Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWOK, KIM TONG TOMMY
Chinese Name of Relevant Individual
郭劍棠
HKMA Registration Number
AC5935
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
03 Mar 2012
Is an Executive Officer? (Yes / No)
No
Capacity
SR SALES MGMT MGR(BUS.BANKING)
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
03 Mar 2012
Is an Executive Officer? (Yes / No)
No
Capacity
SR SALES MGMT MGR(BUS.BANKING)
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
SFC CE number
AAL698
Business Address
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, HONG KONG.
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
Since 03 Mar 2012
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
Since 03 Mar 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Sep 2006 - 08 Jan 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
11 Sep 2006 - 08 Jan 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Jun 2005 - 13 Sep 2006
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
18 Jun 2005 - 13 Sep 2006
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
KWOK, KIM TONG TOMMY
:
Chinese Name of Relevant Individual
郭劍棠
:
HKMA Registration Number
AC5935
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
03 Mar 2012
No
SR SALES MGMT MGR(BUS.BANKING)
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
03 Mar 2012
No
SR SALES MGMT MGR(BUS.BANKING)
Name of Registered Institution
SFC CE number
Business Address
BANK OF CHINA (HONG KONG) LIMITED
AAL698
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC5935
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
Since 03 Mar 2012
No
AC5935
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
Since 03 Mar 2012
No
AC5935
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
11 Sep 2006 - 08 Jan 2012
No
AC5935
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
11 Sep 2006 - 08 Jan 2012
No
AC5935
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
18 Jun 2005 - 13 Sep 2006
No
AC5935
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
18 Jun 2005 - 13 Sep 2006
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.