Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LOK, SHUN YIN
Chinese Name of Relevant Individual
駱順賢
HKMA Registration Number
AH2592
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
22 Jul 2023
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT SERVICE OFFICER
Remarks
Registered Institution
EFG BANK AG
Regulated Activity
Type 4: advising on securities
First date of engagement
22 Jul 2023
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT SERVICE OFFICER
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
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
Since 22 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
Since 22 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
10 Jul 2020 - 11 Jul 2023
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
10 Jul 2020 - 11 Jul 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Sep 2019 - 19 Jun 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
01 Sep 2019 - 19 Jun 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Sep 2016 - 19 Jun 2020
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 2016 - 19 Jun 2020
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
LOK, SHUN YIN
:
Chinese Name of Relevant Individual
駱順賢
:
HKMA Registration Number
AH2592
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
EFG BANK AG
Type 1: dealing in securities
22 Jul 2023
No
CLIENT SERVICE OFFICER
EFG BANK AG
Type 4: advising on securities
22 Jul 2023
No
CLIENT SERVICE OFFICER
Name of Registered Institution
SFC CE number
Business Address
EFG BANK AG
AFV863
LEVEL 18, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH2592
EFG BANK AG
Type 1: dealing in securities
Since 22 Jul 2023
No
AH2592
EFG BANK AG
Type 4: advising on securities
Since 22 Jul 2023
No
AH2592
CREDIT SUISSE AG
Type 1: dealing in securities
10 Jul 2020 - 11 Jul 2023
No
AH2592
CREDIT SUISSE AG
Type 4: advising on securities
10 Jul 2020 - 11 Jul 2023
No
AH2592
CITIBANK, N.A.
Type 1: dealing in securities
01 Sep 2019 - 19 Jun 2020
No
AH2592
CITIBANK, N.A.
Type 4: advising on securities
01 Sep 2019 - 19 Jun 2020
No
AH2592
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
03 Sep 2016 - 19 Jun 2020
No
AH2592
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
03 Sep 2016 - 19 Jun 2020
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.