED
Type 2: dealing in futures contracts
19 Apr 2018
No
EXECUTIVE DIRECTOR, 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)
AF9805
MORGAN STANLEY BANK ASIA LIMITED
Type 1: dealing in securities
Since 19 Apr 2018
No
AF9805
MORGAN STANLEY BANK ASIA LIMITED
Type 2: dealing in futures contracts
Since 19 Apr 2018
No
AF9805
CITIBANK, N.A.
Type 1: dealing in securities
17 May 2013 - 23 Mar 2018
No
AF9805
CITIBANK, N.A.
Type 4: advising on securities
17 May 2013 - 23 Mar 2018
No
AF9805
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
17 May 2013 - 23 Mar 2018
No
AF9805
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
17 May 2013 - 23 Mar 2018
No
AE8152
CITIBANK, N.A.
Type 1: dealing in securities
21 Sep 2010 - 19 May 2013
No
AE8152
CITIBANK, N.A.
Type 4: advising on securities
21 Sep 2010 - 19 May 2013
No
AE8152
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
21 Sep 2010 - 19 May 2013
No
AE8152
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
21 Sep 2010 - 19 May 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.