Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CAI, LINGLI
Chinese Name of Relevant Individual
蔡灵麗
HKMA Registration Number
AI6136
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
14 Aug 2023 - 27 May 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
14 Aug 2023 - 27 May 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
14 Aug 2023 - 27 May 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
15 Mar 2021 - 30 Jun 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
15 Mar 2021 - 30 Jun 2022
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
15 Mar 2021 - 30 Jun 2022
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
CAI, LINGLI
:
Chinese Name of Relevant Individual
蔡灵麗
:
HKMA Registration Number
AI6136
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI6136
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
14 Aug 2023 - 27 May 2024
No
AI6136
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
14 Aug 2023 - 27 May 2024
No
AI6136
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
14 Aug 2023 - 27 May 2024
No
AI6136
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
15 Mar 2021 - 30 Jun 2022
No
AI6136
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
15 Mar 2021 - 30 Jun 2022
No
AI6136
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
15 Mar 2021 - 30 Jun 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.