Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HO, LOK SHAN
Chinese Name of Relevant Individual
何樂山
HKMA Registration Number
AG8164
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
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Jun 2019 - 16 Feb 2021
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
19 Jun 2019 - 16 Feb 2021
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
11 Jul 2015 - 05 Dec 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
11 Jul 2015 - 05 Dec 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
HO, LOK SHAN
:
Chinese Name of Relevant Individual
何樂山
:
HKMA Registration Number
AG8164
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG8164
EFG BANK AG
Type 1: dealing in securities
19 Jun 2019 - 16 Feb 2021
No
AG8164
EFG BANK AG
Type 4: advising on securities
19 Jun 2019 - 16 Feb 2021
No
AG8164
CREDIT SUISSE AG
Type 1: dealing in securities
11 Jul 2015 - 05 Dec 2016
No
AG8164
CREDIT SUISSE AG
Type 4: advising on securities
11 Jul 2015 - 05 Dec 2016
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.