Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
GAO, HENG
Chinese Name of Relevant Individual
高衡
HKMA Registration Number
AI7827
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
First date of engagement
21 Oct 2024
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING
Remarks
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
First date of engagement
21 Oct 2024
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING
Remarks
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
First date of engagement
21 Oct 2024
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
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
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 21 Oct 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
Since 21 Oct 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
Since 21 Oct 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Aug 2023 - 12 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
03 Aug 2023 - 12 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Sep 2021 - 30 Jun 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
30 Sep 2021 - 30 Jun 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Sep 2021 - 30 Jun 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
30 Sep 2021 - 30 Jun 2023
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
GAO, HENG
:
Chinese Name of Relevant Individual
高衡
:
HKMA Registration Number
AI7827
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
21 Oct 2024
No
PRIVATE BANKING
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
21 Oct 2024
No
PRIVATE BANKING
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
21 Oct 2024
No
PRIVATE BANKING
Name of Registered Institution
SFC CE number
Business Address
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)
AI7827
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
Since 21 Oct 2024
No
AI7827
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
Since 21 Oct 2024
No
AI7827
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
Since 21 Oct 2024
No
AI7827
BNP PARIBAS
Type 1: dealing in securities
03 Aug 2023 - 12 Aug 2024
No
AI7827
BNP PARIBAS
Type 4: advising on securities
03 Aug 2023 - 12 Aug 2024
No
AI7827
CITIBANK, N.A.
Type 1: dealing in securities
30 Sep 2021 - 30 Jun 2023
No
AI7827
CITIBANK, N.A.
Type 4: advising on securities
30 Sep 2021 - 30 Jun 2023
No
AI7827
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
30 Sep 2021 - 30 Jun 2023
No
AI7827
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
30 Sep 2021 - 30 Jun 2023
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.