Nomura Asia Investment (Hong Kong) Limited

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SFC licensees

RO=Responsible Officer, Rep=Representative

Name Age in
2009
SFC ID Role From Until
1 Akaishi, Osamu AHM633 Rep 2007-07-06
2 Ambai, Takahiro 安倍貴博 ASE990 Rep 2008-12-29 2010-02-19
3 Ang, Eric Tai Yue 洪大裕 M ADJ380 Rep 2007-08-29 2008-12-12
4 Aoyagi, Atsuyoshi AGW121 Rep 2004-07-10
5 Arora, Gaurav (SFC:APA737) APA737 Rep 2009-01-12 2010-02-19
6 Asano, Shin 淺野真 ANS096 Rep 2006-08-01 2010-02-19
7 Asazuma, Yayoi 朝妻彌生 AGL544 Rep 2005-08-30
8 Au-Yeung, Wendy Wing Yee 歐陽詠儀 F AFT616 Rep 2007-08-21 2008-10-15
9 Barnett, Maxine Bernice AOT373 Rep 2008-12-15 2010-02-19
10 Bharti, Kirtes ANQ111 Rep 2008-11-17 2009-05-15
11 Bogossian, Alan Harry Gregoire Abel M ANG562 Rep 2007-11-23 2008-12-10
12 Bradshaw, Stephanie 李婉青 F AMB744 Rep 2008-12-10 2009-05-05
13 Bret, Jean-Sebastien Pierre M AQX041 Rep 2008-12-15 2010-02-19
14 Chan, Agatha Wing Yee 陳詠怡 AHT087 Rep 2003-05-06 2004-08-16
15 Chan, Chun Wing (SFC:AML975) 陳雋穎 AML975 Rep 2007-04-04 2007-07-14
16 Chan, Gary Ming Lee 陳明理 M AFI730 Rep 2004-11-29
17 Chan, Julia May Yee 陳美儀 F AOJ142 Rep 2007-08-13 2009-03-28
18 Chan, Wing Yin (SFC:ARX074) 陳詠賢 ARX074 Rep 2008-11-27 2010-02-19
19 Chanezon, Alain (SFC:ARJ298) M ARJ298 Rep 2008-07-23 2008-10-23
20 Chau, Kenneth Yiu Man 周耀文 M AGV336 Rep 2008-11-28 2009-10-29
21 Chau, Ling 周凌 26 M ANU529 Rep 2008-02-29 2010-02-19
22 Chekroun, Benjamin Marc John 37 M AQS273 Rep 2008-04-07 2010-02-19
23 Chen, Chengze APJ996 Rep 2008-12-08 2010-02-19
24 Chen, Chi Wan 陳志宏 ANJ553 Rep 2006-05-15 2006-11-16
25 Cheng, Chih-Hsiung 鄭智雄 AFR838 Rep 2008-06-17 2010-02-19
26 Cheng, Stephen Kwok Wai 鄭國偉 40 M ADS285 Rep 2008-12-10 2008-12-10
27 Cheung, San Tat 張新達 AFD549 Rep 2010-02-19
28 Chew, Kang Wei 周康偉 ANW223 Rep 2008-07-28 2008-12-10
29 Chiong, Sai Lung 張世龍 AHM814 Rep 2006-04-28
30 Chiu, Siu Sang 趙小珊 AET486 Rep 2006-05-25 2010-02-19
31 Chok, Ivy Ngai Wai 卓艾維 F ADZ897 Rep 2008-04-01 2010-02-19
32 Chong, Kenny 莊嘉麟 M AOV191 Rep 2008-12-08 2010-02-19
33 Chow, Yin Fun (SFC:ACY231) 周燕芬 ACY231 Rep 2004-06-25 2006-05-30
34 Chugh, Reshma Manohar AFU982 Rep 2003-05-24
35 Chui, Chi-Sun 徐志真 AFH192 Rep 2008-12-15 2009-10-10
