Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIM, NATHAN JAMES
Chinese Name of Relevant Individual
HKMA Registration Number
AI8777
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
06 Jun 2022 - 02 May 2023
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY BANK ASIA LIMITED
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
06 Jun 2022 - 02 May 2023
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY BANK ASIA LIMITED
Regulated Activity
Type 9: asset management
Effective Period
06 Jun 2022 - 02 May 2023
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY BANK ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Feb 2022 - 05 Jun 2022
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
01 Feb 2022 - 05 Jun 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY BANK ASIA LIMITED
Regulated Activity
Type 9: asset management
Effective Period
01 Feb 2022 - 05 Jun 2022
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
LIM, NATHAN JAMES
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AI8777
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI8777
MORGAN STANLEY BANK ASIA LIMITED
Type 1: dealing in securities
06 Jun 2022 - 02 May 2023
Yes
AI8777
MORGAN STANLEY BANK ASIA LIMITED
Type 2: dealing in futures contracts
06 Jun 2022 - 02 May 2023
Yes
AI8777
MORGAN STANLEY BANK ASIA LIMITED
Type 9: asset management
06 Jun 2022 - 02 May 2023
Yes
AI8777
MORGAN STANLEY BANK ASIA LIMITED
Type 1: dealing in securities
01 Feb 2022 - 05 Jun 2022
No
AI8777
MORGAN STANLEY BANK ASIA LIMITED
Type 2: dealing in futures contracts
01 Feb 2022 - 05 Jun 2022
No
AI8777
MORGAN STANLEY BANK ASIA LIMITED
Type 9: asset management
01 Feb 2022 - 05 Jun 2022
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.