Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WONG, YUEN YAN
Chinese Name of Relevant Individual
王婉欣
HKMA Registration Number
AG5607
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
08 Oct 2018 - 19 Apr 2021
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
08 Oct 2018 - 19 Apr 2021
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
08 Oct 2018 - 19 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 4: advising on securities
Effective Period
01 Sep 2015 - 27 Dec 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Nov 2014 - 27 Dec 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 9: asset management
Effective Period
22 Nov 2014 - 27 Dec 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
WONG, YUEN YAN
:
Chinese Name of Relevant Individual
王婉欣
:
HKMA Registration Number
AG5607
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG5607
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
08 Oct 2018 - 19 Apr 2021
No
AG5607
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
08 Oct 2018 - 19 Apr 2021
No
AG5607
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
08 Oct 2018 - 19 Apr 2021
No
AG5607
CA INDOSUEZ (SWITZERLAND) SA
Type 4: advising on securities
01 Sep 2015 - 27 Dec 2017
No
AG5607
CA INDOSUEZ (SWITZERLAND) SA
Type 1: dealing in securities
22 Nov 2014 - 27 Dec 2017
No
AG5607
CA INDOSUEZ (SWITZERLAND) SA
Type 9: asset management
22 Nov 2014 - 27 Dec 2017
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.