36 Chulani, Rohit Madan Mohan ANB806 Rep 2008-12-10 2009-04-08
37 Chung, Man Sun 鍾文燊 AAI552 Rep 2008-12-10
38 Czerkawski, Paul Andrew (SFC:ARR800) M ARR800 Rep 2008-10-09 2008-12-10
39 Dabbs Iv, John Newton M AOJ221 Rep 2008-11-28 2009-07-24
40 Di Iorio, Michael Anthony M AQA804 Rep 2008-12-15 2009-11-23
41 Dobashi, Shinobu 土橋忍 AKI539 Rep 2004-04-13 2006-09-21
42 Dolan, Paul Tiernan M APK727 Rep 2007-08-13 2010-02-19
43 Fan, Jason Che-Hsi 范哲曦 M AOK030 Rep 2009-01-15 2009-08-29
44 Fletcher, Luke (SFC:AIL062) M AIL062 Rep 2008-12-08 2010-02-19
45 Floyd, Michael (SFC:APK722) M APK722 Rep 2007-08-29 2010-02-19
46 Fu, Jackson 傅大勝 ARJ831 Rep 2008-11-28 2009-05-30
47 Fujita, Minoru AQE932 Rep 2007-12-27 2010-02-19
48 Fukuta, Yoshihiro 福田吉洋 AAF426 Rep 2008-04-15 2008-08-28
RO 2008-08-28 2009-04-23
49 Garrett, Adam Guy Orlebar 蓋首男 M ALQ136 Rep 2008-12-10 2008-12-10
50 Gilbert, Laurent Luc AKI922 Rep 2004-06-25 2005-06-02
51 Gill, Richard John Peter M AQQ119 Rep 2008-03-07 2010-02-19
52 Gleeson, James Anthony M AHT088 Rep 2008-06-12 2008-12-10
53 Go, Yoshinori 鄉喜順 M ADG400 Rep 2004-08-10 2004-09-01
RO 2004-09-01 2008-04-18
54 Gourmelen, Arnaud M AKX538 Rep 2008-12-08 2010-02-19
55 Gupta, Rahul (SFC:AGZ998) AGZ998 Rep 2008-12-10 2009-04-08
56 Hao, Xin (SFC:AMH819) 郝昕 AMH819 Rep 2005-08-10 2010-02-19
57 Hara, Hitoshi AMV311 Rep 2005-12-28 2010-02-19
58 Hashimoto, Kenichi 橋本賢一 AFA748 Rep 2008-06-02 2008-12-10
59 Hatanaka, Koji AHN473 Rep 2005-03-03
60 He, Qian (SFC:APV226) 何倩 APV226 Rep 2007-10-15 2009-06-20
61 Hillen, Florian Maarten ANR683 Rep 2006-07-24 2008-09-03
62 Hirasawa, Satoshi 44 M ADV752 Rep 2004-06-05
63 Ho, Arion Man Yiu 何汶叡 ALK797 Rep 2008-12-08 2009-10-24
64 Ho, Daniel King Wah 何景華 M AFY753 Rep 2004-07-06
65 Ho, Harrison Lok Sang 何樂生 M AAF434 Rep 2010-02-19
66 Ho, Jeffrey Chun Yu 何震宇 M AKO626 Rep 2004-05-04 2004-06-17
67 Honda, Tsukasa AQE935 Rep 2007-12-27 2010-02-19
68 Horiuchi, Go ANQ831 Rep 2006-07-18 2008-05-01
69 Hung, Kenneth Hei King 洪熙敬 M AEY448 Rep 2008-11-28 2010-02-19
70 Ichimura, Toru 市村亨 AIG945 Rep 2005-01-25
RO 2005-01-25 2006-07-24
71 Inukai, Masao 犬養昌生 ALO559 Rep 2004-12-29 2010-02-19
72 Kajitani, Yasuhide 梶谷泰秀 APF536 Rep 2007-07-18 2009-09-01
