Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TO, WAI KWAN
Chinese Name of Relevant Individual
杜懷群
HKMA Registration Number
AA0609
Current Registration
Not Applicable
Business Address
Not Applicable
Conditions
Not Applicable
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 09 Jan 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Apr 2003 - 09 Jan 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
01 Apr 2003 - 05 Sep 2004
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
Public Disciplinary Actions
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.
:
Name of Relevant Individual
TO, WAI KWAN
:
Chinese Name of Relevant Individual
杜懷群
:
HKMA Registration Number
AA0609
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA0609
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
01 Apr 2003 - 09 Jan 2011
No
AA0609
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
01 Apr 2003 - 09 Jan 2011
No
AA0609
BANK OF CHINA (HONG KONG) LIMITED
Type 7: providing automated trading services
01 Apr 2003 - 05 Sep 2004
No
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.