Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHEN, HENG
Chinese Name of Relevant Individual
HKMA Registration Number
AF9842
Other HKMA Registration Number(s)
AD7186, AD8299
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
01 Jun 2026 - 03 Jun 2026
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
01 Jun 2026 - 03 Jun 2026
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
01 Jun 2026 - 03 Jun 2026
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
01 Jun 2026 - 03 Jun 2026
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
01 Apr 2026 - 08 Apr 2026
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
01 Apr 2026 - 08 Apr 2026
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
01 Apr 2026 - 08 Apr 2026
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
01 Apr 2026 - 08 Apr 2026
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
05 Mar 2026 - 06 Mar 2026
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
05 Mar 2026 - 06 Mar 2026
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
05 Mar 2026 - 06 Mar 2026
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
05 Mar 2026 - 06 Mar 2026
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
16 Jan 2026 - 21 Jan 2026
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
16 Jan 2026 - 21 Jan 2026
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
16 Jan 2026 - 21 Jan 2026
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 127
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
CHEN, HENG
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF9842
:
Other HKMA Registration Number(s)
AD7186, AD8299
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
01 Jun 2026 - 03 Jun 2026
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
01 Jun 2026 - 03 Jun 2026
No
AD8299
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
01 Jun 2026 - 03 Jun 2026
No
AD8299
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
01 Jun 2026 - 03 Jun 2026
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
01 Apr 2026 - 08 Apr 2026
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
01 Apr 2026 - 08 Apr 2026
No
AD8299
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
01 Apr 2026 - 08 Apr 2026
No
AD8299
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
01 Apr 2026 - 08 Apr 2026
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
05 Mar 2026 - 06 Mar 2026
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
05 Mar 2026 - 06 Mar 2026
No
AD8299
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
05 Mar 2026 - 06 Mar 2026
No
AD8299
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
05 Mar 2026 - 06 Mar 2026
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
16 Jan 2026 - 21 Jan 2026
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
16 Jan 2026 - 21 Jan 2026
No
AD8299
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
16 Jan 2026 - 21 Jan 2026
No
AD8299
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
16 Jan 2026 - 21 Jan 2026
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
12 Dec 2025 - 17 Dec 2025
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
12 Dec 2025 - 17 Dec 2025
No
AD8299
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
12 Dec 2025 - 17 Dec 2025
No
AD8299
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
12 Dec 2025 - 17 Dec 2025
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
22 Oct 2025 - 24 Oct 2025
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
22 Oct 2025 - 24 Oct 2025
No
AD8299
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
22 Oct 2025 - 24 Oct 2025
No
AD8299
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
22 Oct 2025 - 24 Oct 2025
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
02 Jun 2025 - 04 Jun 2025
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
02 Jun 2025 - 04 Jun 2025
No
AD8299
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
02 Jun 2025 - 04 Jun 2025
No
AD8299
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
02 Jun 2025 - 04 Jun 2025
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
26 Mar 2025 - 28 Mar 2025
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
26 Mar 2025 - 28 Mar 2025
No
AD8299
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
26 Mar 2025 - 28 Mar 2025
No
AD8299
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
26 Mar 2025 - 28 Mar 2025
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
07 Feb 2025 - 13 Feb 2025
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
07 Feb 2025 - 13 Feb 2025
No
AD8299
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
07 Feb 2025 - 13 Feb 2025
No
AD8299
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
07 Feb 2025 - 13 Feb 2025
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
02 Sep 2024 - 06 Sep 2024
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
02 Sep 2024 - 06 Sep 2024
No
AD8299
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
02 Sep 2024 - 06 Sep 2024
No
AD8299
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
02 Sep 2024 - 06 Sep 2024
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
07 Jun 2024 - 13 Jun 2024
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
07 Jun 2024 - 13 Jun 2024
No
AD8299
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
07 Jun 2024 - 13 Jun 2024
No
AD8299
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
07 Jun 2024 - 13 Jun 2024
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
21 May 2024 - 22 May 2024
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
21 May 2024 - 22 May 2024
No
AD8299
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
21 May 2024 - 22 May 2024
No
AD8299
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
21 May 2024 - 22 May 2024
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
15 Mar 2024 - 22 Mar 2024
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
15 Mar 2024 - 22 Mar 2024
No
AD8299
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
15 Mar 2024 - 22 Mar 2024
No
AD8299
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
15 Mar 2024 - 22 Mar 2024
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
07 Nov 2023 - 10 Nov 2023
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
07 Nov 2023 - 10 Nov 2023
No
AD8299
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
07 Nov 2023 - 10 Nov 2023
No
AD8299
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
