Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIM, SAY KEAT
Chinese Name of Relevant Individual
林世杰
HKMA Registration Number
AC9516
Other HKMA Registration Number(s)
AE5453
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
NATIXIS
Regulated Activity
Type 1: dealing in securities
First date of engagement
18 Mar 2023
Is an Executive Officer? (Yes / No)
No
Capacity
STRATEGIC EQUITY CAPITAL MARKETS
Remarks
Registered Institution
NATIXIS
Regulated Activity
Type 4: advising on securities
First date of engagement
18 Mar 2023
Is an Executive Officer? (Yes / No)
No
Capacity
STRATEGIC EQUITY CAPITAL MARKETS
Remarks
Registered Institution
NATIXIS
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
15 Jun 2023
Is an Executive Officer? (Yes / No)
No
Capacity
STRATEGIC EQUITY CAPITAL MARKETS
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
NATIXIS
SFC CE number
AGJ912
Business Address
LEVEL 72, UNITS 7101-7103A, 7105-7107A, 7108, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
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
NATIXIS
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 15 Jun 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NATIXIS
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 18 Mar 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NATIXIS
Regulated Activity
Type 4: advising on securities
Effective Period
Since 18 Mar 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Feb 2010 - 09 Aug 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
06 Feb 2010 - 09 Aug 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
06 Feb 2010 - 09 Aug 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Feb 2010 - 09 Aug 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
06 Feb 2010 - 09 Aug 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 6: advising on corporate finance
Effective Period
06 Feb 2010 - 09 Aug 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
29 May 2006 - 07 Feb 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
29 May 2006 - 07 Feb 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
29 May 2006 - 07 Feb 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
29 May 2006 - 07 Feb 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
29 May 2006 - 07 Feb 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 6: advising on corporate finance
Effective Period
29 May 2006 - 07 Feb 2010
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 15
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, SAY KEAT
:
Chinese Name of Relevant Individual
林世杰
:
HKMA Registration Number
AC9516
:
Other HKMA Registration Number(s)
AE5453
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
NATIXIS
Type 1: dealing in securities
18 Mar 2023
No
STRATEGIC EQUITY CAPITAL MARKETS
NATIXIS
Type 4: advising on securities
18 Mar 2023
No
STRATEGIC EQUITY CAPITAL MARKETS
NATIXIS
Type 6: advising on corporate finance
15 Jun 2023
No
STRATEGIC EQUITY CAPITAL MARKETS
Name of Registered Institution
SFC CE number
Business Address
NATIXIS
AGJ912
LEVEL 72, UNITS 7101-7103A, 7105-7107A, 7108, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC9516
NATIXIS
Type 6: advising on corporate finance
Since 15 Jun 2023
No
AC9516
NATIXIS
Type 1: dealing in securities
Since 18 Mar 2023
No
AC9516
NATIXIS
Type 4: advising on securities
Since 18 Mar 2023
No
AE5453
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
06 Feb 2010 - 09 Aug 2010
No
AE5453
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
06 Feb 2010 - 09 Aug 2010
No
AE5453
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
06 Feb 2010 - 09 Aug 2010
No
AE5453
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
06 Feb 2010 - 09 Aug 2010
No
AE5453
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
06 Feb 2010 - 09 Aug 2010
No
AE5453
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
06 Feb 2010 - 09 Aug 2010
No
AC9516
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
29 May 2006 - 07 Feb 2010
No
AC9516
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
29 May 2006 - 07 Feb 2010
No
AC9516
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
29 May 2006 - 07 Feb 2010
No
AC9516
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
29 May 2006 - 07 Feb 2010
No
AC9516
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
29 May 2006 - 07 Feb 2010
No
AC9516
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
29 May 2006 - 07 Feb 2010
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.