Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIAN, LIAN
Chinese Name of Relevant Individual
連漣
HKMA Registration Number
AF7442
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
24 Sep 2012
Is an Executive Officer? (Yes / No)
Yes
Capacity
MANAGING DIRECTOR, INVESTMENT BANKING
Remarks
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
24 Sep 2012
Is an Executive Officer? (Yes / No)
Yes
Capacity
MANAGING DIRECTOR, INVESTMENT BANKING
Remarks
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
24 Sep 2012
Is an Executive Officer? (Yes / No)
Yes
Capacity
MANAGING DIRECTOR, INVESTMENT BANKING
Remarks
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
First date of engagement
24 Sep 2012
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT BANKING
Remarks
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
First date of engagement
24 Sep 2012
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT BANKING
Remarks
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
24 Sep 2012
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT BANKING
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
Registered Institution
Effective Date
Description
1
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Effective Date
17 Jun 2025
Description
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
2
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Effective Date
17 Jun 2025
Description
For Type 6 regulated activity, the Executive Officer must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission, act together with another adviser (to the client) not subject to a similar condition.
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 17 Jun 2025
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 17 Jun 2025
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 17 Jun 2025
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 24 Sep 2012
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 24 Sep 2012
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
Since 24 Sep 2012
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
26 Jan 2017 - 16 Jun 2025
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
26 Jan 2017 - 16 Jun 2025
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
26 Jan 2017 - 16 Jun 2025
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
24 Nov 2014 - 25 Jan 2017
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
24 Nov 2014 - 25 Jan 2017
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
24 Nov 2014 - 25 Jan 2017
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Sep 2012 - 23 Nov 2014
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
24 Sep 2012 - 23 Nov 2014
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
24 Sep 2012 - 23 Nov 2014
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
LIAN, LIAN
:
Chinese Name of Relevant Individual
連漣
:
HKMA Registration Number
AF7442
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
24 Sep 2012
Yes
MANAGING DIRECTOR, INVESTMENT BANKING
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
24 Sep 2012
Yes
MANAGING DIRECTOR, INVESTMENT BANKING
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
24 Sep 2012
Yes
MANAGING DIRECTOR, INVESTMENT BANKING
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
24 Sep 2012
No
INVESTMENT BANKING
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
24 Sep 2012
No
INVESTMENT BANKING
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
24 Sep 2012
No
INVESTMENT BANKING
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
Registered Institution
Effective Date
Description
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
1
17 Jun 2025
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
2
17 Jun 2025
For Type 6 regulated activity, the Executive Officer must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission, act together with another adviser (to the client) not subject to a similar condition.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF7442
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
Since 17 Jun 2025
Yes
AF7442
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
Since 17 Jun 2025
Yes
AF7442
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
Since 17 Jun 2025
Yes
AF7442
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
Since 24 Sep 2012
No
AF7442
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
Since 24 Sep 2012
No
AF7442
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
Since 24 Sep 2012
No
AF7442
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
26 Jan 2017 - 16 Jun 2025
No
AF7442
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
26 Jan 2017 - 16 Jun 2025
No
AF7442
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
26 Jan 2017 - 16 Jun 2025
No
AF7442
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
24 Nov 2014 - 25 Jan 2017
Yes
AF7442
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
24 Nov 2014 - 25 Jan 2017
Yes
AF7442
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
24 Nov 2014 - 25 Jan 2017
Yes
AF7442
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
24 Sep 2012 - 23 Nov 2014
No
AF7442
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
24 Sep 2012 - 23 Nov 2014
No
AF7442
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
24 Sep 2012 - 23 Nov 2014
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.