Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TUDOR, HARSHIKA CHANDRAKANT
Chinese Name of Relevant Individual
HKMA Registration Number
AH5962
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
31 Oct 2019
Is an Executive Officer? (Yes / No)
Yes
Capacity
MANAGING DIRECTOR, PRIVATE BANKING
Remarks
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
First date of engagement
31 Oct 2019
Is an Executive Officer? (Yes / No)
Yes
Capacity
MANAGING DIRECTOR, PRIVATE BANKING
Remarks
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
First date of engagement
06 Nov 2023
Is an Executive Officer? (Yes / No)
Yes
Capacity
MANAGING DIRECTOR, 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
Registered Institution
Effective Date
Description
1
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Effective Date
19 Mar 2024
Description
For Type 9 regulated activity, the Executive Officer shall not provide a service of managing a portfolio of futures contracts for another person.
2
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Effective Date
19 Mar 2024
Description
For Type 9 regulated activity, the Executive Officer shall, when actively participating in or when directly supervising the business of such activity, do so under the advice of another Executive Officer of JPMORGAN CHASE BANK, NATIONAL ASSOCIATION not subject to a similar condition.
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 19 Mar 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 19 Mar 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
Since 19 Mar 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
06 Nov 2023 - 18 Mar 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
31 Oct 2019 - 18 Mar 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
31 Oct 2019 - 18 Mar 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
31 Oct 2019 - 30 Nov 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
31 Oct 2019 - 30 Nov 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
03 Oct 2017 - 23 Sep 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 Oct 2017 - 23 Sep 2019
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
03 Oct 2017 - 23 Sep 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 Oct 2017 - 23 Sep 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 Oct 2017 - 23 Sep 2019
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
TUDOR, HARSHIKA CHANDRAKANT
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH5962
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
31 Oct 2019
Yes
MANAGING DIRECTOR, PRIVATE BANKING
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
31 Oct 2019
Yes
MANAGING DIRECTOR, PRIVATE BANKING
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
06 Nov 2023
Yes
MANAGING DIRECTOR, 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
Registered Institution
Effective Date
Description
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
1
19 Mar 2024
For Type 9 regulated activity, the Executive Officer shall not provide a service of managing a portfolio of futures contracts for another person.
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
2
19 Mar 2024
For Type 9 regulated activity, the Executive Officer shall, when actively participating in or when directly supervising the business of such activity, do so under the advice of another Executive Officer of JPMORGAN CHASE BANK, NATIONAL ASSOCIATION not subject to a similar condition.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH5962
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
Since 19 Mar 2024
Yes
AH5962
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
Since 19 Mar 2024
Yes
AH5962
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
Since 19 Mar 2024
Yes
AH5962
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
06 Nov 2023 - 18 Mar 2024
No
AH5962
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
31 Oct 2019 - 18 Mar 2024
No
AH5962
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
31 Oct 2019 - 18 Mar 2024
No
AH5962
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
31 Oct 2019 - 30 Nov 2023
No
AH5962
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
31 Oct 2019 - 30 Nov 2023
No
AH5962
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
03 Oct 2017 - 23 Sep 2019
No
AH5962
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
03 Oct 2017 - 23 Sep 2019
No
AH5962
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 7: providing automated trading services
03 Oct 2017 - 23 Sep 2019
No
AH5962
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
03 Oct 2017 - 23 Sep 2019
No
AH5962
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
03 Oct 2017 - 23 Sep 2019
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.