Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
ZAO, AUDREY
Chinese Name of Relevant Individual
邵志佳
HKMA Registration Number
AC9925
Other HKMA Registration Number(s)
AD0798
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
29 Mar 2010
Is an Executive Officer? (Yes / No)
No
Capacity
EQUITIES
Remarks
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
29 Mar 2010
Is an Executive Officer? (Yes / No)
No
Capacity
EQUITIES
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
SFC CE number
AAJ321
Business Address
18/F & 23-29/F, CHATER HOUSE, 8 CONNAUGHT ROAD CENTRAL, HONG KONG
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
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 29 Mar 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
Since 29 Mar 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
29 Mar 2010 - 18 May 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
11 Jun 2007 - 15 Jun 2009
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
11 Jun 2007 - 15 Jun 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
11 Jun 2007 - 15 Jun 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Sep 2006 - 09 Mar 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Jul 2006 - 31 Aug 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 4: advising on securities
Effective Period
03 Jul 2006 - 31 Aug 2006
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
ZAO, AUDREY
:
Chinese Name of Relevant Individual
邵志佳
:
HKMA Registration Number
AC9925
:
Other HKMA Registration Number(s)
AD0798
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
29 Mar 2010
No
EQUITIES
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
29 Mar 2010
No
EQUITIES
Name of Registered Institution
SFC CE number
Business Address
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
AAJ321
18/F & 23-29/F, CHATER HOUSE, 8 CONNAUGHT ROAD CENTRAL, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC9925
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
Since 29 Mar 2010
No
AC9925
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
Since 29 Mar 2010
No
AC9925
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 7: providing automated trading services
29 Mar 2010 - 18 May 2010
No
AC9925
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
11 Jun 2007 - 15 Jun 2009
No
AC9925
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
11 Jun 2007 - 15 Jun 2009
No
AC9925
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 7: providing automated trading services
11 Jun 2007 - 15 Jun 2009
No
AD0798
ABN AMRO BANK N.V.
Type 1: dealing in securities
07 Sep 2006 - 09 Mar 2007
No
AC9925
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
03 Jul 2006 - 31 Aug 2006
No
AC9925
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
03 Jul 2006 - 31 Aug 2006
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.