APAC Legal Entity Information – Incorporation Details and Regulatory Status Disclosures

Australia

Notice regarding communications directed at institutional and professional clients
Where a communication is directed at institutional and professional clients, it is directed at persons in Australia who are “wholesale clients” as defined in section 761G of the Corporations Act 2001.

JPMorgan Chase Bank, N.A, Sydney Branch
Registration Number:  ABN 43 074 112 011; AFSL No: 238367
Regulatory Status Disclosure: Regulated by the Australian Securities and Investments Commission (AFS License No: 238367) and the Australia Prudential Regulation Authority as Authorised Deposit-Taking Institution.

JPMorgan Asset Management (Australia) Limited
Registration Number: ABN 55 143 832 080; AFSL No: 376919
Regulatory Status Disclosure: Regulated by the Australian Securities and Investments Commission (AFS License No: 376919)

J.P. Morgan Australia Limited
Registration Number:  ABN 52 002 888 011; AFSL No: 238188
Regulatory Status Disclosure: Regulated by the Australian Securities and Investments Commission (AFS License No: 238188)

J.P. Morgan Securities Australia Limited
Registration Number: ABN: 61 003 245 234; AFSL No: 238066
Regulatory Status Disclosure: Regulated by the Australian Securities and Investments Commission (AFS License No: 238066) and is a Full Participant of Australian Securities Exchange Limited, a Clearing and Settlement Participant of ASX Clear Pty Limited.                                      

J.P. Morgan Markets Australia Pty Limited
Registration Number:  ABN 79 004 384 687; AFSL No: 238065
Regulatory Status Disclosure: Regulated by the Australian Securities and Investments Commission (AFS License No: 238065) and is a Full Trading Participant of Australian Securities Exchange Limited, a Clearing Participant of ASX Clear (Futures) Pty Limited.

China

J.P. Morgan Futures Co., Ltd. is a JPMorgan Chase & Co. China joint venture and is a member of the Shanghai Futures Exchange, Dalian Commodity Exchange, Zhengzhou Commodity Exchange and the China Financial Futures Exchange whose Futures and Options business is regulated by the State Council, China Futures Association, the Chinese Securities Regulatory Commission.

JPMorgan Chase Bank (China) Company Limited
Registration Number: 110000450017678
Regulatory Status Disclosure: Regulated by the China Banking Regulatory Commission (Financial Permit No: B0294H111000001), the State Administration of Foreign Exchange, the People’s Bank of China for banking business; regulated by the China Securities Regulatory Commission (Fund Distribution License No: 000000089) for fund distribution business.

Hong Kong

Notice regarding communications directed at institutional and professional clients
Where a communication is directed at institutional and professional clients, it is directed at persons in Hong Kong who are “Professional Investor” as defined by the Securities and Futures Ordinance (“SFO”) for the Hong Kong Special Administrative Region. It is not intended to be received therefore by persons who do not fall within the definition of Professional Investor and who specifically do not qualify with regards to: paragraphs (a) to (i) in Part 1 of Schedule 1 to the SFO; or persons falling under paragraph (j) of the same.

J.P. Morgan Broking (Hong Kong) Limited
Registered Number: CE number AAB027
Regulatory Status Disclosure: Regulated by the Hong Kong Securities and Futures Commission and an Exchange Participant of Hong Kong Stock Exchange and Hong Kong Futures Exchange.

J.P. Morgan Securities (Far East) Limited
Registered Number: CE number AAB026
Regulatory Status Disclosure: Regulated by the Hong Kong Securities and Futures Commission

J.P. Morgan Securities (Asia Pacific) Limited
Registered Number: CE number AAJ321
Regulatory Status Disclosure: Regulated by the Hong Kong Monetary Authority as an Authorized Institution and by the Hong Kong Securities and Futures Commission (CE AAJ321) as a Registered Institution.

JPMorgan Chase Bank, N.A. - Hong Kong Branch
Registered Number: CE Number AAL996
Regulatory Status Disclosure: Regulated by the Hong Kong Monetary Authority as an Authorized Institution and by the Hong Kong Securities and Futures Commission (CE AAL996) as a Registered Institution.

