Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
MATHUR, PUNEET
Chinese Name of Relevant Individual
HKMA Registration Number
AF9780
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
24 Mar 2025 - 28 Mar 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
24 Mar 2025 - 28 Mar 2025
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
24 Mar 2025 - 28 Mar 2025
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
24 Mar 2025 - 28 Mar 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
07 Feb 2025 - 12 Feb 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
07 Feb 2025 - 12 Feb 2025
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
07 Feb 2025 - 12 Feb 2025
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
07 Feb 2025 - 12 Feb 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
30 Oct 2024 - 01 Nov 2024
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
30 Oct 2024 - 01 Nov 2024
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
30 Oct 2024 - 01 Nov 2024
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
30 Oct 2024 - 01 Nov 2024
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
10 Apr 2024 - 15 Apr 2024
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
10 Apr 2024 - 15 Apr 2024
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
10 Apr 2024 - 15 Apr 2024
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 35
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
MATHUR, PUNEET
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF9780
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF9780
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
24 Mar 2025 - 28 Mar 2025
No
AF9780
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
24 Mar 2025 - 28 Mar 2025
No
AF9780
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
24 Mar 2025 - 28 Mar 2025
No
AF9780
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
24 Mar 2025 - 28 Mar 2025
No
AF9780
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
07 Feb 2025 - 12 Feb 2025
No
AF9780
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
07 Feb 2025 - 12 Feb 2025
No
AF9780
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
07 Feb 2025 - 12 Feb 2025
No
AF9780
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
07 Feb 2025 - 12 Feb 2025
No
AF9780
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
30 Oct 2024 - 01 Nov 2024
No
AF9780
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
30 Oct 2024 - 01 Nov 2024
No
AF9780
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
30 Oct 2024 - 01 Nov 2024
No
AF9780
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
30 Oct 2024 - 01 Nov 2024
No
AF9780
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
10 Apr 2024 - 15 Apr 2024
No
AF9780
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
10 Apr 2024 - 15 Apr 2024
No
AF9780
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
10 Apr 2024 - 15 Apr 2024
No
AF9780
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
10 Apr 2024 - 15 Apr 2024
No
AF9780
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
21 Feb 2024 - 23 Feb 2024
No
AF9780
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
21 Feb 2024 - 23 Feb 2024
No
AF9780
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
21 Feb 2024 - 23 Feb 2024
No
AF9780
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
21 Feb 2024 - 23 Feb 2024
No
AF9780
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
01 Feb 2024 - 06 Feb 2024
No
AF9780
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
01 Feb 2024 - 06 Feb 2024
No
AF9780
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
01 Feb 2024 - 06 Feb 2024
No
AF9780
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
01 Feb 2024 - 06 Feb 2024
No
AF9780
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
14 Jul 2023 - 01 Aug 2023
No
AF9780
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
14 Jul 2023 - 01 Aug 2023
No
AF9780
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
14 Jul 2023 - 01 Aug 2023
No
AF9780
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
14 Jul 2023 - 01 Aug 2023
No
AF9780
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
03 Oct 2017 - 30 Jun 2023
No
AF9780
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
03 Oct 2017 - 30 Jun 2023
No
AF9780
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
03 Oct 2017 - 30 Jun 2023
No
AF9780
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
03 Oct 2017 - 30 Jun 2023
No
AF9780
UBS AG
Type 1: dealing in securities
15 May 2013 - 02 Aug 2017
No
AF9780
UBS AG
Type 4: advising on securities
15 May 2013 - 02 Aug 2017
No
AF9780
UBS AG
Type 7: providing automated trading services
15 May 2013 - 02 Aug 2017
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.