Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, SZE NGA JOYCE
Chinese Name of Relevant Individual
陳思雅
HKMA Registration Number
AH7978
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 Sep 2018 - 20 Mar 2025
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 Sep 2018 - 20 Mar 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
25 May 2018 - 17 Aug 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
25 May 2018 - 17 Aug 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
CHAN, SZE NGA JOYCE
:
Chinese Name of Relevant Individual
陳思雅
:
HKMA Registration Number
AH7978
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH7978
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
03 Sep 2018 - 20 Mar 2025
No
AH7978
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
03 Sep 2018 - 20 Mar 2025
No
AH7978
UBS AG
Type 1: dealing in securities
25 May 2018 - 17 Aug 2018
No
AH7978
UBS AG
Type 4: advising on securities
25 May 2018 - 17 Aug 2018
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.