India

JPMorgan Chase Bank, N.A. - Mumbai Branch
Registered Number: RBI- Licence No. 53/ Licence No. BY.4/94; SEBI - IN/CUS/014/  CDSL : IN-DP-CDSL-444-2008/ IN-DP-NSDL-285-2008/ INBI00000984/ INE231311239; Bombay Stock Exchange Clearing House  as Clearing Member: Regn. No. 853; National Securities Clearing Corporation Limited: CMID C51615
Regulatory Status Disclosure: JPMCB-Mumbai Branch is licensed by the Reserve Bank of India (RBI) as a Scheduled Commercial Bank in India, which is its primary license allowing it to carry on Banking business in India and other activities, which a Bank branch in India are permitted to undertake. JPMCB - Mumbai Branch is also an Authorised Dealer in Foreign Exchange and a Primary Dealer in Indian Government Securities. In addition, JPMCB - Mumbai Branch is registered with the Securities and Exchange Board of India (SEBI) as a Custodian of Securities providing custodial services to Foreign Portfolio Investors etc. JPMCB - Mumbai Branch is also registered as Depository Participant with the Central Depository Services Limited and National Securities Depository Limited and is a Clearing Member of the Clearing Corporations of the National Stock Exchange of India Limited and Bombay Stock Exchange Limited. Further, JPMCB-Mumbai is registered with SEBI as a Trading member of Currency Derivatives Segment of National Stock Exchange of India Limited and is also registered with SEBI as a Banker to an Issue.

J.P. Morgan Securities India Private Limited
Registered Number: RBI: 13.01149
Regulatory Status Disclosure: The Entity is a non-deposit taking non-banking financial institution (ND-NBFC) registered with Reserve Bank of India (RBI).

J.P. Morgan India Private Limited
Registered Number: (SEBI) INB 230675231 – Member of NSE for Cash equities
INF 230675231/INE 230675231 - Trading and Clearing Member of NSE / National Securities Clearing Corporation of India Limited (NSCCL) in Futures & Options Segment and Currency Derivatives Segment
INB010675237 - Member of BSE for Cash equities
INF010675237 - Trading and Clearing Member of BSE in Futures & Options Segment
MB/INM000002970/ INH000001873 – This entity is registered for other licenses as well (Merchant Banking & Equity Research).
Regulatory Status Disclosure: Regulated by the Securities and Exchange Board of India (SEBI) and is a member of the National Stock Exchange of India Limited (NSE) and the Bombay Stock Exchange Limited (BSE).

Indonesia

JPMorgan Chase Bank, N.A. - Jakarta Branch
Registered Number: Keputusan Menteri Keuangan No.D.15.6.3.23
Regulatory Status Disclosure: Regulated by the Otoritas Jasa Keuangan (OJK) and Bank Indonesia

PT J.P. Morgan Securities Indonesia
Registered Number: Broker Dealer No KEP-54/PM/1992 and Underwriter No. KEP-55/PM/1992
Regulatory Status Disclosure: Regulated by Otoritas Jasa Keuangan (OJK) – Capital Market and is a member of Indonesia Stock Exchange (IDX), Indonesia Central Securities Depository (KSEI) and Indonesia Central Counterparty (KPEI).

Japan

Notice regarding communications directed at institutional and professional clients
Where a communication is directed at institutional and professional clients, it is directed at persons in Japan who are “Professional investor” as defined by the Financial Instruments and Exchange Act (“FIEA”) for the Japan region. It is not intended for persons (i) who do not fall within the definition of Professional Investor (“tokutei toushika”) as specified in Article 2, paragraph 31 of the FIEA and the relevant cabinet ordinances thereof or (ii) who are Professional Investors but regarded as not being Professional Investors due to application of Article 34-2, paragraph 5 of the FIEA.

JPMorgan Securities Japan Co., Ltd.
Registered Number: Kanto Local Finance Bureau (kinsho) No. 82
Regulatory Status Disclosure: Regulated by the Financial Services Agency in Japan and a member of Japan Securities Dealers Association, The Financial Futures Association of Japan, Type II Financial Instruments Firms Association and Japan Investment Advisers Association.

