Register of Securities Staff of AIs

Last updated on 18/06/2026
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Name of Relevant Individual
HERBERT, THOMAS WILLIAM
Chinese Name of Relevant Individual

HKMA Registration Number
AF9060
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
22 Nov 2019
Is an Executive Officer? (Yes / No)
No
Capacity
EQUITIES
Remarks
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
22 Nov 2019
Is an Executive Officer? (Yes / No)
No
Capacity
EQUITIES
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
HERBERT, THOMAS WILLIAM
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF9060
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
22 Nov 2019
No
EQUITIES
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
22 Nov 2019
No
EQUITIES