Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TSAI, CHUNG-YU
Chinese Name of Relevant Individual
蔡宗余
HKMA Registration Number
AG6687
Other HKMA Registration Number(s)
AE9682
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 4: advising on securities
Effective Period
14 Nov 2025 - 20 Nov 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
28 Mar 2025 - 03 Apr 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
15 Nov 2024 - 22 Nov 2024
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
16 Aug 2024 - 22 Aug 2024
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
19 Jan 2024 - 24 Jan 2024
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
10 Nov 2023 - 15 Nov 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
03 Jul 2023 - 07 Jul 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
28 Nov 2022 - 02 Dec 2022
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
17 Jan 2020 - 23 Jan 2020
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
15 Nov 2019
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
23 Jul 2019 - 25 Jul 2019
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
25 Feb 2019 - 26 Feb 2019
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 Nov 2018 - 16 Nov 2018
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
17 Apr 2018 - 25 Apr 2018
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
11 Dec 2017 - 13 Dec 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 36
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
TSAI, CHUNG-YU
:
Chinese Name of Relevant Individual
蔡宗余
:
HKMA Registration Number
AG6687
:
Other HKMA Registration Number(s)
AE9682
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG6687
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
14 Nov 2025 - 20 Nov 2025
No
AG6687
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
28 Mar 2025 - 03 Apr 2025
No
AG6687
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
15 Nov 2024 - 22 Nov 2024
No
AG6687
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
16 Aug 2024 - 22 Aug 2024
No
AG6687
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
19 Jan 2024 - 24 Jan 2024
No
AG6687
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
10 Nov 2023 - 15 Nov 2023
No
AG6687
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
03 Jul 2023 - 07 Jul 2023
No
AG6687
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
28 Nov 2022 - 02 Dec 2022
No
AG6687
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
17 Jan 2020 - 23 Jan 2020
No
AG6687
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
15 Nov 2019
No
AG6687
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
23 Jul 2019 - 25 Jul 2019
No
AG6687
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
25 Feb 2019 - 26 Feb 2019
No
AG6687
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
13 Nov 2018 - 16 Nov 2018
No
AG6687
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
17 Apr 2018 - 25 Apr 2018
No
AG6687
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
11 Dec 2017 - 13 Dec 2017
No
AG6687
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
13 Nov 2017 - 15 Nov 2017
No
AG6687
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
14 Aug 2017 - 15 Aug 2017
No
AG6687
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
06 Mar 2017 - 07 Mar 2017
No
AG6687
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
05 Dec 2016 - 06 Dec 2016
No
AG6687
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
31 Aug 2016 - 02 Sep 2016
No
AG6687
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
19 Jul 2016 - 20 Jul 2016
No
AG6687
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
04 Nov 2015 - 05 Nov 2015
No
AG6687
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
11 Aug 2015 - 14 Aug 2015
No
AG6687
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
04 Mar 2015 - 06 Mar 2015
No
AE9682
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
05 Nov 2014 - 06 Nov 2014
No
AE9682
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
16 Oct 2014 - 17 Oct 2014
No
AE9682
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
24 Feb 2014 - 26 Feb 2014
No
AE9682
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
27 Nov 2013 - 28 Nov 2013
No
AE9682
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
05 Nov 2013
No
AE9682
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
20 Feb 2013 - 27 Feb 2013
No
AE9682
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
01 Nov 2012 - 02 Nov 2012
No
AE9682
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
24 May 2012 - 25 May 2012
No
AE9682
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
15 Feb 2012 - 16 Feb 2012
No
AE9682
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
18 Nov 2011 - 25 Nov 2011
No
AE9682
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
11 May 2011 - 13 May 2011
No
AE9682
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
19 Jan 2011 - 21 Jan 2011
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.