Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SHANG, THONG KAI
Chinese Name of Relevant Individual
HKMA Registration Number
AH6342
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
06 Mar 2023 - 31 Oct 2024
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
06 Mar 2023 - 31 Oct 2024
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
06 Mar 2023 - 31 Oct 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
06 Mar 2023 - 31 Oct 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
06 Mar 2023 - 31 Oct 2024
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
06 Mar 2023 - 31 Oct 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
30 May 2019 - 31 May 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
30 May 2019 - 31 May 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
30 May 2019 - 31 May 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
30 May 2019 - 31 May 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
30 May 2019 - 31 May 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
30 May 2019 - 31 May 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
13 Nov 2018 - 19 Nov 2018
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
13 Nov 2018 - 19 Nov 2018
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
13 Nov 2018 - 19 Nov 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 24
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
SHANG, THONG KAI
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH6342
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH6342
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
06 Mar 2023 - 31 Oct 2024
No
AH6342
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
06 Mar 2023 - 31 Oct 2024
No
AH6342
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
06 Mar 2023 - 31 Oct 2024
No
AH6342
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
06 Mar 2023 - 31 Oct 2024
No
AH6342
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
06 Mar 2023 - 31 Oct 2024
No
AH6342
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
06 Mar 2023 - 31 Oct 2024
No
AH6342
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
30 May 2019 - 31 May 2019
No
AH6342
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
30 May 2019 - 31 May 2019
No
AH6342
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
30 May 2019 - 31 May 2019
No
AH6342
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
30 May 2019 - 31 May 2019
No
AH6342
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
30 May 2019 - 31 May 2019
No
AH6342
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
30 May 2019 - 31 May 2019
No
AH6342
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
13 Nov 2018 - 19 Nov 2018
No
AH6342
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
13 Nov 2018 - 19 Nov 2018
No
AH6342
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
13 Nov 2018 - 19 Nov 2018
No
AH6342
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
13 Nov 2018 - 19 Nov 2018
No
AH6342
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
13 Nov 2018 - 19 Nov 2018
No
AH6342
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
13 Nov 2018 - 19 Nov 2018
No
AH6342
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
13 Nov 2017 - 14 Nov 2017
No
AH6342
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
13 Nov 2017 - 14 Nov 2017
No
AH6342
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
13 Nov 2017 - 14 Nov 2017
No
AH6342
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
13 Nov 2017 - 14 Nov 2017
No
AH6342
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
13 Nov 2017 - 14 Nov 2017
No
AH6342
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
13 Nov 2017 - 14 Nov 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.