Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TO, JAMES
Chinese Name of Relevant Individual
陶冠華
HKMA Registration Number
AC6074
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
CHONG HING BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Sep 2006 - 02 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHONG HING BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
02 Sep 2006 - 02 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
22 Sep 2005 - 15 Aug 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Jul 2005 - 15 Aug 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
05 Jul 2005 - 15 Aug 2006
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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, JAMES
:
Chinese Name of Relevant Individual
陶冠華
:
HKMA Registration Number
AC6074
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC6074
CHONG HING BANK LIMITED
Type 1: dealing in securities
02 Sep 2006 - 02 Aug 2021
No
AC6074
CHONG HING BANK LIMITED
Type 4: advising on securities
02 Sep 2006 - 02 Aug 2021
No
AC6074
HANG SENG BANK, LIMITED
Type 4: advising on securities
22 Sep 2005 - 15 Aug 2006
No
AC6074
HANG SENG BANK, LIMITED
Type 1: dealing in securities
05 Jul 2005 - 15 Aug 2006
No
AC6074
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
05 Jul 2005 - 15 Aug 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.