Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
MAK, LOK KI
Chinese Name of Relevant Individual
麥洛琪
HKMA Registration Number
AF3141
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
19 Jun 2018
Is an Executive Officer? (Yes / No)
No
Capacity
SALES AND MARKETING
Remarks
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
19 Jun 2018
Is an Executive Officer? (Yes / No)
No
Capacity
SALES AND MARKETING
Remarks
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 7: providing automated trading services
First date of engagement
19 Jun 2018
Is an Executive Officer? (Yes / No)
No
Capacity
SALES AND MARKETING
Remarks
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
First date of engagement
19 Jun 2018
Is an Executive Officer? (Yes / No)
No
Capacity
SALES AND MARKETING
Remarks
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
First date of engagement
19 Jun 2018
Is an Executive Officer? (Yes / No)
No
Capacity
SALES AND MARKETING
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
Name of Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
SFC CE number
AAL996
Business Address
18/F & 20-29/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 19 Jun 2018
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 19 Jun 2018
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
Since 19 Jun 2018
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
Since 19 Jun 2018
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
Since 19 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANCO BILBAO VIZCAYA ARGENTARIA S.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Feb 2015 - 11 Oct 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF TOKYO-MITSUBISHI UFJ, LTD. (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Apr 2013 - 04 Jan 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF TOKYO-MITSUBISHI UFJ, LTD. (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
19 Apr 2013 - 04 Jan 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF TOKYO-MITSUBISHI UFJ, LTD. (THE)
Regulated Activity
Type 6: advising on corporate finance
Effective Period
19 Apr 2013 - 16 Jun 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Sep 2011 - 26 Mar 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
28 Sep 2011 - 26 Mar 2012
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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
MAK, LOK KI
:
Chinese Name of Relevant Individual
麥洛琪
:
HKMA Registration Number
AF3141
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
19 Jun 2018
No
SALES AND MARKETING
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
19 Jun 2018
No
SALES AND MARKETING
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 7: providing automated trading services
19 Jun 2018
No
SALES AND MARKETING
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
19 Jun 2018
No
SALES AND MARKETING
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
19 Jun 2018
No
SALES AND MARKETING
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
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
AAL996
18/F & 20-29/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)
AF3141
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
Since 19 Jun 2018
No
AF3141
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
Since 19 Jun 2018
No
AF3141
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 7: providing automated trading services
Since 19 Jun 2018
No
AF3141
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
Since 19 Jun 2018
No
AF3141
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
Since 19 Jun 2018
No
AF3141
BANCO BILBAO VIZCAYA ARGENTARIA S.A.
Type 1: dealing in securities
13 Feb 2015 - 11 Oct 2015
No
AF3141
BANK OF TOKYO-MITSUBISHI UFJ, LTD. (THE)
Type 1: dealing in securities
19 Apr 2013 - 04 Jan 2015
No
AF3141
BANK OF TOKYO-MITSUBISHI UFJ, LTD. (THE)
Type 4: advising on securities
19 Apr 2013 - 04 Jan 2015
No
AF3141
BANK OF TOKYO-MITSUBISHI UFJ, LTD. (THE)
Type 6: advising on corporate finance
19 Apr 2013 - 16 Jun 2014
No
AF3141
HANG SENG BANK, LIMITED
Type 1: dealing in securities
28 Sep 2011 - 26 Mar 2012
No
AF3141
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
28 Sep 2011 - 26 Mar 2012
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.