Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIM, MARK DAO XIANG
Chinese Name of Relevant Individual
林道祥
HKMA Registration Number
AG7601
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
11 Apr 2019 - 19 May 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Sep 2016 - 21 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
09 Sep 2016 - 21 Nov 2018
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
19 May 2015 - 03 Aug 2016
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
19 May 2015 - 03 Aug 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
LIM, MARK DAO XIANG
:
Chinese Name of Relevant Individual
林道祥
:
HKMA Registration Number
AG7601
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG7601
MORGAN STANLEY BANK ASIA LIMITED
Type 1: dealing in securities
11 Apr 2019 - 19 May 2021
No
AG7601
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
09 Sep 2016 - 21 Nov 2018
No
AG7601
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
09 Sep 2016 - 21 Nov 2018
No
AG7601
CREDIT SUISSE AG
Type 1: dealing in securities
19 May 2015 - 03 Aug 2016
No
AG7601
CREDIT SUISSE AG
Type 4: advising on securities
19 May 2015 - 03 Aug 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.