BHARGAVA, MOHIT

HKMA AH0023HKMA 有關人士現時已註冊主管人員 (EO)

BHARGAVA, MOHIT（HKMA 註冊編號 AH0023）為香港金融管理局「認可機構證券業務員工註冊紀錄冊」內的有關人士。現時於 J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED 註冊進行受規管活動。歷年曾於 2 間認可機構任職。

現時註冊 Current Registration (5)

註冊機構	受規管活動	主管人員	職位 Capacity	首次受聘日期
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED	RA 1 Type 1: dealing in securities	是	EXECUTIVE DIRECTOR, CREDIT EXOTICS TRADING	2015-11-02
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED	RA 4 Type 4: advising on securities	是	EXECUTIVE DIRECTOR, CREDIT EXOTICS TRADING	2015-11-02
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED	RA 7 Type 7: providing automated trading services	是	EXECUTIVE DIRECTOR, CREDIT EXOTICS TRADING	2015-11-02
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION	RA 1 Type 1: dealing in securities	是	EXECUTIVE DIRECTOR, CREDIT EXOTICS TRADING	2015-11-02
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION	RA 4 Type 4: advising on securities	是	EXECUTIVE DIRECTOR, CREDIT EXOTICS TRADING	2015-11-02

業務地址 Business Address

註冊機構	SFC CE 編號	地址
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

註冊條件 Conditions

Registered Institution Effective Date Description 1 Registered Institution J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED Effective Date 23 May 2024 --> Description --> For Types 1, 4 and 7 regulated activities, the Executive Officer shall, when actively participating in or when directly supervising the business of such activities, do so under the advice of another Executive Officer of J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED not subject to a similar condition. 1 Registered Institution JPMORGAN CHASE BANK, NATIONAL ASSOCIATION Effective Date 23 May 2024 --> Description --> For Types 1 and 4 regulated activities, the Executive Officer shall, when actively participating in or when directly supervising the business of such activities, do so under the advice of another Executive Officer of JPMORGAN CHASE BANK, NATIONAL ASSOCIATION not subject to a similar condition.