Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
-, HARSH
Chinese Name of Relevant Individual
HKMA Registration Number
AG8397
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
29 May 2026 - 03 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
29 May 2026 - 03 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
29 May 2026 - 03 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
29 May 2026 - 03 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
16 Jan 2026 - 23 Jan 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
16 Jan 2026 - 23 Jan 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
16 Jan 2026 - 23 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
16 Jan 2026 - 23 Jan 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
29 Aug 2025 - 05 Sep 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
29 Aug 2025 - 05 Sep 2025
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 Aug 2025 - 05 Sep 2025
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
29 Aug 2025 - 05 Sep 2025
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
30 May 2025 - 04 Jun 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
30 May 2025 - 04 Jun 2025
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
30 May 2025 - 04 Jun 2025
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 40
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
-, HARSH
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG8397
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG8397
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
29 May 2026 - 03 Jun 2026
No
AG8397
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
29 May 2026 - 03 Jun 2026
No
AG8397
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
29 May 2026 - 03 Jun 2026
No
AG8397
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
29 May 2026 - 03 Jun 2026
No
AG8397
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
16 Jan 2026 - 23 Jan 2026
No
AG8397
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
16 Jan 2026 - 23 Jan 2026
No
AG8397
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
16 Jan 2026 - 23 Jan 2026
No
AG8397
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
16 Jan 2026 - 23 Jan 2026
No
AG8397
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
29 Aug 2025 - 05 Sep 2025
No
AG8397
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
29 Aug 2025 - 05 Sep 2025
No
AG8397
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
29 Aug 2025 - 05 Sep 2025
No
AG8397
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
29 Aug 2025 - 05 Sep 2025
No
AG8397
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
30 May 2025 - 04 Jun 2025
No
AG8397
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
30 May 2025 - 04 Jun 2025
No
AG8397
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
30 May 2025 - 04 Jun 2025
No
AG8397
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
30 May 2025 - 04 Jun 2025
No
AG8397
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
07 Feb 2025 - 12 Feb 2025
No
AG8397
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
07 Feb 2025 - 12 Feb 2025
No
AG8397
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
07 Feb 2025 - 12 Feb 2025
No
AG8397
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
07 Feb 2025 - 12 Feb 2025
No
AG8397
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
11 Jun 2024 - 14 Jun 2024
No
AG8397
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
11 Jun 2024 - 14 Jun 2024
No
AG8397
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
11 Jun 2024 - 14 Jun 2024
No
AG8397
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
11 Jun 2024 - 14 Jun 2024
No
AG8397
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
15 Mar 2024 - 22 Mar 2024
No
AG8397
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
15 Mar 2024 - 22 Mar 2024
No
AG8397
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
15 Mar 2024 - 22 Mar 2024
No
AG8397
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
15 Mar 2024 - 22 Mar 2024
No
AG8397
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
27 Oct 2023 - 06 Nov 2023
No
AG8397
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
27 Oct 2023 - 06 Nov 2023
No
AG8397
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
27 Oct 2023 - 06 Nov 2023
No
AG8397
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
27 Oct 2023 - 06 Nov 2023
No
AG8397
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
24 Mar 2023 - 06 Apr 2023
No
AG8397
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
24 Mar 2023 - 06 Apr 2023
No
AG8397
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
24 Mar 2023 - 06 Apr 2023
No
AG8397
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
24 Mar 2023 - 06 Apr 2023
No
AG8397
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
04 Sep 2016 - 29 Oct 2016
No
AG8397
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
04 Sep 2016 - 29 Oct 2016
No
AG8397
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
03 Aug 2015 - 07 Aug 2015
No
AG8397
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
03 Aug 2015 - 07 Aug 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.