JPMorgan Chase Bank, N.A., Tokyo Branch
Registered Number: Kanto Local Finance Bureau (toukin) No. 91
Regulatory Status Disclosure: Regulated by the Financial Services Agency in Japan and a member of Japan Securities Dealers Association and The Financial Futures Association of Japan

Korea

Notice regarding communications directed at institutional and professional clients
Where a communication is directed at institutional and professional clients, it is directed at persons in Korea who are “Professional investor” as defined in the Financial Investment Services and Capital Market Act.  It is not intended to be received therefore by persons who do not fall within the definition of professional investor.

J.P. Morgan Securities (Far East) Limited Seoul Branch
Registered Number: N/A
Regulatory Status Disclosure: Regulated by the Financial Services Commission and the Financial Supervisory Service, and J.P. Morgan Securities (Far East) Limited, Seoul Branch is a member of the Korea Exchange.

JPMorgan Chase Bank, N.A., Seoul Branch
Registered Number: N/A
Regulatory Status Disclosure: Licensed as a branch office of foreign bank (JPMorgan Chase Bank, N.A.) in Korea and regulated by the Financial Services Commission and the Financial Supervisory Service.

Malaysia

J.P. Morgan Chase Bank Berhad
Registered Number: 316347-D
Regulatory Status Disclosure: Regulated by Bank Negara Malaysia and Securities Commission (for capital market products)

JPMorgan Securities (Malaysia) Sdn. Bhd.
Registration Number: 18146-X
Regulatory Status Disclosure: Regulated by Securities Commission and is a participant of Bursa Malaysia Securities Berhad and Bursa Malaysia Derivatives Berhad

New Zealand

Notice regarding communications directed at institutional and professional clients
Where a communication is directed at institutional and professional clients, it is directed at persons in New Zealand who are “wholesale investors” as defined in Schedule 1 of the Financial Markets and Conduct Act 2013.

J.P. Morgan Chase Bank, N.A., New Zealand Branch
Registration Number: NZBN 9429033103686 (incorporated in the United States of America and registered as an overseas company in New Zealand)
Regulatory Status Disclosure: Regulated by the Reserve Bank of New Zealand as a registered bank and registered as a Financial Service Provider (FSP11001).

J.P. Morgan Markets Australia Pty Limited
Registration Number:  NZBN 9429031999472 (incorporated in Australia and registered as an overseas company in New Zealand)
Regulatory Status Disclosure: Registered as a Financial Service Provider (FSP39562).

J.P. Morgan Australia Limited
Registration Number:  NZBN 9429034923504 (incorporated in Australia and registered as an overseas company in New Zealand)
Regulatory Status Disclosure: Registered as a Financial Service Provider (FSP11021).

J.P. Morgan Securities Australia Limited
Registration Number:  NZBN 9429031404679 (incorporated in Australia and registered as an overseas company in New Zealand)
Regulatory Status Disclosure: Registered as a Financial Service Provider (FSP38864).

Philippines

J.P. Morgan Securities Philippines, Inc.
Registered Number: Co. Reg. No.: 183517
Regulatory Status Disclosure: J.P. Morgan Securities Philippines, Inc. (“JPMSPI”) is a registered Broker Dealer in Securities with the Philippine Securities and Exchange Commission, a Trading Participant of the Philippine Stock Exchange, Inc., and a member of the Securities Clearing Corporation of the Philippines (SCCP) and the Securities Investors Protection Fund (SIPF). JPMSPI is primarily engaged in the business of buying and selling of Philippine corporate securities for its own account and for the account of its clients. JPMSPI also provides investment market equity research services.

JPMorgan Chase Bank, N.A. - Manila Branch
Registered Number: Co. Reg. No.: F-00824
Regulatory Status Disclosure: Regulated by the Bangko Sentral ng Pilipinas and the Securities and Exchange Commission.

Singapore

Notice regarding communications directed at institutional and professional clients
Where a communication is directed at institutional and professional clients, it is directed at persons in Singapore who are “Accredited Investors”, “Institutional Investors” or “Expert Investors” as defined in Section 4A of the Securities Futures Act (Chapter 289). JPMorgan and/or its representatives could be exempted from complying with certain business conduct provisions contained in the Financial Advisers Act (Chapter 110) pursuant to certain regulations of the Financial Advisers Regulations when providing financial advisory services.

