Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIAO, GUOJUN
Chinese Name of Relevant Individual
廖国君
HKMA Registration Number
AH6569
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
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Oct 2023 - 26 Jul 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
12 Oct 2023 - 26 Jul 2024
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
12 Oct 2023 - 26 Jul 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Jun 2019 - 22 Jan 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
20 Jun 2019 - 22 Jan 2020
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
09 Dec 2017 - 27 Mar 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
09 Dec 2017 - 27 Mar 2019
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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
LIAO, GUOJUN
:
Chinese Name of Relevant Individual
廖国君
:
HKMA Registration Number
AH6569
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH6569
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
12 Oct 2023 - 26 Jul 2024
No
AH6569
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
12 Oct 2023 - 26 Jul 2024
No
AH6569
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
12 Oct 2023 - 26 Jul 2024
No
AH6569
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Type 1: dealing in securities
20 Jun 2019 - 22 Jan 2020
No
AH6569
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Type 4: advising on securities
20 Jun 2019 - 22 Jan 2020
No
AH6569
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
09 Dec 2017 - 27 Mar 2019
No
AH6569
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
09 Dec 2017 - 27 Mar 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.