Personnel SFC Licences and HKMA Registrations (ID 24515314)

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2020-12-23	-
	Rep	Dealing in futures contracts	2020-12-23	-
NATIXIS ASIA LIMITED	Rep	Advising on securities	2020-05-05	2020-09-22
	Rep	Dealing in securities	2020-05-05	2020-09-22

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

HKMA registration number: AI4349

Current registrations only

Institution	Activity	HKMA role	Capacity	From	Until	Status
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED	Dealing in securities	Non-EO	SALES AND MARKETING	2020-12-23	—	Current
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED	Advising on securities	Non-EO	SALES AND MARKETING	2020-12-23	—	Current
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED	Providing automated trading services	Non-EO	SALES AND MARKETING	2020-12-23	—	Current
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION	Dealing in securities	Non-EO	SALES AND MARKETING	2020-12-23	—	Current
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION	Advising on securities	Non-EO	SALES AND MARKETING	2020-12-23	—	Current
NATIXIS	Dealing in securities	Non-EO	—	2020-05-08	2020-09-22	Former
NATIXIS	Advising on securities	Non-EO	—	2020-05-08	2020-09-22	Former