Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WANG, XIAOJUN
Chinese Name of Relevant Individual
王晓俊
HKMA Registration Number
AI6411
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
22 May 2026
Is an Executive Officer? (Yes / No)
No
Capacity
DIRECTOR, CORPORATE AND INSTITUTIONAL BANKING
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
22 May 2026
Is an Executive Officer? (Yes / No)
No
Capacity
DIRECTOR, CORPORATE AND INSTITUTIONAL BANKING
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
22 May 2026
Is an Executive Officer? (Yes / No)
No
Capacity
DIRECTOR, CORPORATE AND INSTITUTIONAL BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 QUEEN'S 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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 22 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
Since 22 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 22 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Apr 2021 - 24 Feb 2026
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
26 Apr 2021 - 24 Feb 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
26 Apr 2021 - 24 Feb 2026
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
26 Apr 2021 - 24 Feb 2026
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
26 Apr 2021 - 24 Feb 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 6: advising on corporate finance
Effective Period
26 Apr 2021 - 24 Feb 2026
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
WANG, XIAOJUN
:
Chinese Name of Relevant Individual
王晓俊
:
HKMA Registration Number
AI6411
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
22 May 2026
No
DIRECTOR, CORPORATE AND INSTITUTIONAL BANKING
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
22 May 2026
No
DIRECTOR, CORPORATE AND INSTITUTIONAL BANKING
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 6: advising on corporate finance
22 May 2026
No
DIRECTOR, CORPORATE AND INSTITUTIONAL BANKING
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI6411
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 22 May 2026
No
AI6411
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 22 May 2026
No
AI6411
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 6: advising on corporate finance
Since 22 May 2026
No
AI6411
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
26 Apr 2021 - 24 Feb 2026
No
AI6411
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
26 Apr 2021 - 24 Feb 2026
No
AI6411
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
26 Apr 2021 - 24 Feb 2026
No
AI6411
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
26 Apr 2021 - 24 Feb 2026
No
AI6411
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
26 Apr 2021 - 24 Feb 2026
No
AI6411
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
26 Apr 2021 - 24 Feb 2026
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.