Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHUA, SI MING, GORDON
Chinese Name of Relevant Individual
HKMA Registration Number
AH1914
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
COMMONWEALTH BANK OF AUSTRALIA
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Mar 2025 - 12 Apr 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMONWEALTH BANK OF AUSTRALIA
Regulated Activity
Type 4: advising on securities
Effective Period
12 Mar 2025 - 12 Apr 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMONWEALTH BANK OF AUSTRALIA
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Jul 2024 - 02 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMONWEALTH BANK OF AUSTRALIA
Regulated Activity
Type 4: advising on securities
Effective Period
17 Jul 2024 - 02 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMONWEALTH BANK OF AUSTRALIA
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Sep 2022 - 14 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMONWEALTH BANK OF AUSTRALIA
Regulated Activity
Type 4: advising on securities
Effective Period
08 Sep 2022 - 14 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Aug 2017 - 31 Jul 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 4: advising on securities
Effective Period
23 Aug 2017 - 31 Jul 2019
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 Jun 2016 - 21 Jun 2017
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 Jun 2016 - 21 Jun 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
29 Jun 2016 - 21 Jun 2017
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 Jun 2016 - 21 Jun 2017
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 Jun 2016 - 21 Jun 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-13 of 13
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
CHUA, SI MING, GORDON
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH1914
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH1914
COMMONWEALTH BANK OF AUSTRALIA
Type 1: dealing in securities
12 Mar 2025 - 12 Apr 2025
No
AH1914
COMMONWEALTH BANK OF AUSTRALIA
Type 4: advising on securities
12 Mar 2025 - 12 Apr 2025
No
AH1914
COMMONWEALTH BANK OF AUSTRALIA
Type 1: dealing in securities
17 Jul 2024 - 02 Aug 2024
No
AH1914
COMMONWEALTH BANK OF AUSTRALIA
Type 4: advising on securities
17 Jul 2024 - 02 Aug 2024
No
AH1914
COMMONWEALTH BANK OF AUSTRALIA
Type 1: dealing in securities
08 Sep 2022 - 14 Sep 2022
No
AH1914
COMMONWEALTH BANK OF AUSTRALIA
Type 4: advising on securities
08 Sep 2022 - 14 Sep 2022
No
AH1914
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
23 Aug 2017 - 31 Jul 2019
No
AH1914
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
23 Aug 2017 - 31 Jul 2019
No
AH1914
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
29 Jun 2016 - 21 Jun 2017
No
AH1914
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
29 Jun 2016 - 21 Jun 2017
No
AH1914
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 7: providing automated trading services
29 Jun 2016 - 21 Jun 2017
No
AH1914
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
29 Jun 2016 - 21 Jun 2017
No
AH1914
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
29 Jun 2016 - 21 Jun 2017
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.