Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HSIEH, TSUNG HENG
Chinese Name of Relevant Individual
謝宗亨
HKMA Registration Number
AH0607
Other HKMA Registration Number(s)
AH0103
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
First date of engagement
14 Apr 2021
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING
Remarks
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
First date of engagement
14 Apr 2021
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING
Remarks
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
First date of engagement
14 Apr 2021
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
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
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 14 Apr 2021
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 14 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
Since 14 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Jul 2018 - 07 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
27 Jul 2018 - 07 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Jul 2018 - 07 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
27 Jul 2018 - 07 Apr 2021
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
05 Feb 2016 - 10 Jul 2018
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
05 Feb 2016 - 10 Jul 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
05 Feb 2016 - 10 Jul 2018
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
05 Feb 2016 - 15 Feb 2016
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 - 04 Feb 2016
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 - 04 Feb 2016
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 - 04 Feb 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
21 Dec 2015 - 04 Feb 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 15
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
HSIEH, TSUNG HENG
:
Chinese Name of Relevant Individual
謝宗亨
:
HKMA Registration Number
AH0607
:
Other HKMA Registration Number(s)
AH0103
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
14 Apr 2021
No
PRIVATE BANKING
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
14 Apr 2021
No
PRIVATE BANKING
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
14 Apr 2021
No
PRIVATE BANKING
Name of Registered Institution
SFC CE number
Business Address
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)
AH0607
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
Since 14 Apr 2021
No
AH0607
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
Since 14 Apr 2021
No
AH0607
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
Since 14 Apr 2021
No
AH0607
CITIBANK, N.A.
Type 1: dealing in securities
27 Jul 2018 - 07 Apr 2021
No
AH0607
CITIBANK, N.A.
Type 4: advising on securities
27 Jul 2018 - 07 Apr 2021
No
AH0607
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
27 Jul 2018 - 07 Apr 2021
No
AH0607
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
27 Jul 2018 - 07 Apr 2021
No
AH0607
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
05 Feb 2016 - 10 Jul 2018
No
AH0607
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
05 Feb 2016 - 10 Jul 2018
No
AH0607
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
05 Feb 2016 - 10 Jul 2018
No
AH0607
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
05 Feb 2016 - 15 Feb 2016
No
AH0103
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
21 Dec 2015 - 04 Feb 2016
No
AH0103
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
21 Dec 2015 - 04 Feb 2016
No
AH0103
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
21 Dec 2015 - 04 Feb 2016
No
AH0103
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
21 Dec 2015 - 04 Feb 2016
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.