Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
AGARWAL, MADHUR
Chinese Name of Relevant Individual
HKMA Registration Number
AG9532
Other HKMA Registration Number(s)
AE6023, AE6256
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
10 Oct 2022
Is an Executive Officer? (Yes / No)
Yes
Capacity
MANAGING DIRECTOR, DEBT CAPITAL MARKETS
Remarks
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
10 Oct 2022
Is an Executive Officer? (Yes / No)
Yes
Capacity
MANAGING DIRECTOR, DEBT CAPITAL MARKETS
Remarks
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
10 Oct 2022
Is an Executive Officer? (Yes / No)
Yes
Capacity
MANAGING DIRECTOR, DEBT CAPITAL MARKETS
Remarks
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
First date of engagement
10 Oct 2022
Is an Executive Officer? (Yes / No)
Yes
Capacity
MANAGING DIRECTOR, DEBT CAPITAL MARKETS
Remarks
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
First date of engagement
10 Oct 2022
Is an Executive Officer? (Yes / No)
Yes
Capacity
MANAGING DIRECTOR, DEBT CAPITAL MARKETS
Remarks
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
10 Oct 2022
Is an Executive Officer? (Yes / No)
Yes
Capacity
MANAGING DIRECTOR, DEBT CAPITAL MARKETS
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
SFC CE number
AAJ321
Business Address
18/F & 23-29/F, CHATER HOUSE, 8 CONNAUGHT ROAD CENTRAL, HONG KONG
Name of Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
SFC CE number
AAL996
Business Address
18/F & 20-29/F, CHATER HOUSE, 8 CONNAUGHT ROAD CENTRAL, HONG KONG
Conditions
Registered Institution
Effective Date
Description
1
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Effective Date
22 Jul 2024
Description
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
2
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Effective Date
22 Jul 2024
Description
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
1
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Effective Date
22 Jul 2024
Description
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
2
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Effective Date
22 Jul 2024
Description
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
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
Since 22 Jul 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 22 Jul 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 22 Jul 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 22 Jul 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
Since 22 Jul 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 22 Jul 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Oct 2022 - 21 Jul 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 Oct 2022 - 21 Jul 2024
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
10 Oct 2022 - 21 Jul 2024
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
10 Oct 2022 - 21 Jul 2024
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
10 Oct 2022 - 21 Jul 2024
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
10 Oct 2022 - 21 Jul 2024
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
11 Nov 2019 - 12 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
11 Nov 2019 - 12 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 6: advising on corporate finance
Effective Period
11 Nov 2019 - 12 Nov 2019
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 54
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
AGARWAL, MADHUR
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG9532
:
Other HKMA Registration Number(s)
AE6023, AE6256
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
10 Oct 2022
Yes
MANAGING DIRECTOR, DEBT CAPITAL MARKETS
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
10 Oct 2022
Yes
MANAGING DIRECTOR, DEBT CAPITAL MARKETS
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
10 Oct 2022
Yes
MANAGING DIRECTOR, DEBT CAPITAL MARKETS
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
10 Oct 2022
Yes
MANAGING DIRECTOR, DEBT CAPITAL MARKETS
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
10 Oct 2022
Yes
MANAGING DIRECTOR, DEBT CAPITAL MARKETS
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
10 Oct 2022
Yes
MANAGING DIRECTOR, DEBT CAPITAL MARKETS
Name of Registered Institution
SFC CE number
Business Address
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
AAJ321
18/F & 23-29/F, CHATER HOUSE, 8 CONNAUGHT ROAD CENTRAL, HONG KONG
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
AAL996
18/F & 20-29/F, CHATER HOUSE, 8 CONNAUGHT ROAD CENTRAL, HONG KONG
Registered Institution
Effective Date
Description
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
1
22 Jul 2024
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
2
22 Jul 2024
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
1
22 Jul 2024
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
2
22 Jul 2024
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG9532
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
Since 22 Jul 2024
Yes
AG9532
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
Since 22 Jul 2024
Yes
AG9532
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
Since 22 Jul 2024
Yes
AG9532
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
Since 22 Jul 2024
Yes
AG9532
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
Since 22 Jul 2024
Yes
AG9532
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
Since 22 Jul 2024
Yes
AG9532
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
10 Oct 2022 - 21 Jul 2024
No
AG9532
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
10 Oct 2022 - 21 Jul 2024
No
AG9532
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
10 Oct 2022 - 21 Jul 2024
No
AG9532
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
10 Oct 2022 - 21 Jul 2024
No
AG9532
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
10 Oct 2022 - 21 Jul 2024
No
AG9532
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
10 Oct 2022 - 21 Jul 2024
No
AG9532
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
11 Nov 2019 - 12 Nov 2019
No
AG9532
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
11 Nov 2019 - 12 Nov 2019
No
AG9532
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
11 Nov 2019 - 12 Nov 2019
No
AG9532
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
11 Nov 2019 - 12 Nov 2019
No
AG9532
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
11 Nov 2019 - 12 Nov 2019
No
AG9532
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
11 Nov 2019 - 12 Nov 2019
No
AG9532
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
23 Nov 2017
No
AG9532
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
23 Nov 2017
No
AG9532
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
23 Nov 2017
No
AG9532
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
23 Nov 2017
No
AG9532
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
23 Nov 2017
No
AG9532
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
23 Nov 2017
No
AG9532
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
01 Aug 2017
No
AG9532
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
01 Aug 2017
No
AG9532
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
01 Aug 2017
No
AG9532
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
01 Aug 2017
No
AG9532
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
01 Aug 2017
No
AG9532
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
01 Aug 2017
No
AG9532
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
12 Jul 2017
No
AG9532
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
12 Jul 2017
No
AG9532
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
12 Jul 2017
No
AG9532
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
12 Jul 2017
No
AG9532
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
12 Jul 2017
No
AG9532
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
12 Jul 2017
No
AG9532
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
29 Oct 2015
No
AG9532
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
29 Oct 2015
No
AG9532
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
29 Oct 2015
No
AG9532
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
29 Oct 2015
No
AE6256
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
27 Apr 2010 - 01 Jul 2012
No
AE6256
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
27 Apr 2010 - 01 Jul 2012
No
AE6256
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
27 Apr 2010 - 01 Jul 2012
No
AE6256
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
27 Apr 2010 - 01 Jul 2012
No
AE6256
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
27 Apr 2010 - 01 Jul 2012
No
AE6256
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
27 Apr 2010 - 01 Jul 2012
No
AE6256
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 7: providing automated trading services
27 Apr 2010 - 05 Jul 2010
No
AE6023
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
01 Apr 2010 - 12 May 2010
No
AE6023
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
01 Apr 2010 - 12 May 2010
No
AE6023
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
01 Apr 2010 - 12 May 2010
No
AE6023
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 7: providing automated trading services
01 Apr 2010 - 12 May 2010
No
AE6023
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
01 Apr 2010 - 12 May 2010
No
AE6023
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
01 Apr 2010 - 12 May 2010
No
AE6023
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
01 Apr 2010 - 12 May 2010
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.