HSBC SECURITIES (ASIA) LIMITED

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SFC licensees

RO=Responsible Officer, Rep=Representative

Name Age in
2004
SFC ID Role From Until
1 Au Yeung, Tat H 歐陽達顯 AFZ713 RO 2004-01-15
2 Au-Young, Ping 歐陽平 ABI868 Rep 2005-11-14
3 Au, Alex Wai Chi 區偉志 M ACO434 Rep 2004-01-15
4 Berrisford, Carl Thomas M AIZ256 Rep 2003-05-23 2004-01-15
5 Borzi, Anna Marie F AGF179 Rep 2003-10-27
6 Bradley, Martin (SFC:ACC190) M ACC190 Rep 2005-10-27
7 Chan, Alan Yuk Lun 陳玉倫 M ACQ051 Rep 2003-12-05
8 Chan, Andrew Ding Bong 陳定邦 M AGL865 Rep 2005-06-03
9 Chan, Ben Wei Beng 陳偉敏 M ABX133 Rep 2003-08-14 2004-05-24
10 Chan, Mark Kar Yue 陳嘉裕 M ABB625 Rep 2005-10-27
11 Chan, Otto Chun Shing 陳鎮成 42 M AAF999 RO 2006-09-07
12 Chan, Yiu Fai (SFC:AEG477) 陳耀輝 AEG477 Rep 2005-11-12
13 Chang, Chao-Kung 張肇恭 AJD920 Rep 2003-11-11 2005-11-14
14 Chang, Po-Chi (SFC:AJD292) 張博淇 AJD292 Rep 2003-10-06 2004-05-24
15 Chen, Lawrence Yung 鄭勇 M AHP543 Rep 2004-09-03
16 Cheng, Hon Fai 鄭漢輝 ADL038 Rep 2005-11-14
17 Cheung, Lai Ping (SFC:ABF741) 張麗萍 ABF741 RO 2004-01-01
18 Cheung, Yat Ming (1968) 張一鳴 36 M AEG753 Rep 2005-05-04
19 Choi, Yoon Hee AJG887 Rep 2003-11-25 2004-01-15
20 Chua, Siong Kheng 蔡尚慶 AHH618 Rep 2004-07-26
21 Chung, Alden Kam Wah 鍾金華 M ABH271 Rep 2004-01-28
22 Chung, Tony Ming Lok 鍾明烙 M AAF326 Rep 2003-09-11 2005-10-05
23 Dickinson, Alexander Edward M ADS488 Rep 2005-11-14
24 Dunn, Adrian Richard Howard M AJD150 Rep 2003-08-13 2004-06-10
25 Evans, Garry Owen M AJD756 RO 2003-11-05 2005-11-12
26 Gambrill, David Boys M ACF213 Rep 2003-08-01 2004-06-16
27 Goh, Daryl Shao Loong 吳少龍 M AFM357 Rep 2005-08-10
28 Hall, Martin David M AJO216 Rep 2004-03-17 2004-11-10
29 Hancock, Jonathan Stiles M ACJ318 RO 2009-01-31
30 Hanson-Lawson, Michael John M AEW093 Rep 2003-11-10 2004-05-24
31 Heng, Franklin Ching Kuen 幸正權 39 M ACY056 RO 2006-04-14
32 Heung, Chun Wai 香鎮偉 ADZ579 Rep 2003-05-20 2003-10-29
33 Hunt, Christopher Lawrence M AIQ686 RO 2003-08-07
34 Hyland, Peter John M AGB754 Rep 2004-01-19
35 Jacobelli Yau, Maurien Oi Man 丘愛敏 ABK611 Rep 2004-04-28
36 Jajal, Kartik Chimanlal AFU801 Rep 2004-03-29
37 Jasani, Nilesh Surendra Rai M AFJ460 Rep 2003-09-11
RO 2003-09-11 2004-10-25
38 Jhaveri, Anish Puspasen AKT426 Rep 2004-06-16 2005-11-14
39 Johnson, Christopher Lind M AGA971 Rep 2003-07-10
40 Kam, Franklin Pak Wah 金百華 M AAD811 Rep 2005-04-07
41 Kan, Alan (SFC:AIR601) 簡兆倫 M AIR601 Rep 2003-07-10
42 Kim, Peter Sin M AFF924 Rep 2005-07-07
43 Ko, David Young M AJD797 Rep 2003-09-10 2004-01-08
44 Kwan, Wing Lok 關榮樂 ADT427 Rep 2004-01-09
45 Kwok, Chau Wan 郭秋雲 ABF872 Rep 2004-04-02
46 Kwong, Sylvia Wan Man 鄺韻文 F AGE907 Rep 2003-08-21
47 Lam, Sum Sum 林森森 AFY780 Rep 2005-06-30
48 Lau, Chun Hou 劉俊厚 AAE282 Rep 2005-11-14
49 Lau, Hwa Jen 劉華仁 AJC307 Rep 2003-07-28 2003-10-17
50 Lau, Mimmi Siu Mei 劉少薇 ADE401 Rep 2003-06-04
51 Lau, Peter Yim Lam 劉炎霖 M ABE725 Rep 2003-09-11 2004-10-14
52 Lau, Shek Wing 劉錫榮 AAC254 Rep 2003-09-11 2004-12-09
53 Lee, Jeong Ja AJG885 Rep 2003-11-25 2004-03-09
54 Lee, Johnny Chi Chung (SFC:ADJ622) 李志璋 ADJ622 Rep 2003-07-10
55 Lee, Ricky Tsz On 李子安 M AGA341 Rep 2003-04-29
56 Lee, Sandra Wai Ying 李慧英 F AGE483 Rep 2005-11-14
57 Lee, Soon Huat AJD740 Rep 2003-09-10 2004-01-15
