Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
FERRARONI, IVAN
Chinese Name of Relevant Individual
HKMA Registration Number
AG1560
Other HKMA Registration Number(s)
AF7034
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
31 Oct 2018
Is an Executive Officer? (Yes / No)
Yes
Capacity
REGIONAL HEAD OF GLOBAL MARKETS & TREASURY, ASIA
Remarks
Registered Institution
EFG BANK AG
Regulated Activity
Type 4: advising on securities
First date of engagement
31 Oct 2018
Is an Executive Officer? (Yes / No)
Yes
Capacity
REGIONAL HEAD OF GLOBAL MARKETS & TREASURY, ASIA
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
19 Jan 2026
Description
For Types 1 and 4 regulated activities, the Executive Officer shall, when actively participating in or when directly supervising the business of such activities, do so under the advice of another Executive Officer of EFG BANK AG not subject to a similar condition.
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 1: dealing in securities
Effective Period
Since 09 Apr 2020
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 09 Apr 2020
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
31 Oct 2018 - 08 Apr 2020
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
31 Oct 2018 - 08 Apr 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Nov 2013 - 25 Jul 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 7: providing automated trading services
Effective Period
06 Nov 2013 - 25 Jul 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Aug 2012 - 31 Oct 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 7: providing automated trading services
Effective Period
25 Aug 2012 - 31 Oct 2013
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
FERRARONI, IVAN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG1560
:
Other HKMA Registration Number(s)
AF7034
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
EFG BANK AG
Type 1: dealing in securities
31 Oct 2018
Yes
REGIONAL HEAD OF GLOBAL MARKETS & TREASURY, ASIA
EFG BANK AG
Type 4: advising on securities
31 Oct 2018
Yes
REGIONAL HEAD OF GLOBAL MARKETS & TREASURY, ASIA
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
19 Jan 2026
For Types 1 and 4 regulated activities, the Executive Officer shall, when actively participating in or when directly supervising the business of such activities, do so under the advice of another Executive Officer of EFG BANK AG not subject to a similar condition.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG1560
EFG BANK AG
Type 1: dealing in securities
Since 09 Apr 2020
Yes
AG1560
EFG BANK AG
Type 4: advising on securities
Since 09 Apr 2020
Yes
AG1560
EFG BANK AG
Type 1: dealing in securities
31 Oct 2018 - 08 Apr 2020
No
AG1560
EFG BANK AG
Type 4: advising on securities
31 Oct 2018 - 08 Apr 2020
No
AG1560
UBS AG
Type 1: dealing in securities
06 Nov 2013 - 25 Jul 2018
No
AG1560
UBS AG
Type 7: providing automated trading services
06 Nov 2013 - 25 Jul 2018
No
AF7034
UBS AG
Type 1: dealing in securities
25 Aug 2012 - 31 Oct 2013
No
AF7034
UBS AG
Type 7: providing automated trading services
25 Aug 2012 - 31 Oct 2013
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.