Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HERSEY, STEVEN JAMES
Chinese Name of Relevant Individual
HKMA Registration Number
AF3797
Current Registration
Not Applicable
Business Address
Not Applicable
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
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Jan 2017 - 19 Apr 2022
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
15 Nov 2011 - 09 Aug 2016
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
15 Nov 2011 - 09 Aug 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
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
HERSEY, STEVEN JAMES
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF3797
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF3797
BNP PARIBAS
Type 1: dealing in securities
26 Jan 2017 - 19 Apr 2022
No
AF3797
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
15 Nov 2011 - 09 Aug 2016
No
AF3797
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
15 Nov 2011 - 09 Aug 2016
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.