Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHEN, LI HSUAN
Chinese Name of Relevant Individual
陳俐璇
HKMA Registration Number
AG2362
Other HKMA Registration Number(s)
AG1909
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
05 Nov 2025
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGEMENT
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
05 Nov 2025
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 QUEEN'S ROAD CENTRAL, HONG KONG.
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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 05 Nov 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
Since 05 Nov 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 Dec 2018 - 31 Jul 2022
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 Dec 2018 - 31 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
24 Dec 2018 - 31 Jul 2022
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
28 Jan 2014 - 11 Aug 2016
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
28 Jan 2014 - 11 Aug 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
28 Jan 2014 - 11 Aug 2016
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
28 Jan 2014 - 15 Feb 2016
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
09 Dec 2013 - 27 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
09 Dec 2013 - 27 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
09 Dec 2013 - 27 Jan 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
09 Dec 2013 - 27 Jan 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-13 of 13
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, LI HSUAN
:
Chinese Name of Relevant Individual
陳俐璇
:
HKMA Registration Number
AG2362
:
Other HKMA Registration Number(s)
AG1909
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
05 Nov 2025
No
RELATIONSHIP MANAGEMENT
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
05 Nov 2025
No
RELATIONSHIP MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG2362
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 05 Nov 2025
No
AG2362
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 05 Nov 2025
No
AG2362
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
24 Dec 2018 - 31 Jul 2022
No
AG2362
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
24 Dec 2018 - 31 Jul 2022
No
AG2362
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
24 Dec 2018 - 31 Jul 2022
No
AG2362
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
28 Jan 2014 - 11 Aug 2016
No
AG2362
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
28 Jan 2014 - 11 Aug 2016
No
AG2362
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
28 Jan 2014 - 11 Aug 2016
No
AG2362
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
28 Jan 2014 - 15 Feb 2016
No
AG1909
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
09 Dec 2013 - 27 Jan 2014
No
AG1909
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
09 Dec 2013 - 27 Jan 2014
No
AG1909
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
09 Dec 2013 - 27 Jan 2014
No
AG1909
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
09 Dec 2013 - 27 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.