Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEWELL, MARC EDWARD
Chinese Name of Relevant Individual
HKMA Registration Number
AG7594
Other HKMA Registration Number(s)
AA7149, AG3590
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
01 Jun 2026 - 04 Jun 2026
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
01 Jun 2026 - 04 Jun 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
01 Jun 2026 - 04 Jun 2026
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
01 Jun 2026 - 04 Jun 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
01 Jun 2026 - 04 Jun 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 6: advising on corporate finance
Effective Period
01 Jun 2026 - 04 Jun 2026
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
20 Apr 2026 - 24 Apr 2026
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 Apr 2026 - 24 Apr 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
20 Apr 2026 - 24 Apr 2026
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 Apr 2026 - 24 Apr 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
20 Apr 2026 - 24 Apr 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 6: advising on corporate finance
Effective Period
20 Apr 2026 - 24 Apr 2026
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 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
17 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 6: advising on corporate finance
Effective Period
17 Nov 2025 - 20 Nov 2025
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 141
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
LEWELL, MARC EDWARD
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG7594
:
Other HKMA Registration Number(s)
AA7149, AG3590
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
01 Jun 2026 - 04 Jun 2026
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
01 Jun 2026 - 04 Jun 2026
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
01 Jun 2026 - 04 Jun 2026
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
01 Jun 2026 - 04 Jun 2026
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
01 Jun 2026 - 04 Jun 2026
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
01 Jun 2026 - 04 Jun 2026
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
20 Apr 2026 - 24 Apr 2026
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
20 Apr 2026 - 24 Apr 2026
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
20 Apr 2026 - 24 Apr 2026
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
20 Apr 2026 - 24 Apr 2026
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
20 Apr 2026 - 24 Apr 2026
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
20 Apr 2026 - 24 Apr 2026
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
17 Nov 2025 - 20 Nov 2025
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
17 Nov 2025 - 20 Nov 2025
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
17 Nov 2025 - 20 Nov 2025
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
17 Nov 2025 - 20 Nov 2025
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
17 Nov 2025 - 20 Nov 2025
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
17 Nov 2025 - 20 Nov 2025
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
22 Sep 2025 - 25 Sep 2025
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
22 Sep 2025 - 25 Sep 2025
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
22 Sep 2025 - 25 Sep 2025
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
22 Sep 2025 - 25 Sep 2025
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
22 Sep 2025 - 25 Sep 2025
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
22 Sep 2025 - 25 Sep 2025
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
02 Jun 2025 - 04 Jun 2025
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
02 Jun 2025 - 04 Jun 2025
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
02 Jun 2025 - 04 Jun 2025
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
02 Jun 2025 - 04 Jun 2025
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
02 Jun 2025 - 04 Jun 2025
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
02 Jun 2025 - 04 Jun 2025
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
07 Apr 2025 - 11 Apr 2025
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
07 Apr 2025 - 11 Apr 2025
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
07 Apr 2025 - 11 Apr 2025
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
07 Apr 2025 - 11 Apr 2025
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
07 Apr 2025 - 11 Apr 2025
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
07 Apr 2025 - 11 Apr 2025
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
10 Feb 2025 - 14 Feb 2025
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
10 Feb 2025 - 14 Feb 2025
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
10 Feb 2025 - 14 Feb 2025
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
10 Feb 2025 - 14 Feb 2025
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
10 Feb 2025 - 14 Feb 2025
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
10 Feb 2025 - 14 Feb 2025
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
09 Sep 2024 - 13 Sep 2024
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
09 Sep 2024 - 13 Sep 2024
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
09 Sep 2024 - 13 Sep 2024
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
09 Sep 2024 - 13 Sep 2024
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
09 Sep 2024 - 13 Sep 2024
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
09 Sep 2024 - 13 Sep 2024
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
07 Jun 2024 - 14 Jun 2024
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
07 Jun 2024 - 14 Jun 2024
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
07 Jun 2024 - 14 Jun 2024
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
07 Jun 2024 - 14 Jun 2024
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
07 Jun 2024 - 14 Jun 2024
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
07 Jun 2024 - 14 Jun 2024
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
03 Jan 2024 - 05 Jan 2024
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
03 Jan 2024 - 05 Jan 2024
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
03 Jan 2024 - 05 Jan 2024
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
03 Jan 2024 - 05 Jan 2024
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
03 Jan 2024 - 05 Jan 2024
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
03 Jan 2024 - 05 Jan 2024
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