Representatives of JPMorgan Chase Bank, N.A., Singapore Branch, J.P. Morgan (S.E.A.) Limited, J.P. Morgan Securities Singapore Private Limited and J.P. Morgan Securities Asia Private Limited (for these purposes, together “J.P. Morgan”) are licensed financial advisers under the Financial Advisers Act (Chapter 110) (the “FAA”). J.P. Morgan and/or its representatives are exempted from complying with certain business conduct provisions contained in the FAA pursuant to certain regulations of the Financial Advisers Regulations when providing financial advisory services to an accredited investor, an expert investor (in each case as defined in Section 4A of the Securities Futures Act (Chapter 289) or an overseas investor (as defined in Section 36 of the Financial Advisers Regulations).

In particular, J.P. Morgan and/or its representatives are exempted from Sections 25, 27 and 36 of the FAA when providing financial advisory services to an accredited investor or an expert investor; and from Sections 25 to 29, 32, 34 and 36 of the FAA when providing financial advisory services to an overseas investor. The main implication of the foregoing exemptions is that J.P. Morgan and/or its representatives shall not owe you any statutory duty in respect of those requirements, and therefore you will not be able to bring any claim for a breach of statutory duty against J.P. Morgan and/or its representatives in respect of those requirements. The exemptions do not affect any civil rights or remedies that you may have under contract and/or general law in respect of any wrongful act by J.P. Morgan or its representatives.

J.P. Morgan Securities Singapore Private Limited
Registration Number: Co. Reg. No.: 199405335R
Regulatory Status Disclosure:  Regulated by the Monetary Authority of Singapore, the Singapore Exchange Limited and the Intercontinental Exchange Singapore.

J.P. Morgan Securities Asia Private Limited
Registered Number: Co. Reg. No.: 197300590K
Regulatory Status Disclosure: Regulated by the Monetary Authority of Singapore

JPMorgan Ventures Energy (Asia) Pte Ltd
Registered Number: Co. Reg. No.: 200700108E

J.P. Morgan (S.E.A.) Limited
Registration Number: Co. Reg. No.: 198500154W
Regulatory Status Disclosure:  Regulated by the Monetary Authority of Singapore.

JPMorgan Chase Bank, N.A., Singapore Branch
Registration Number: Co. Reg. No.: S74FC2367E
Regulatory Status Disclosure:  Regulated by the Monetary Authority of Singapore.

Taiwan

Notice regarding communications directed at institutional and professional clients
Where a communication is directed at institutional and professional clients, it is directed at persons in Taiwan who are “qualified institutional investors” or “corporate clients with a prescribed level of financial capacity” as defined in “Financial Consumer Protection Act” and the associated rulings.

J.P. Morgan Securities (Taiwan) Limited
Registered Number: 23928473
Regulatory Status Disclosure: Regulated by the Financial Supervisory Commission and a market participant of the Taiwan Stock Exchange Corporation (company-type) and the Taipei Exchange and a general clearing member of the Taiwan Futures Exchange Corporation.

JPMorgan Chase Bank, N.A. - Taipei Branch
Registered Number: 86687633
Regulatory Status Disclosure: Regulated by the Financial Supervisory Commission and a licensed foreign bank’s branch in Taiwan.

Thailand

JPMorgan Securities (Thailand) Limited
Registered Number: 1057/2517
Regulatory Status Disclosure: A securities broker regulated by the Securities and Exchange Commission and a member of the Stock Exchange of Thailand and Thailand Futures Exchange.

JPMorgan Chase Bank, N.A. – Bangkok Branch
Registered Number: N/A
Regulatory Status Disclosure: Licensed by Ministry of Finance as a branch office of foreign bank (JPMorgan Chase Bank, N.A.) and regulated by the Bank of Thailand. The branch also holds a few securities licenses regulated by Securities and Exchange Commission.

Vietnam

JPMorgan Chase Bank, N.A. - Hanoi Representative Office
Registered Number: N/A
Regulatory Status Disclosure: Representative Office regulated by the State Bank of Vietnam

JPMorgan Chase Bank, N.A. - Ho Chi Minh City Branch
Registered Number: 107055
Regulatory Status Disclosure: Regulated by the State Bank of Vietnam

 

 

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