Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TONG, KA WA
Chinese Name of Relevant Individual
湯家華
HKMA Registration Number
AF0903
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
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Sep 2014 - 14 Apr 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
03 Sep 2014 - 14 Apr 2019
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
22 Jun 2012 - 29 Jul 2014
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
22 Jun 2012 - 29 Jul 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Sep 2011 - 26 May 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
28 Sep 2011 - 26 May 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Apr 2011 - 22 Aug 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
19 Apr 2011 - 22 Aug 2011
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
TONG, KA WA
:
Chinese Name of Relevant Individual
湯家華
:
HKMA Registration Number
AF0903
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF0903
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
03 Sep 2014 - 14 Apr 2019
No
AF0903
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
03 Sep 2014 - 14 Apr 2019
No
AF0903
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
22 Jun 2012 - 29 Jul 2014
No
AF0903
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
22 Jun 2012 - 29 Jul 2014
No
AF0903
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
28 Sep 2011 - 26 May 2012
No
AF0903
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
28 Sep 2011 - 26 May 2012
No
AF0903
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
19 Apr 2011 - 22 Aug 2011
No
AF0903
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
19 Apr 2011 - 22 Aug 2011
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.