Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, NICHOLAS KONG TZE
Chinese Name of Relevant Individual
李光祖
HKMA Registration Number
AG4359
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
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Sep 2023 - 21 Jun 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
25 Sep 2023 - 21 Jun 2024
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
25 Sep 2023 - 21 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
07 Feb 2022 - 02 Mar 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Jun 2017 - 02 Mar 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Aug 2014 - 02 Mar 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
07 Aug 2014 - 02 Mar 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 6: advising on corporate finance
Effective Period
07 Aug 2014 - 24 Jul 2022
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
LEE, NICHOLAS KONG TZE
:
Chinese Name of Relevant Individual
李光祖
:
HKMA Registration Number
AG4359
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG4359
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
25 Sep 2023 - 21 Jun 2024
No
AG4359
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
25 Sep 2023 - 21 Jun 2024
No
AG4359
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
25 Sep 2023 - 21 Jun 2024
No
AG4359
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 4: advising on securities
07 Feb 2022 - 02 Mar 2023
No
AG4359
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 1: dealing in securities
30 Jun 2017 - 02 Mar 2023
No
AG4359
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 1: dealing in securities
07 Aug 2014 - 02 Mar 2023
No
AG4359
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 4: advising on securities
07 Aug 2014 - 02 Mar 2023
No
AG4359
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
07 Aug 2014 - 24 Jul 2022
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.