Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, SI IN
Chinese Name of Relevant Individual
HKMA Registration Number
AF8667
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
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Jan 2017 - 18 Jan 2017
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
17 Jan 2017 - 18 Jan 2017
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
17 Jan 2017 - 18 Jan 2017
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
17 Jan 2017 - 18 Jan 2017
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
17 Jan 2017 - 18 Jan 2017
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
17 Jan 2017 - 18 Jan 2017
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 Jan 2013 - 31 Jul 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
15 Jan 2013 - 31 Jul 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
15 Jan 2013 - 31 Jul 2014
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
15 Jan 2013 - 31 Jul 2014
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
15 Jan 2013 - 31 Jul 2014
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
15 Jan 2013 - 31 Jul 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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
LEE, SI IN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF8667
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF8667
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
17 Jan 2017 - 18 Jan 2017
No
AF8667
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
17 Jan 2017 - 18 Jan 2017
No
AF8667
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
17 Jan 2017 - 18 Jan 2017
No
AF8667
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
17 Jan 2017 - 18 Jan 2017
No
AF8667
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
17 Jan 2017 - 18 Jan 2017
No
AF8667
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
17 Jan 2017 - 18 Jan 2017
No
AF8667
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
15 Jan 2013 - 31 Jul 2014
No
AF8667
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
15 Jan 2013 - 31 Jul 2014
No
AF8667
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
15 Jan 2013 - 31 Jul 2014
No
AF8667
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
15 Jan 2013 - 31 Jul 2014
No
AF8667
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
15 Jan 2013 - 31 Jul 2014
No
AF8667
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
15 Jan 2013 - 31 Jul 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.