73 Kato, Katsuhito 加藤勝仁 AMF766 Rep 2005-07-20 2010-02-19
74 Kato, Mayumi 加藤真由美 AFK707 Rep 2004-11-15 2010-02-19
75 Kawahara, Michiko AGO010 Rep 2007-08-21 2010-02-19
76 Kawamata, Yasubumi ACN791 Rep 2007-12-10 2009-07-17
77 Kee, Tang Seng AEC763 Rep 2008-12-10 2009-04-08
78 Keith, John Perry M AFR251 Rep 2004-11-24
79 Kiang, Agnes Sik Fei 姜錫翡 F ABW119 Rep 2004-09-21 2005-04-20
80 Kikuchi, Satoshi (SFC:AHM444) AHM444 Rep 2006-07-31
81 Kim, Jin Gon API073 Rep 2007-08-06 2007-08-06
82 Kim, Seung Whan ADL515 Rep 2003-06-24
83 Kobayashi, Hisako AGA952 Rep 2010-02-19
84 Kot, Jack Hou Eric 葛積豪 M AJA361 Rep 2004-04-14 2008-09-03
85 Lai, Joey Wing Sze 黎詠詩 AFX335 Rep 2008-04-26
86 Lam, Calvin Si Yang 林思暘 M AOO266 Rep 2007-11-05 2009-04-30
87 Lam, Eric Tak Shing 林德成 M AAI558 Rep 2010-02-19
88 Lam, Kwong Yu (SFC:AFD849) 林光宇 AFD849 Rep 2006-08-11 2007-08-11
89 Lam, Wing Kit (SFC:AGB106) 林永傑 AGB106 Rep 2008-12-01 2010-02-19
90 Lau, Chi Leung (SFC:APH032) 劉志良 APH032 Rep 2007-09-10 2009-01-31
91 Lau, Joseph Han Wai 劉恆瑋 M AGH168 Rep 2008-12-15 2010-02-19
92 Lau, Marcus Chi Chiu 劉志超 M AAC292 Rep 2006-07-08 2010-02-19
93 Lau, Yau Fong 劉幽芳 AEY478 Rep 2004-01-30 2010-02-19
94 Lee, David (SFC:ADR496) M ADR496 Rep 2004-08-01
95 Lee, Kai Pong 李啟邦 ADW528 Rep 2010-02-19
96 Lee, Nga Ying (SFC:APQ801) 李雅瑩 APQ801 Rep 2008-09-03 2010-02-19
97 Lee, Siu Keung (SFC:AFG628) 李兆強 AFG628 Rep 2007-08-06 2007-09-11
98 Legaspi, Donna Rose Ong 王金美 F AOU143 Rep 2008-11-27 2010-02-19
99 Leung, Shui Yee 梁瑞儀 AFN181 Rep 2005-07-20 2008-04-24
100 Leung, Wai Kei (SFC:AKR467) 梁偉基 28 M AKR467 Rep 2008-12-08 2010-02-19
101 Leung, Yee Wan (SFC:ARB169) 梁綺雲 ARB169 Rep 2008-05-22 2010-02-19
102 Li, Elsa So Nga 李素雅 AFE039 Rep 2004-02-06
103 Li, Ming (SFC:AMW601) 李明 AMW601 Rep 2006-06-01 2008-08-08
104 Liem, Christopher M AHK489 Rep 2008-12-08 2010-02-19
105 Lin, Mason ADI140 Rep 2004-11-29
106 Liu, King Wai 劉勁威 AAD898 Rep 2010-02-19
107 Louie, Wai Tat 呂煒達 AML272 Rep 2007-02-13 2008-09-03
108 Lui, Dennis Kar Wong 呂家煌 M AFM600 Rep 2009-04-30
109 Lui, Kin Wai 呂健威 ANM045 Rep 2006-06-01 2007-05-28
110 Lynch, Brendan Jared M AQC410 Rep 2007-12-04 2008-05-14
111 Mak, Hin Chun 麥顯俊 M APL244 Rep 2008-11-28 2010-02-19