07 Nov 2023 - 09 Nov 2023
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
07 Nov 2023 - 09 Nov 2023
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
07 Nov 2023 - 09 Nov 2023
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
06 Nov 2023 - 09 Nov 2023
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
06 Nov 2023 - 09 Nov 2023
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
06 Nov 2023 - 09 Nov 2023
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
05 Jun 2023 - 08 Jun 2023
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
05 Jun 2023 - 08 Jun 2023
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
05 Jun 2023 - 08 Jun 2023
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
05 Jun 2023 - 08 Jun 2023
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
05 Jun 2023 - 08 Jun 2023
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
05 Jun 2023 - 08 Jun 2023
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
20 Mar 2023 - 22 Mar 2023
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
20 Mar 2023 - 22 Mar 2023
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
20 Mar 2023 - 22 Mar 2023
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
20 Mar 2023 - 22 Mar 2023
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
20 Mar 2023 - 22 Mar 2023
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
20 Mar 2023 - 22 Mar 2023
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
07 Nov 2022 - 11 Nov 2022
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
07 Nov 2022 - 11 Nov 2022
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
07 Nov 2022 - 11 Nov 2022
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
07 Nov 2022 - 11 Nov 2022
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
07 Nov 2022 - 11 Nov 2022
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
07 Nov 2022 - 11 Nov 2022
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
21 Oct 2019 - 23 Oct 2019
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
21 Oct 2019 - 23 Oct 2019
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
21 Oct 2019 - 23 Oct 2019
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
21 Oct 2019 - 23 Oct 2019
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
21 Oct 2019 - 23 Oct 2019
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
21 Oct 2019 - 23 Oct 2019
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
18 Sep 2019 - 20 Sep 2019
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
18 Sep 2019 - 20 Sep 2019
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
18 Sep 2019 - 20 Sep 2019
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
18 Sep 2019 - 20 Sep 2019
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
18 Sep 2019 - 20 Sep 2019
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
18 Sep 2019 - 20 Sep 2019
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
15 Mar 2019 - 25 Mar 2019
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
15 Mar 2019 - 25 Mar 2019
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
15 Mar 2019 - 25 Mar 2019
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
15 Mar 2019 - 25 Mar 2019
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
15 Mar 2019 - 25 Mar 2019
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
15 Mar 2019 - 25 Mar 2019
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
28 Nov 2018 - 30 Nov 2018
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
28 Nov 2018 - 30 Nov 2018
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
28 Nov 2018 - 30 Nov 2018
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
28 Nov 2018 - 30 Nov 2018
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
28 Nov 2018 - 30 Nov 2018
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
28 Nov 2018 - 30 Nov 2018
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
12 Oct 2018
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
12 Oct 2018
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
12 Oct 2018
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
12 Oct 2018
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
12 Oct 2018
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
12 Oct 2018
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
30 Oct 2015 - 20 Jul 2018
Yes
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
30 Oct 2015 - 20 Jul 2018
Yes
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
30 Oct 2015 - 20 Jul 2018
Yes
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
30 Oct 2015 - 20 Jul 2018
Yes
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
30 Oct 2015 - 20 Jul 2018
Yes
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
30 Oct 2015 - 20 Jul 2018
Yes
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
22 Jul 2015 - 29 Oct 2015
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
22 Jul 2015 - 29 Oct 2015
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
22 Jul 2015 - 29 Oct 2015
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
22 Jul 2015 - 29 Oct 2015
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
22 Jul 2015 - 29 Oct 2015
No
AA7149
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
22 Jul 2015 - 29 Oct 2015
No
AG7594
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
18 May 2015 - 21 Jul 2015
No
AG7594
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
18 May 2015 - 21 Jul 2015
No
AG7594
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
18 May 2015 - 21 Jul 2015
No
AG7594
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
18 May 2015 - 21 Jul 2015
No
AG7594
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
18 May 2015 - 21 Jul 2015
No
AG7594
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
18 May 2015 - 21 Jul 2015
No
AG3590
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
03 Jun 2014
No
AG3590
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
03 Jun 2014
No
AG3590
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
03 Jun 2014
No
AG3590
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
03 Jun 2014
No
AG3590
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
03 Jun 2014
No
AG3590
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
03 Jun 2014
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
01 Apr 2003 - 16 Sep 2004
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
01 Apr 2003 - 16 Sep 2004
No
AA7149
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 7: providing automated trading services
01 Apr 2003 - 16 Sep 2004
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.