58 Lee, Wang Kwong 李泓廣 AFS914 Rep 2004-01-15
59 Letts, Darren Arthur Bohrsmann M AGC952 Rep 2004-03-12
60 Leung, Kwok Wing (SFC:AAF592) 梁國榮 AAF592 Rep 2003-09-11 2005-11-14
61 Leung, Wai Man (SFC:AGO399) 梁偉民 AGO399 Rep 2005-11-14
62 Leung, Wai Yin (SFC:AGO097) 梁偉賢 AGO097 Rep 2005-11-14
63 Li, Raymond Man Fai 李文輝 M ADT897 Rep 2005-11-14
64 Liao, Ming-Cheng 廖明正 AJG884 Rep 2003-11-21 2004-01-15
65 Ling, Anne Kin Shun 林建純 F ACX120 Rep 2004-04-23
66 Lu, David Kwok Shing 魯國城 M ADF094 Rep 2003-04-05
67 Lu, Ying-Chang 呂穎彰 AJD396 Rep 2003-08-20 2004-03-19
68 Ma, Diana Ka Lai 馬嘉麗 F AHN555 Rep 2005-10-27
69 Mak, Winnie (SFC:ADK738) 麥蔚誼 F ADK738 Rep 2004-01-28
70 Man, Peter Kum-Chung M AFD980 Rep 2006-04-01
71 Masuda, Etsusuke AJM779 Rep 2004-02-27 2005-01-04
72 Moss, James Thomas M AJC737 Rep 2003-08-01 2004-04-26
73 Moss, Stephen Colin M AFD726 RO 2004-02-12
74 Myers, Stephen Grant M AGH563 Rep 2003-06-05
75 Myers, Steven William M ACD746 Rep 2004-06-15 2004-09-20
76 Naseer, Jahanzeb AFR296 RO 2005-09-30
77 Ng, Agnes Wing Sum 吳詠芯 F AGK088 Rep 2003-12-04
78 Ng, Kit Wei AJD507 Rep 2003-08-26 2004-05-24
79 Ng, Wai Kwong (SFC:ADJ383) 吳衛剛 ADJ383 Rep 2004-05-24
80 Ngai, Man Fai 倪文輝 AEE761 Rep 2004-06-17 2005-11-14
81 Ngai, Thomas Kwok Kan 危國根 M ACP700 Rep 2012-04-03
82 Offer, Richard George Michael M AEH723 Rep 2005-11-12
83 Park, Nam Chol ADQ002 Rep 2005-11-12
84 Png, Hua Teng AJE605 Rep 2003-10-07 2003-10-15
85 Poon, Carolyn Yeuk Wan 潘若韻 F AHT395 Rep 2003-07-26 2005-11-12
86 Pow, Eddie Shiu Keung 鮑肇強 M AEU615 Rep 2003-10-30
87 Raman, Dev AKI714 Rep 2004-04-20 2004-06-17
88 Robertson, Craig Anthony M AEP696 Rep 2005-11-14
89 Russell, John (SFC:AJL223) M AJL223 Rep 2004-02-11 2005-11-12
90 Sandhu, Tejinderjit Singh AJD599 Rep 2003-09-02 2005-11-12
91 Shanbhag, Abhay Mukund AKT429 Rep 2004-06-16 2005-11-12
92 Shanbhag, Anand Ramchandra AKV346 Rep 2004-06-26 2005-11-12
93 Sim, Mong Kwang 沈茂琼 ADJ827 Rep 2010-12-20
94 Siu, Chi Ming (SFC:AFZ476) 蕭智明 AFZ476 Rep 2005-11-12
95 Smith, Jennifer Tai 戴令名 F AEI589 Rep 2003-04-02
96 So, Nelson Shing Hing 蘇盛興 M ACH779 Rep 2004-05-24
97 Solway, Paul Simon Herbert M AFU460 Rep 2003-07-10
98 Sutherland, Matthew Sebastian M AGZ498 Rep 2004-01-15
99 Sutton, Ben (SFC:AKU233) M AKU233 Rep 2004-06-15 2005-06-22
100 Tantivorawong, Korawilai AJD243 Rep 2003-10-22 2004-04-02
101 Thareja, Anupam AKI713 Rep 2004-04-21 2005-10-25
102 To, Christine Oi Yan 杜愛茵 F ADQ669 Rep 2004-01-15
103 Tulk, Philip W M ADZ105 Rep 2004-01-15
104 Turley, Francis Bernard M AIL649 Rep 2005-10-27
105 Turnbull, Robert Edward M ADA657 Rep 2004-01-15
106 Webb, Mark Cameron Ross M AEJ064 Rep 2005-11-12
107 Wong, Edmond M ACD920 Rep 2005-08-10
108 Wong, Gary Man Kuen 黃文權 M AGO032 Rep 2005-11-14
109 Wong, James Chung Yin 黃頌賢 M ADT900 Rep 2005-07-07
110 Wong, Michael Sheh Chung 王錫聰 M AFY781 Rep 2003-12-16
111 Wong, Patonia Steiner 黃凱琳 AGG754 Rep 2003-10-27
112 Wong, Wing Wah (SFC:AEC773) 黃永華 AEC773 Rep 2005-11-14
113 Woo, Art Zen 胡德賢 AEP855 Rep 2003-10-24
114 Yeoh, Simone Xenia AJD739 Rep 2003-09-10 2004-01-15
115 Yip, David Ting Keung 葉定強 M ADU278 Rep 2003-06-05
116 Yu, Anthony Sai Yin 余世賢 M ACM394 Rep 2003-12-09
117 Yu, Hiu To 余曉濤 AGM902 Rep 2003-11-22

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