07 Nov 2023 - 10 Nov 2023
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
13 Oct 2023 - 20 Oct 2023
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
13 Oct 2023 - 20 Oct 2023
No
AD8299
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
13 Oct 2023 - 20 Oct 2023
No
AD8299
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
13 Oct 2023 - 20 Oct 2023
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
19 Apr 2023 - 21 Apr 2023
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
19 Apr 2023 - 21 Apr 2023
No
AD8299
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
19 Apr 2023 - 21 Apr 2023
No
AD8299
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
19 Apr 2023 - 21 Apr 2023
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
12 Sep 2015 - 30 Nov 2022
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
12 Sep 2015 - 30 Nov 2022
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 7: providing automated trading services
12 Sep 2015 - 30 Nov 2022
No
AD8299
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
12 Sep 2015 - 30 Nov 2022
No
AD8299
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
12 Sep 2015 - 30 Nov 2022
No
AF9842
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
07 Sep 2015 - 13 Sep 2015
No
AF9842
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
07 Sep 2015 - 13 Sep 2015
No
AF9842
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 7: providing automated trading services
07 Sep 2015 - 13 Sep 2015
No
AF9842
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
07 Sep 2015 - 13 Sep 2015
No
AF9842
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
07 Sep 2015 - 13 Sep 2015
No
AF9842
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
17 Aug 2015 - 21 Aug 2015
No
AF9842
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
17 Aug 2015 - 21 Aug 2015
No
AF9842
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
17 Aug 2015 - 21 Aug 2015
No
AF9842
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
17 Aug 2015 - 21 Aug 2015
No
AF9842
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
20 Jul 2015 - 25 Jul 2015
No
AF9842
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
20 Jul 2015 - 25 Jul 2015
No
AF9842
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
20 Jul 2015 - 25 Jul 2015
No
AF9842
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
20 Jul 2015 - 25 Jul 2015
No
AF9842
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
25 Jun 2015 - 26 Jun 2015
No
AF9842
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
25 Jun 2015 - 26 Jun 2015
No
AF9842
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
25 Jun 2015 - 26 Jun 2015
No
AF9842
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
25 Jun 2015 - 26 Jun 2015
No
AF9842
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
15 Jun 2015 - 17 Jun 2015
No
AF9842
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
15 Jun 2015 - 17 Jun 2015
No
AF9842
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
15 Jun 2015 - 17 Jun 2015
No
AF9842
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
15 Jun 2015 - 17 Jun 2015
No
AF9842
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
02 Jun 2015 - 08 Jun 2015
No
AF9842
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
02 Jun 2015 - 08 Jun 2015
No
AF9842
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
02 Jun 2015 - 08 Jun 2015
No
AF9842
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
02 Jun 2015 - 08 Jun 2015
No
AF9842
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
27 Apr 2015 - 30 Apr 2015
No
AF9842
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
27 Apr 2015 - 30 Apr 2015
No
AF9842
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
27 Apr 2015 - 30 Apr 2015
No
AF9842
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
27 Apr 2015 - 30 Apr 2015
No
AF9842
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
03 Mar 2015
No
AF9842
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
03 Mar 2015
No
AF9842
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
03 Mar 2015
No
AF9842
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
03 Mar 2015
No
AF9842
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
20 May 2014 - 22 May 2014
No
AF9842
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
20 May 2014 - 22 May 2014
No
AF9842
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
20 May 2014 - 22 May 2014
No
AF9842
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
20 May 2014 - 22 May 2014
No
AF9842
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
28 Feb 2014
No
AF9842
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
28 Feb 2014
No
AF9842
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
28 Feb 2014
No
AF9842
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
28 Feb 2014
No
AF9842
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
28 Aug 2013 - 30 Aug 2013
No
AF9842
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
28 Aug 2013 - 30 Aug 2013
No
AF9842
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
28 Aug 2013 - 30 Aug 2013
No
AF9842
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
28 Aug 2013 - 30 Aug 2013
No
AF9842
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
22 May 2013 - 24 May 2013
No
AF9842
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
22 May 2013 - 24 May 2013
No
AF9842
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
22 May 2013 - 24 May 2013
No
AF9842
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
22 May 2013 - 24 May 2013
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
03 Apr 2008 - 05 Dec 2012
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
03 Apr 2008 - 05 Dec 2012
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 7: providing automated trading services
03 Apr 2008 - 05 Dec 2012
No
AD8299
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
03 Apr 2008 - 05 Dec 2012
No
AD8299
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
03 Apr 2008 - 05 Dec 2012
No
AD8299
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
03 Apr 2008 - 16 Aug 2010
No
AD8299
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
03 Apr 2008 - 16 Aug 2010
No
AD7186
UBS AG
Type 1: dealing in securities
11 Jan 2008 - 03 Mar 2008
No
AD7186
UBS AG
Type 7: providing automated trading services
11 Jan 2008 - 03 Mar 2008
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.
