Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAU, YIU TAK JAMES
Chinese Name of Relevant Individual
仇耀德
HKMA Registration Number
AH7801
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
25 Sep 2020 - 25 Jun 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
25 Sep 2020 - 25 Jun 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
04 May 2018 - 08 Nov 2019
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
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
CHAU, YIU TAK JAMES
:
Chinese Name of Relevant Individual
仇耀德
:
HKMA Registration Number
AH7801
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH7801
MORGAN STANLEY BANK ASIA LIMITED
Type 1: dealing in securities
25 Sep 2020 - 25 Jun 2021
No
AH7801
MORGAN STANLEY BANK ASIA LIMITED
Type 2: dealing in futures contracts
25 Sep 2020 - 25 Jun 2021
No
AH7801
UBS AG
Type 1: dealing in securities
04 May 2018 - 08 Nov 2019
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.