Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
GORI, FILIPPO
Chinese Name of Relevant Individual
HKMA Registration Number
AG2047
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 6: advising on corporate finance
Effective Period
01 Apr 2019 - 01 Jul 2025
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
01 Apr 2019 - 01 Jul 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
08 Jan 2014 - 01 Jul 2025
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
08 Jan 2014 - 01 Jul 2025
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Jan 2014 - 01 Jul 2025
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
08 Jan 2014 - 01 Jul 2025
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
08 Jan 2014 - 31 Mar 2019
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Jan 2014 - 07 Jan 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
02 Jan 2014 - 07 Jan 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
02 Jan 2014 - 07 Jan 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
02 Jan 2014 - 07 Jan 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
02 Jan 2014 - 07 Jan 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
GORI, FILIPPO
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG2047
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG2047
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
01 Apr 2019 - 01 Jul 2025
No
AG2047
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
01 Apr 2019 - 01 Jul 2025
No
AG2047
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
08 Jan 2014 - 01 Jul 2025
Yes
AG2047
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
08 Jan 2014 - 01 Jul 2025
Yes
AG2047
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
08 Jan 2014 - 01 Jul 2025
Yes
AG2047
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
08 Jan 2014 - 01 Jul 2025
Yes
AG2047
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 7: providing automated trading services
08 Jan 2014 - 31 Mar 2019
Yes
AG2047
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
02 Jan 2014 - 07 Jan 2014
No
AG2047
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
02 Jan 2014 - 07 Jan 2014
No
AG2047
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 7: providing automated trading services
02 Jan 2014 - 07 Jan 2014
No
AG2047
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
02 Jan 2014 - 07 Jan 2014
No
AG2047
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
02 Jan 2014 - 07 Jan 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.