Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
PAN, YINZHOU
Chinese Name of Relevant Individual
潘寅舟
HKMA Registration Number
AI6710
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
03 Jun 2021
Is an Executive Officer? (Yes / No)
Yes
Capacity
EXECUTIVE DIRECTOR, SECURITIZED PRODUCTS GROUP
Remarks
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
03 Jun 2021
Is an Executive Officer? (Yes / No)
Yes
Capacity
EXECUTIVE DIRECTOR, SECURITIZED PRODUCTS GROUP
Remarks
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
03 Jun 2021
Is an Executive Officer? (Yes / No)
Yes
Capacity
EXECUTIVE DIRECTOR, SECURITIZED PRODUCTS GROUP
Remarks
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
First date of engagement
03 Jun 2021
Is an Executive Officer? (Yes / No)
Yes
Capacity
EXECUTIVE DIRECTOR, SECURITIZED PRODUCTS GROUP
Remarks
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
First date of engagement
03 Jun 2021
Is an Executive Officer? (Yes / No)
Yes
Capacity
EXECUTIVE DIRECTOR, SECURITIZED PRODUCTS GROUP
Remarks
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
03 Jun 2021
Is an Executive Officer? (Yes / No)
Yes
Capacity
EXECUTIVE DIRECTOR, SECURITIZED PRODUCTS GROUP
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
Registered Institution
Effective Date
Description
1
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Effective Date
26 Mar 2024
Description
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
2
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Effective Date
26 Mar 2024
Description
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
1
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Effective Date
26 Mar 2024
Description
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
2
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Effective Date
26 Mar 2024
Description
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
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 26 Mar 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 26 Mar 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 26 Mar 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 26 Mar 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
Since 26 Mar 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 26 Mar 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Jun 2021 - 25 Mar 2024
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 Jun 2021 - 25 Mar 2024
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
03 Jun 2021 - 25 Mar 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
03 Jun 2021 - 25 Mar 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
03 Jun 2021 - 25 Mar 2024
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
03 Jun 2021 - 25 Mar 2024
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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
PAN, YINZHOU
:
Chinese Name of Relevant Individual
潘寅舟
:
HKMA Registration Number
AI6710
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
03 Jun 2021
Yes
EXECUTIVE DIRECTOR, SECURITIZED PRODUCTS GROUP
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
03 Jun 2021
Yes
EXECUTIVE DIRECTOR, SECURITIZED PRODUCTS GROUP
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
03 Jun 2021
Yes
EXECUTIVE DIRECTOR, SECURITIZED PRODUCTS GROUP
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
03 Jun 2021
Yes
EXECUTIVE DIRECTOR, SECURITIZED PRODUCTS GROUP
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
03 Jun 2021
Yes
EXECUTIVE DIRECTOR, SECURITIZED PRODUCTS GROUP
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
03 Jun 2021
Yes
EXECUTIVE DIRECTOR, SECURITIZED PRODUCTS GROUP
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
Registered Institution
Effective Date
Description
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
1
26 Mar 2024
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
2
26 Mar 2024
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
1
26 Mar 2024
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
2
26 Mar 2024
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI6710
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
Since 26 Mar 2024
Yes
AI6710
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
Since 26 Mar 2024
Yes
AI6710
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
Since 26 Mar 2024
Yes
AI6710
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
Since 26 Mar 2024
Yes
AI6710
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
Since 26 Mar 2024
Yes
AI6710
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
Since 26 Mar 2024
Yes
AI6710
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
03 Jun 2021 - 25 Mar 2024
No
AI6710
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
03 Jun 2021 - 25 Mar 2024
No
AI6710
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
03 Jun 2021 - 25 Mar 2024
No
AI6710
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
03 Jun 2021 - 25 Mar 2024
No
AI6710
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
03 Jun 2021 - 25 Mar 2024
No
AI6710
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
03 Jun 2021 - 25 Mar 2024
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.