Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAI, HONG YEE CONNIE
Chinese Name of Relevant Individual
黎康兒
HKMA Registration Number
AF3368
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
First date of engagement
02 Jan 2026
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING
Remarks
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
First date of engagement
02 Jan 2026
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING
Remarks
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
First date of engagement
02 Jan 2026
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
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
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 02 Jan 2026
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 02 Jan 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
Since 02 Jan 2026
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
12 Dec 2011 - 03 Aug 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
12 Dec 2011 - 03 Aug 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
12 Dec 2011 - 03 Aug 2018
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
03 Jan 2012 - 15 Feb 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NATIONAL AUSTRALIA BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Oct 2011 - 02 Dec 2011
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
LAI, HONG YEE CONNIE
:
Chinese Name of Relevant Individual
黎康兒
:
HKMA Registration Number
AF3368
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
02 Jan 2026
No
PRIVATE BANKING
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
02 Jan 2026
No
PRIVATE BANKING
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
02 Jan 2026
No
PRIVATE BANKING
Name of Registered Institution
SFC CE number
Business Address
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)
AF3368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
Since 02 Jan 2026
No
AF3368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
Since 02 Jan 2026
No
AF3368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
Since 02 Jan 2026
No
AF3368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
12 Dec 2011 - 03 Aug 2018
No
AF3368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
12 Dec 2011 - 03 Aug 2018
No
AF3368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
12 Dec 2011 - 03 Aug 2018
No
AF3368
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
03 Jan 2012 - 15 Feb 2016
No
AF3368
NATIONAL AUSTRALIA BANK, LIMITED
Type 1: dealing in securities
15 Oct 2011 - 02 Dec 2011
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.