Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SHAH, DHAVAL CHANDRAKANT
Chinese Name of Relevant Individual
HKMA Registration Number
AG1606
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
05 Sep 2025 - 10 Sep 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
05 Sep 2025 - 10 Sep 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
05 Sep 2025 - 10 Sep 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
05 Sep 2025 - 10 Sep 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
13 Oct 2023 - 19 Oct 2023
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
13 Oct 2023 - 19 Oct 2023
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
13 Oct 2023 - 19 Oct 2023
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
13 Oct 2023 - 19 Oct 2023
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
29 Mar 2023 - 31 Mar 2023
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
29 Mar 2023 - 31 Mar 2023
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
29 Mar 2023 - 31 Mar 2023
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 112
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
SHAH, DHAVAL CHANDRAKANT
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG1606
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
05 Sep 2025 - 10 Sep 2025
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
05 Sep 2025 - 10 Sep 2025
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
05 Sep 2025 - 10 Sep 2025
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
05 Sep 2025 - 10 Sep 2025
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
07 Feb 2025 - 12 Feb 2025
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
07 Feb 2025 - 12 Feb 2025
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
07 Feb 2025 - 12 Feb 2025
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
07 Feb 2025 - 12 Feb 2025
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
13 Oct 2023 - 19 Oct 2023
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
13 Oct 2023 - 19 Oct 2023
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
13 Oct 2023 - 19 Oct 2023
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
13 Oct 2023 - 19 Oct 2023
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
29 Mar 2023 - 31 Mar 2023
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
29 Mar 2023 - 31 Mar 2023
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
29 Mar 2023 - 31 Mar 2023
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
29 Mar 2023 - 31 Mar 2023
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
25 Sep 2019 - 26 Sep 2019
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
25 Sep 2019 - 26 Sep 2019
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
25 Sep 2019 - 26 Sep 2019
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
25 Sep 2019 - 26 Sep 2019
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
13 Sep 2019 - 17 Sep 2019
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
13 Sep 2019 - 17 Sep 2019
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
13 Sep 2019 - 17 Sep 2019
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
13 Sep 2019 - 17 Sep 2019
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
06 Jun 2019 - 11 Jun 2019
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
06 Jun 2019 - 11 Jun 2019
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
06 Jun 2019 - 11 Jun 2019
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
06 Jun 2019 - 11 Jun 2019
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
24 Apr 2019 - 25 Apr 2019
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
24 Apr 2019 - 25 Apr 2019
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
24 Apr 2019 - 25 Apr 2019
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
24 Apr 2019 - 25 Apr 2019
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
13 Feb 2019 - 15 Feb 2019
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
13 Feb 2019 - 15 Feb 2019
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
13 Feb 2019 - 15 Feb 2019
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
13 Feb 2019 - 15 Feb 2019
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
23 Nov 2018 - 28 Nov 2018
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
23 Nov 2018 - 28 Nov 2018
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
23 Nov 2018 - 28 Nov 2018
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
23 Nov 2018 - 28 Nov 2018
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
05 Oct 2018 - 09 Oct 2018
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
05 Oct 2018 - 09 Oct 2018
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
05 Oct 2018 - 09 Oct 2018
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
05 Oct 2018 - 09 Oct 2018
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
26 Feb 2018 - 27 Feb 2018
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
26 Feb 2018 - 27 Feb 2018
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
26 Feb 2018 - 27 Feb 2018
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
26 Feb 2018 - 27 Feb 2018
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
14 Nov 2017
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
14 Nov 2017
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
14 Nov 2017
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
14 Nov 2017
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
06 Nov 2017 - 07 Nov 2017
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
06 Nov 2017 - 07 Nov 2017
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
06 Nov 2017 - 07 Nov 2017
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
06 Nov 2017 - 07 Nov 2017
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
01 Sep 2017 - 04 Sep 2017
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
01 Sep 2017 - 04 Sep 2017
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
01 Sep 2017 - 04 Sep 2017
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
01 Sep 2017 - 04 Sep 2017
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
19 Jul 2017 - 21 Jul 2017
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
19 Jul 2017 - 21 Jul 2017
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
19 Jul 2017 - 21 Jul 2017
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
19 Jul 2017 - 21 Jul 2017
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
08 Mar 2017 - 09 Mar 2017
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
08 Mar 2017 - 09 Mar 2017
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
08 Mar 2017 - 09 Mar 2017
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
08 Mar 2017 - 09 Mar 2017
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
24 Jan 2017 - 25 Jan 2017
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
24 Jan 2017 - 25 Jan 2017
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
24 Jan 2017 - 25 Jan 2017
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
24 Jan 2017 - 25 Jan 2017
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
21 Oct 2016 - 25 Oct 2016
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
21 Oct 2016 - 25 Oct 2016
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
21 Oct 2016 - 25 Oct 2016
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
21 Oct 2016 - 25 Oct 2016
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
29 Aug 2016 - 30 Aug 2016
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
29 Aug 2016 - 30 Aug 2016
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
29 Aug 2016 - 30 Aug 2016
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
29 Aug 2016 - 30 Aug 2016
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
10 May 2016 - 11 May 2016
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
10 May 2016 - 11 May 2016
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
10 May 2016 - 11 May 2016
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
10 May 2016 - 11 May 2016
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
20 Jan 2016 - 22 Jan 2016
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
20 Jan 2016 - 22 Jan 2016
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
20 Jan 2016 - 22 Jan 2016
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
20 Jan 2016 - 22 Jan 2016
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
17 Sep 2015
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
17 Sep 2015
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
17 Sep 2015
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
17 Sep 2015
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
13 May 2015 - 15 May 2015
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
13 May 2015 - 15 May 2015
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
13 May 2015 - 15 May 2015
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
13 May 2015 - 15 May 2015
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
18 Mar 2015 - 19 Mar 2015
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
18 Mar 2015 - 19 Mar 2015
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
18 Mar 2015 - 19 Mar 2015
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
18 Mar 2015 - 19 Mar 2015
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
28 Jan 2015 - 30 Jan 2015
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
28 Jan 2015 - 30 Jan 2015
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
28 Jan 2015 - 30 Jan 2015
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
28 Jan 2015 - 30 Jan 2015
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
14 Jul 2014 - 15 Jul 2014
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
14 Jul 2014 - 15 Jul 2014
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
14 Jul 2014 - 15 Jul 2014
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
14 Jul 2014 - 15 Jul 2014
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
11 Nov 2013 - 13 Nov 2013
No
AG1606
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
11 Nov 2013 - 13 Nov 2013
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
11 Nov 2013 - 13 Nov 2013
No
AG1606
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
11 Nov 2013 - 13 Nov 2013
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.