Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LOUIE, KWUN YIN DAVID
Chinese Name of Relevant Individual
雷冠賢
HKMA Registration Number
AA2568
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
28 Apr 2023
Is an Executive Officer? (Yes / No)
Yes
Capacity
CHIEF EXECUTIVE, HONG KONG BRANCH
Remarks
Registered Institution
EFG BANK AG
Regulated Activity
Type 4: advising on securities
First date of engagement
28 Apr 2023
Is an Executive Officer? (Yes / No)
Yes
Capacity
CHIEF EXECUTIVE, HONG KONG BRANCH
Remarks
Registered Institution
EFG BANK AG
Regulated Activity
Type 9: asset management
First date of engagement
28 Apr 2023
Is an Executive Officer? (Yes / No)
Yes
Capacity
CHIEF EXECUTIVE, HONG KONG BRANCH
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
EFG BANK AG
SFC CE number
AFV863
Business Address
LEVEL 18, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
Conditions
Registered Institution
Effective Date
Description
1
Registered Institution
EFG BANK AG
Effective Date
28 Aug 2023
Description
For Type 9 regulated activity, the Executive Officer shall not provide a service of managing a portfolio of futures contracts for another person.
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 9: asset management
Effective Period
Since 28 Aug 2023
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 20 Jul 2023
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 20 Jul 2023
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 9: asset management
Effective Period
28 Apr 2023 - 27 Aug 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Apr 2023 - 19 Jul 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
28 Apr 2023 - 19 Jul 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Nov 2020 - 17 Feb 2023
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
02 Nov 2020 - 17 Feb 2023
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Nov 2017 - 01 Nov 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
03 Nov 2017 - 01 Nov 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Feb 2015 - 02 Oct 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
14 Feb 2015 - 02 Oct 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 1: dealing in securities
Effective Period
19 May 2012 - 29 Aug 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 4: advising on securities
Effective Period
19 May 2012 - 29 Aug 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 18 Sep 2009
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 15
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
LOUIE, KWUN YIN DAVID
:
Chinese Name of Relevant Individual
雷冠賢
:
HKMA Registration Number
AA2568
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
EFG BANK AG
Type 1: dealing in securities
28 Apr 2023
Yes
CHIEF EXECUTIVE, HONG KONG BRANCH
EFG BANK AG
Type 4: advising on securities
28 Apr 2023
Yes
CHIEF EXECUTIVE, HONG KONG BRANCH
EFG BANK AG
Type 9: asset management
28 Apr 2023
Yes
CHIEF EXECUTIVE, HONG KONG BRANCH
Name of Registered Institution
SFC CE number
Business Address
EFG BANK AG
AFV863
LEVEL 18, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
Registered Institution
Effective Date
Description
EFG BANK AG
1
28 Aug 2023
For Type 9 regulated activity, the Executive Officer shall not provide a service of managing a portfolio of futures contracts for another person.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA2568
EFG BANK AG
Type 9: asset management
Since 28 Aug 2023
Yes
AA2568
EFG BANK AG
Type 1: dealing in securities
Since 20 Jul 2023
Yes
AA2568
EFG BANK AG
Type 4: advising on securities
Since 20 Jul 2023
Yes
AA2568
EFG BANK AG
Type 9: asset management
28 Apr 2023 - 27 Aug 2023
No
AA2568
EFG BANK AG
Type 1: dealing in securities
28 Apr 2023 - 19 Jul 2023
No
AA2568
EFG BANK AG
Type 4: advising on securities
28 Apr 2023 - 19 Jul 2023
No
AA2568
CREDIT SUISSE AG
Type 1: dealing in securities
02 Nov 2020 - 17 Feb 2023
Yes
AA2568
CREDIT SUISSE AG
Type 4: advising on securities
02 Nov 2020 - 17 Feb 2023
Yes
AA2568
CREDIT SUISSE AG
Type 1: dealing in securities
03 Nov 2017 - 01 Nov 2020
No
AA2568
CREDIT SUISSE AG
Type 4: advising on securities
03 Nov 2017 - 01 Nov 2020
No
AA2568
CREDIT SUISSE AG
Type 1: dealing in securities
14 Feb 2015 - 02 Oct 2016
No
AA2568
CREDIT SUISSE AG
Type 4: advising on securities
14 Feb 2015 - 02 Oct 2016
No
AA2568
BANK J. SAFRA SARASIN AG
Type 1: dealing in securities
19 May 2012 - 29 Aug 2014
No
AA2568
BANK J. SAFRA SARASIN AG
Type 4: advising on securities
19 May 2012 - 29 Aug 2014
No
AA2568
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
01 Apr 2003 - 18 Sep 2009
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.