Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WIGLEY, RAPHAEL FREDERIC DAVID
Chinese Name of Relevant Individual
HKMA Registration Number
AG7368
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 1: dealing in securities
Effective Period
20 Nov 2019 - 22 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
20 Nov 2019 - 22 Nov 2019
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
20 Nov 2019 - 22 Nov 2019
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
20 Nov 2019 - 22 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 1: dealing in securities
Effective Period
17 Sep 2019 - 19 Sep 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
17 Sep 2019 - 19 Sep 2019
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
17 Sep 2019 - 19 Sep 2019
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
17 Sep 2019 - 19 Sep 2019
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
21 Aug 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
21 Aug 2019
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
21 Aug 2019
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
21 Aug 2019
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
29 May 2019 - 31 May 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
29 May 2019 - 31 May 2019
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
29 May 2019 - 31 May 2019
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 64
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
WIGLEY, RAPHAEL FREDERIC DAVID
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG7368
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG7368
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
20 Nov 2019 - 22 Nov 2019
No
AG7368
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
20 Nov 2019 - 22 Nov 2019
No
AG7368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
20 Nov 2019 - 22 Nov 2019
No
AG7368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
20 Nov 2019 - 22 Nov 2019
No
AG7368
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
17 Sep 2019 - 19 Sep 2019
No
AG7368
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
17 Sep 2019 - 19 Sep 2019
No
AG7368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
17 Sep 2019 - 19 Sep 2019
No
AG7368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
17 Sep 2019 - 19 Sep 2019
No
AG7368
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
21 Aug 2019
No
AG7368
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
21 Aug 2019
No
AG7368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
21 Aug 2019
No
AG7368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
21 Aug 2019
No
AG7368
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
29 May 2019 - 31 May 2019
No
AG7368
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
29 May 2019 - 31 May 2019
No
AG7368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
29 May 2019 - 31 May 2019
No
AG7368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
29 May 2019 - 31 May 2019
No
AG7368
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
20 Feb 2019 - 22 Feb 2019
No
AG7368
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
20 Feb 2019 - 22 Feb 2019
No
AG7368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
20 Feb 2019 - 22 Feb 2019
No
AG7368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
20 Feb 2019 - 22 Feb 2019
No
AG7368
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
09 Nov 2018 - 14 Nov 2018
No
AG7368
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
09 Nov 2018 - 14 Nov 2018
No
AG7368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
09 Nov 2018 - 14 Nov 2018
No
AG7368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
09 Nov 2018 - 14 Nov 2018
No
AG7368
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
17 Jul 2018 - 20 Jul 2018
No
AG7368
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
17 Jul 2018 - 20 Jul 2018
No
AG7368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
17 Jul 2018 - 20 Jul 2018
No
AG7368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
17 Jul 2018 - 20 Jul 2018
No
AG7368
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
05 Feb 2018 - 06 Feb 2018
No
AG7368
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
05 Feb 2018 - 06 Feb 2018
No
AG7368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
05 Feb 2018 - 06 Feb 2018
No
AG7368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
05 Feb 2018 - 06 Feb 2018
No
AG7368
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
06 Dec 2017 - 07 Dec 2017
No
AG7368
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
06 Dec 2017 - 07 Dec 2017
No
AG7368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
06 Dec 2017 - 07 Dec 2017
No
AG7368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
06 Dec 2017 - 07 Dec 2017
No
AG7368
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
21 Jul 2017 - 22 Jul 2017
No
AG7368
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
21 Jul 2017 - 22 Jul 2017
No
AG7368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
21 Jul 2017 - 22 Jul 2017
No
AG7368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
21 Jul 2017 - 22 Jul 2017
No
AG7368
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
12 Apr 2017 - 13 Apr 2017
No
AG7368
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
12 Apr 2017 - 13 Apr 2017
No
AG7368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
12 Apr 2017 - 13 Apr 2017
No
AG7368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
12 Apr 2017 - 13 Apr 2017
No
AG7368
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
06 Feb 2017 - 08 Feb 2017
No
AG7368
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
06 Feb 2017 - 08 Feb 2017
No
AG7368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
06 Feb 2017 - 08 Feb 2017
No
AG7368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
06 Feb 2017 - 08 Feb 2017
No
AG7368
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
15 Sep 2016 - 16 Sep 2016
No
AG7368
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
15 Sep 2016 - 16 Sep 2016
No
AG7368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
15 Sep 2016 - 16 Sep 2016
No
AG7368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
15 Sep 2016 - 16 Sep 2016
No
AG7368
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
11 Jan 2016 - 12 Jan 2016
No
AG7368
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
11 Jan 2016 - 12 Jan 2016
No
AG7368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
11 Jan 2016 - 12 Jan 2016
No
AG7368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
11 Jan 2016 - 12 Jan 2016
No
AG7368
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
22 Sep 2015 - 23 Sep 2015
No
AG7368
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
22 Sep 2015 - 23 Sep 2015
No
AG7368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
22 Sep 2015 - 23 Sep 2015
No
AG7368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
22 Sep 2015 - 23 Sep 2015
No
AG7368
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
23 Apr 2015 - 24 Apr 2015
No
AG7368
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
23 Apr 2015 - 24 Apr 2015
No
AG7368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
23 Apr 2015 - 24 Apr 2015
No
AG7368
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
23 Apr 2015 - 24 Apr 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.