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UREN, PAUL STEPHEN JAMES

HKMA AH3456HKMA Relevant IndividualCurrently registeredExecutive Officer
Official HKMA record

UREN, PAUL STEPHEN JAMES (HKMA registration number AH3456) is a relevant individual on the HKMA Register of Securities Staff of Authorized Institutions. Currently registered to carry on regulated activities at J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED. Has been engaged at 2 authorized institutions over time.

Current Registration (6)

Registered InstitutionRegulated ActivityExec. OfficerCapacityFirst engaged
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITEDRA 1 Type 1: dealing in securitiesYesMANAGING DIRECTOR, INVESTMENT BANKING2019-06-03
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITEDRA 4 Type 4: advising on securitiesYesMANAGING DIRECTOR, INVESTMENT BANKING2019-06-03
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITEDRA 6 Type 6: advising on corporate financeYesMANAGING DIRECTOR, INVESTMENT BANKING2019-06-03
JPMORGAN CHASE BANK, NATIONAL ASSOCIATIONRA 1 Type 1: dealing in securitiesYesMANAGING DIRECTOR, INVESTMENT BANKING2019-06-03
JPMORGAN CHASE BANK, NATIONAL ASSOCIATIONRA 4 Type 4: advising on securitiesYesMANAGING DIRECTOR, INVESTMENT BANKING2019-06-03
JPMORGAN CHASE BANK, NATIONAL ASSOCIATIONRA 6 Type 6: advising on corporate financeYesMANAGING DIRECTOR, INVESTMENT BANKING2019-06-03

Business Address

Registered InstitutionSFC CE No.Address
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITEDAAJ32118/F & 23-29/F, CHATER HOUSE, 8 CONNAUGHT ROAD CENTRAL, HONG KONG
JPMORGAN CHASE BANK, NATIONAL ASSOCIATIONAAL99618/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 08 Oct 2020 --> Description --> For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance. 2 Registered Institution J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED Effective Date 08 Oct 2020 --> Description --> For Type 6 regulated activity, the Executive Officer must, in the capacity as an adviser to a client 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, act together with another adviser (to the client) not subject to a similar condition. 1 Registered Institution JPMORGAN CHASE BANK, NATIONAL ASSOCIATION Effective Date 08 Oct 2020 --> 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 08 Oct 2020 --> Description --> For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.

Registration History (5)

2020-10-08 – present Current
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED Executive Officer
RA 1 RA 4 RA 6
2020-10-08 – present Current
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION Executive Officer
RA 1 RA 4 RA 6
2019-06-03 – 2020-10-07
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
RA 1 RA 4 RA 6
2019-06-03 – 2020-10-07
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
RA 1 RA 4 RA 6
2017-12-04 – 2017-12-06
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
RA 1 RA 4 RA 6

Data referenced from the HKMA public "Register of Securities Staff of Authorized Institutions" — for reference only.
Official record：apps.hkma.gov.hk · JSON API：/api/hkma/AH3456