Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YU, YIWEN
Chinese Name of Relevant Individual
于逸聞
HKMA Registration Number
AG5449
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
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Nov 2022 - 14 Jul 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 4: advising on securities
Effective Period
09 Nov 2022 - 14 Jul 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Jun 2016 - 16 Sep 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
23 Jun 2016 - 16 Sep 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Nov 2014 - 11 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
10 Nov 2014 - 11 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
10 Nov 2014 - 11 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Nov 2014 - 15 Feb 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
YU, YIWEN
:
Chinese Name of Relevant Individual
于逸聞
:
HKMA Registration Number
AG5449
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG5449
ROYAL BANK OF CANADA
Type 1: dealing in securities
09 Nov 2022 - 14 Jul 2023
No
AG5449
ROYAL BANK OF CANADA
Type 4: advising on securities
09 Nov 2022 - 14 Jul 2023
No
AG5449
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
23 Jun 2016 - 16 Sep 2019
No
AG5449
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 2: dealing in futures contracts
23 Jun 2016 - 16 Sep 2019
No
AG5449
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
10 Nov 2014 - 11 Apr 2016
No
AG5449
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
10 Nov 2014 - 11 Apr 2016
No
AG5449
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
10 Nov 2014 - 11 Apr 2016
No
AG5449
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
10 Nov 2014 - 15 Feb 2016
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.