Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SUN, XIAOFENG
Chinese Name of Relevant Individual
孫曉峰
HKMA Registration Number
AH0102
Other HKMA Registration Number(s)
AH0002
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
13 Feb 2023
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT BANKING
Remarks
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
13 Feb 2023
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT BANKING
Remarks
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
13 Feb 2023
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT BANKING
Remarks
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
First date of engagement
13 Feb 2023
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT BANKING
Remarks
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
First date of engagement
13 Feb 2023
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT BANKING
Remarks
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
13 Feb 2023
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT BANKING
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
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
Since 13 Feb 2023
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
Since 13 Feb 2023
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
Since 13 Feb 2023
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
Since 13 Feb 2023
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 13 Feb 2023
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
Since 13 Feb 2023
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 Dec 2015 - 03 Jun 2022
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 Dec 2015 - 03 Jun 2022
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
21 Dec 2015 - 03 Jun 2022
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 Dec 2015 - 03 Jun 2022
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 Dec 2015 - 03 Jun 2022
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
21 Dec 2015 - 03 Jun 2022
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
08 Dec 2015 - 20 Dec 2015
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
08 Dec 2015 - 20 Dec 2015
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
08 Dec 2015 - 20 Dec 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 18
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
SUN, XIAOFENG
:
Chinese Name of Relevant Individual
孫曉峰
:
HKMA Registration Number
AH0102
:
Other HKMA Registration Number(s)
AH0002
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
13 Feb 2023
No
INVESTMENT BANKING
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
13 Feb 2023
No
INVESTMENT BANKING
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
13 Feb 2023
No
INVESTMENT BANKING
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
13 Feb 2023
No
INVESTMENT BANKING
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
13 Feb 2023
No
INVESTMENT BANKING
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
13 Feb 2023
No
INVESTMENT BANKING
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
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH0102
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
Since 13 Feb 2023
No
AH0102
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
Since 13 Feb 2023
No
AH0102
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
Since 13 Feb 2023
No
AH0102
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
Since 13 Feb 2023
No
AH0102
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
Since 13 Feb 2023
No
AH0102
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
Since 13 Feb 2023
No
AH0102
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
21 Dec 2015 - 03 Jun 2022
No
AH0102
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
21 Dec 2015 - 03 Jun 2022
No
AH0102
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
21 Dec 2015 - 03 Jun 2022
No
AH0102
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
21 Dec 2015 - 03 Jun 2022
No
AH0102
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
21 Dec 2015 - 03 Jun 2022
No
AH0102
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
21 Dec 2015 - 03 Jun 2022
No
AH0002
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
08 Dec 2015 - 20 Dec 2015
No
AH0002
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
08 Dec 2015 - 20 Dec 2015
No
AH0002
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
08 Dec 2015 - 20 Dec 2015
No
AH0002
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
08 Dec 2015 - 20 Dec 2015
No
AH0002
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
08 Dec 2015 - 20 Dec 2015
No
AH0002
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
08 Dec 2015 - 20 Dec 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.