Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WONG, WAI KIU
Chinese Name of Relevant Individual
王蔚翹
HKMA Registration Number
AI3195
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
30 May 2022
Is an Executive Officer? (Yes / No)
No
Capacity
SALES AND MARKETING
Remarks
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
30 May 2022
Is an Executive Officer? (Yes / No)
No
Capacity
SALES AND MARKETING
Remarks
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 7: providing automated trading services
First date of engagement
30 May 2022
Is an Executive Officer? (Yes / No)
No
Capacity
SALES AND MARKETING
Remarks
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
First date of engagement
30 May 2022
Is an Executive Officer? (Yes / No)
No
Capacity
SALES AND MARKETING
Remarks
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
First date of engagement
30 May 2022
Is an Executive Officer? (Yes / No)
No
Capacity
SALES AND MARKETING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
SFC CE number
AAJ321
Business Address
18/F & 23-29/F, CHATER HOUSE, 8 CONNAUGHT ROAD CENTRAL, HONG KONG
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
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
Since 30 May 2022
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
Since 30 May 2022
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
Since 30 May 2022
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
Since 30 May 2022
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
Since 30 May 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Oct 2019 - 11 May 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
28 Oct 2019 - 11 May 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
28 Oct 2019 - 30 Sep 2020
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
WONG, WAI KIU
:
Chinese Name of Relevant Individual
王蔚翹
:
HKMA Registration Number
AI3195
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
30 May 2022
No
SALES AND MARKETING
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
30 May 2022
No
SALES AND MARKETING
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 7: providing automated trading services
30 May 2022
No
SALES AND MARKETING
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
30 May 2022
No
SALES AND MARKETING
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
30 May 2022
No
SALES AND MARKETING
Name of Registered Institution
SFC CE number
Business Address
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
AAJ321
18/F & 23-29/F, CHATER HOUSE, 8 CONNAUGHT ROAD CENTRAL, HONG KONG
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
AAL996
18/F & 20-29/F, CHATER HOUSE, 8 CONNAUGHT ROAD CENTRAL, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI3195
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
Since 30 May 2022
No
AI3195
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
Since 30 May 2022
No
AI3195
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 7: providing automated trading services
Since 30 May 2022
No
AI3195
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
Since 30 May 2022
No
AI3195
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
Since 30 May 2022
No
AI3195
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
28 Oct 2019 - 11 May 2022
No
AI3195
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
28 Oct 2019 - 11 May 2022
No
AI3195
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
28 Oct 2019 - 30 Sep 2020
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.