Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
PENG, SU
Chinese Name of Relevant Individual
彭粟
HKMA Registration Number
AG7043
Other HKMA Registration Number(s)
AC7054
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
Since 08 Jan 2026
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
Since 08 Jan 2026
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
Since 08 Jan 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Jun 2025 - 01 Dec 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 4: advising on securities
Effective Period
06 Jun 2025 - 01 Dec 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Sep 2021 - 18 Jan 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
03 Sep 2021 - 18 Jan 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Sep 2021 - 18 Jan 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
03 Sep 2021 - 18 Jan 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Mar 2015 - 17 Jun 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
25 Mar 2015 - 17 Jun 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
25 Mar 2015 - 17 Jun 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
28 Sep 2005 - 24 Mar 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
28 Sep 2005 - 24 Mar 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-14 of 14
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
PENG, SU
:
Chinese Name of Relevant Individual
彭粟
:
HKMA Registration Number
AG7043
:
Other HKMA Registration Number(s)
AC7054
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC7054
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
Since 08 Jan 2026
No
AC7054
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
Since 08 Jan 2026
No
AC7054
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
Since 08 Jan 2026
No
AC7054
UNION BANCAIRE PRIVÉE, UBP SA
Type 1: dealing in securities
06 Jun 2025 - 01 Dec 2025
No
AC7054
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
06 Jun 2025 - 01 Dec 2025
No
AG7043
CITIBANK, N.A.
Type 1: dealing in securities
03 Sep 2021 - 18 Jan 2024
No
AG7043
CITIBANK, N.A.
Type 4: advising on securities
03 Sep 2021 - 18 Jan 2024
No
AG7043
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
03 Sep 2021 - 18 Jan 2024
No
AG7043
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
03 Sep 2021 - 18 Jan 2024
No
AG7043
UBS AG
Type 1: dealing in securities
25 Mar 2015 - 17 Jun 2015
No
AG7043
UBS AG
Type 4: advising on securities
25 Mar 2015 - 17 Jun 2015
No
AG7043
UBS AG
Type 6: advising on corporate finance
25 Mar 2015 - 17 Jun 2015
No
AC7054
UBS AG
Type 4: advising on securities
28 Sep 2005 - 24 Mar 2015
No
AC7054
UBS AG
Type 6: advising on corporate finance
28 Sep 2005 - 24 Mar 2015
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.