Register of Securities Staff of AIs

Last updated on 18/06/2026
< SEARCH AGAIN
Name of Relevant Individual
CAO, CAROL YU
Chinese Name of Relevant Individual

曹宇
HKMA Registration Number
AI8997
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
MORGAN STANLEY BANK ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
09 Mar 2022
Is an Executive Officer? (Yes / No)
No
Capacity
EXECUTIVE DIRECTOR, PRIVATE WEALTH MANAGEMENT
Remarks
Registered Institution
MORGAN STANLEY BANK ASIA LIMITED
Regulated Activity
Type 2: dealing in futures contracts
First date of engagement
09 Mar 2022
Is an Executive Officer? (Yes / No)
No
Capacity
EXECUTIVE DIRECTOR, PRIVATE WEALTH MANAGEMENT
Remarks
Registered Institution
MORGAN STANLEY BANK ASIA LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
09 Mar 2022
Is an Executive Officer? (Yes / No)
Yes
Capacity
PRIVATE WEALTH MANAGEMENT
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
CAO, CAROL YU
:
Chinese Name of Relevant Individual
曹宇
:
HKMA Registration Number
AI8997
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
MORGAN STANLEY BANK ASIA LIMITED
Type 1: dealing in securities
09 Mar 2022
No
EXECUTIVE DIRECTOR, PRIVATE WEALTH MANAGEMENT
MORGAN STANLEY BANK ASIA LIMITED
Type 2: dealing in futures contracts
09 Mar 2022
No
EXECUTIVE DIRECTOR, PRIVATE WEALTH MANAGEMENT
MORGAN STANLEY BANK ASIA LIMITED
Type 4: advising on securities
09 Mar 2022
Yes
PRIVATE WEALTH MANAGEMENT