Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KATZ, JONATHAN GRAHAM
Chinese Name of Relevant Individual
HKMA Registration Number
AI4451
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
CANADIAN IMPERIAL BANK OF COMMERCE
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Sep 2022 - 22 Oct 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CANADIAN IMPERIAL BANK OF COMMERCE
Regulated Activity
Type 4: advising on securities
Effective Period
16 Sep 2022 - 22 Oct 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CANADIAN IMPERIAL BANK OF COMMERCE
Regulated Activity
Type 1: dealing in securities
Effective Period
30 May 2020 - 15 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CANADIAN IMPERIAL BANK OF COMMERCE
Regulated Activity
Type 4: advising on securities
Effective Period
30 May 2020 - 15 Sep 2022
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
KATZ, JONATHAN GRAHAM
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AI4451
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI4451
CANADIAN IMPERIAL BANK OF COMMERCE
Type 1: dealing in securities
16 Sep 2022 - 22 Oct 2024
Yes
AI4451
CANADIAN IMPERIAL BANK OF COMMERCE
Type 4: advising on securities
16 Sep 2022 - 22 Oct 2024
Yes
AI4451
CANADIAN IMPERIAL BANK OF COMMERCE
Type 1: dealing in securities
30 May 2020 - 15 Sep 2022
No
AI4451
CANADIAN IMPERIAL BANK OF COMMERCE
Type 4: advising on securities
30 May 2020 - 15 Sep 2022
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.