Personnel SFC Licences and HKMA Registrations (ID 2515282)

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 SECURITIES (FAR EAST) LIMITED	Rep	Advising on securities	2018-02-02	2020-07-14
	Rep	Dealing in securities	2018-02-02	2020-07-14
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2018-01-31	-
	Rep	Dealing in futures contracts	2018-01-31	-
	Rep	Advising on futures contracts	2017-05-09	2018-01-03
	Rep	Dealing in futures contracts	2017-05-09	2018-01-03
	Rep	Advising on futures contracts	2017-01-09	2017-01-13
	Rep	Dealing in futures contracts	2017-01-09	2017-01-13
	Rep	Advising on futures contracts	2015-12-17	2016-05-31
	Rep	Dealing in futures contracts	2015-12-17	2016-05-31
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	Rep	Advising on securities	2015-12-17	2016-05-31
	Rep	Dealing in securities	2015-12-17	2016-05-31

HKMA registrations

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

HKMA registration number: AH0074

HKMA registration number: AH0429

Current registrations only

Institution	Activity	HKMA role	Capacity	From	Until	Status
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED	Dealing in securities	Non-EO	PRIME SERVICES	2018-01-29	—	Current
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED	Advising on securities	Non-EO	PRIME SERVICES	2018-01-29	—	Current
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED	Dealing in securities	Non-EO	—	2017-05-08	2018-01-02	Former
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED	Advising on securities	Non-EO	—	2017-05-08	2018-01-02	Former
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED	Dealing in securities	Non-EO	—	2017-01-09	2017-01-13	Former
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED	Advising on securities	Non-EO	—	2017-01-09	2017-01-13	Former
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED	Dealing in securities	Non-EO	—	2016-08-15	2016-08-30	Former
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED	Advising on securities	Non-EO	—	2016-08-15	2016-08-30	Former
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED	Dealing in securities	Non-EO	—	2016-01-23	2016-05-31	Former
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED	Advising on securities	Non-EO	—	2016-01-23	2016-05-31	Former
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED	Dealing in securities	Non-EO	—	2015-12-17	2016-01-24	Former
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED	Advising on securities	Non-EO	—	2015-12-17	2016-01-24	Former