Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIM, XIU MEI SHERLYN
Chinese Name of Relevant Individual
HKMA Registration Number
AH4810
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
03 Apr 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
03 Apr 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
03 Apr 2019
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
03 Apr 2019
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
03 Apr 2019
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
03 Apr 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
25 Jan 2019 - 29 Jan 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
25 Jan 2019 - 29 Jan 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
25 Jan 2019 - 29 Jan 2019
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
25 Jan 2019 - 29 Jan 2019
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
25 Jan 2019 - 29 Jan 2019
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
25 Jan 2019 - 29 Jan 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
09 Jan 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
09 Jan 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
09 Jan 2019
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 78
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
LIM, XIU MEI SHERLYN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH4810
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
03 Apr 2019
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
03 Apr 2019
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
03 Apr 2019
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
03 Apr 2019
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
03 Apr 2019
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
03 Apr 2019
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
25 Jan 2019 - 29 Jan 2019
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
25 Jan 2019 - 29 Jan 2019
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
25 Jan 2019 - 29 Jan 2019
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
25 Jan 2019 - 29 Jan 2019
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
25 Jan 2019 - 29 Jan 2019
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
25 Jan 2019 - 29 Jan 2019
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
09 Jan 2019
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
09 Jan 2019
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
09 Jan 2019
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
09 Jan 2019
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
09 Jan 2019
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
09 Jan 2019
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
26 Nov 2018 - 28 Nov 2018
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
26 Nov 2018 - 28 Nov 2018
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
26 Nov 2018 - 28 Nov 2018
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
26 Nov 2018 - 28 Nov 2018
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
26 Nov 2018 - 28 Nov 2018
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
26 Nov 2018 - 28 Nov 2018
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
01 Nov 2018 - 02 Nov 2018
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
01 Nov 2018 - 02 Nov 2018
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
01 Nov 2018 - 02 Nov 2018
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
01 Nov 2018 - 02 Nov 2018
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
01 Nov 2018 - 02 Nov 2018
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
01 Nov 2018 - 02 Nov 2018
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
20 Sep 2018 - 21 Sep 2018
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
20 Sep 2018 - 21 Sep 2018
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
20 Sep 2018 - 21 Sep 2018
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
20 Sep 2018 - 21 Sep 2018
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
20 Sep 2018 - 21 Sep 2018
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
20 Sep 2018 - 21 Sep 2018
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
11 Sep 2018 - 12 Sep 2018
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
11 Sep 2018 - 12 Sep 2018
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
11 Sep 2018 - 12 Sep 2018
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
11 Sep 2018 - 12 Sep 2018
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
11 Sep 2018 - 12 Sep 2018
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
11 Sep 2018 - 12 Sep 2018
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
28 May 2018
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
28 May 2018
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
28 May 2018
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
28 May 2018
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
28 May 2018
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
28 May 2018
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
26 Jan 2018
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
26 Jan 2018
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
26 Jan 2018
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
26 Jan 2018
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
26 Jan 2018
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
26 Jan 2018
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
19 Jan 2018
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
19 Jan 2018
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
19 Jan 2018
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
19 Jan 2018
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
19 Jan 2018
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
19 Jan 2018
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
22 Aug 2017
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
22 Aug 2017
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
22 Aug 2017
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
22 Aug 2017
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
22 Aug 2017
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
22 Aug 2017
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
10 Aug 2017
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
10 Aug 2017
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
10 Aug 2017
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
10 Aug 2017
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
10 Aug 2017
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
10 Aug 2017
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
01 Jun 2017
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
01 Jun 2017
No
AH4810
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
01 Jun 2017
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
01 Jun 2017
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
01 Jun 2017
No
AH4810
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
01 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.