Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
BALLACK, VINCENT
Chinese Name of Relevant Individual
劉文琛
HKMA Registration Number
AH2071
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
14 Jan 2020 - 01 Mar 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
14 Jan 2020 - 01 Mar 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Jan 2018 - 10 May 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
04 Jan 2018 - 10 May 2019
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
15 Jul 2016 - 19 Dec 2017
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
15 Jul 2016 - 19 Dec 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
BALLACK, VINCENT
:
Chinese Name of Relevant Individual
劉文琛
:
HKMA Registration Number
AH2071
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH2071
MORGAN STANLEY BANK ASIA LIMITED
Type 1: dealing in securities
14 Jan 2020 - 01 Mar 2021
No
AH2071
MORGAN STANLEY BANK ASIA LIMITED
Type 2: dealing in futures contracts
14 Jan 2020 - 01 Mar 2021
No
AH2071
BNP PARIBAS
Type 1: dealing in securities
04 Jan 2018 - 10 May 2019
No
AH2071
BNP PARIBAS
Type 4: advising on securities
04 Jan 2018 - 10 May 2019
No
AH2071
CREDIT SUISSE AG
Type 1: dealing in securities
15 Jul 2016 - 19 Dec 2017
No
AH2071
CREDIT SUISSE AG
Type 4: advising on securities
15 Jul 2016 - 19 Dec 2017
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.