Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TO, KAI WAH
Chinese Name of Relevant Individual
杜啟華
HKMA Registration Number
AF8487
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
30 Oct 2021
Is an Executive Officer? (Yes / No)
No
Capacity
BRANCH SALES MANAGER
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
30 Oct 2021
Is an Executive Officer? (Yes / No)
No
Capacity
BRANCH SALES MANAGER
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 30 Oct 2021
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 30 Oct 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Jul 2019 - 24 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
29 Jul 2019 - 24 Sep 2021
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
12 Sep 2018 - 24 Apr 2019
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
12 Sep 2018 - 24 Apr 2019
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
01 May 2015 - 28 Jun 2018
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 May 2015 - 28 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHONG HING BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Dec 2012 - 10 Mar 2015
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
22 Dec 2012 - 10 Mar 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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, KAI WAH
:
Chinese Name of Relevant Individual
杜啟華
:
HKMA Registration Number
AF8487
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
30 Oct 2021
No
BRANCH SALES MANAGER
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
30 Oct 2021
No
BRANCH SALES MANAGER
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)
AF8487
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
Since 30 Oct 2021
No
AF8487
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
Since 30 Oct 2021
No
AF8487
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
29 Jul 2019 - 24 Sep 2021
No
AF8487
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
29 Jul 2019 - 24 Sep 2021
No
AF8487
HANG SENG BANK, LIMITED
Type 1: dealing in securities
12 Sep 2018 - 24 Apr 2019
No
AF8487
HANG SENG BANK, LIMITED
Type 4: advising on securities
12 Sep 2018 - 24 Apr 2019
No
AF8487
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
01 May 2015 - 28 Jun 2018
No
AF8487
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
01 May 2015 - 28 Jun 2018
No
AF8487
CHONG HING BANK LIMITED
Type 1: dealing in securities
22 Dec 2012 - 10 Mar 2015
No
AF8487
CHONG HING BANK LIMITED
Type 4: advising on securities
22 Dec 2012 - 10 Mar 2015
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.