112 Matsuba, Naoki AHM443 Rep 2004-07-29
113 Matsuno, Kenji 松野健司 ADP942 Rep 2004-07-20 2009-06-08
114 McLean, Neil Iain M ARB806 Rep 2008-05-27 2010-02-19
115 Mennesson, Thomas M AQX047 Rep 2008-12-15 2010-02-19
116 Merger, David Sacha M AQY418 Rep 2008-06-16 2010-02-19
117 Mileusnic, James Simon M ARR526 Rep 2008-10-03 2009-04-30
118 Miyachi, Tsukasa ADT249 Rep 2004-12-29
119 Mori, Gordon Wayne M ACF715 Rep 2003-07-26
120 Murray, Hugh Mcpherson Lathrop APU514 Rep 2008-12-08 2010-02-19
121 Nagai, Rei ALO330 Rep 2004-12-23 2008-12-16
122 Nakada, Akira ARL729 Rep 2008-08-08 2010-02-19
123 Nakagawa, Masahiro (SFC:AHM813) 中川雅博 AHM813 Rep 2004-05-01
124 Nakata, Yuji 中田裕二 AGW554 Rep 2004-07-03
Rep 2007-05-09 2007-10-15
RO 2007-10-15 2008-04-28
125 Namba, Reiko 南波怜子 AMH213 Rep 2005-08-01 2008-01-23
126 Nate, Anthony Joseph M AQN997 Rep 2008-12-15 2010-02-19
127 Ng, Calvin Cheuk Sing 吳卓乘 M ARH478 Rep 2008-07-11 2008-12-03
128 Ng, Diana Tze Chiew 黃紫秋 F ADX263 Rep 2008-07-10 2009-04-22
129 Ng, Kenneth Tak Ming 吳德明 M AAF583 Rep 2008-12-04
130 Ng, Sze Man (SFC:AMN571) 吳施敏 AMN571 Rep 2007-05-15 2009-12-19
131 Ng, Wai Man (SFC:AAU344) 吳偉文 AAU344 Rep 2008-12-12
132 Nguyen, Nicholas Nolan M ARJ828 Rep 2009-01-12 2010-02-19
133 Nishikawa, Hiroyuki 西川博之 AED144 Rep 2004-12-02
134 Nishioka, Katsuhiro 西岡克裕 AIU719 Rep 2003-05-21 2006-01-14
135 Noble, Scott Clifford M APR259 Rep 2008-11-28 2009-01-17
136 Nomura, Kan AIU759 Rep 2003-05-13 2004-01-10
Rep 2004-03-11 2004-04-15
Rep 2007-01-08 2009-07-20
137 O'Boyle, Gerald Keith M AEI662 Rep 2005-12-07 2007-08-04
138 O'Meara, Christopher James Sidney M AFQ412 Rep 2008-11-28 2010-02-19
139 O'Neile, James Finlay M ALV097 Rep 2005-03-21 2010-02-19
140 Omoto, Atsushi ANU254 Rep 2008-12-10 2009-09-14
141 Ono, Naoki 大野直樹 AKI405 Rep 2004-04-02 2006-07-24
142 Otani, Tomono 大谷知乃 AIT881 Rep 2004-06-03 2007-07-28
143 Ozeki, Masanori APH922 Rep 2007-07-30 2010-02-19
144 Park, Ansik APL004 Rep 2007-08-23 2007-08-23
145 Park, Joohong AMM131 Rep 2009-01-12 2010-02-19
146 Phua, Teck Wee 潘德偉 APJ711 Rep 2008-11-28 2010-02-19
147 Poon, Catherine Tin Lai 潘天麗 F ADV934 Rep 2009-04-30
148 Poon, Peter Chi Kin 潘子健 M AFP931 Rep 2010-02-19
149 Poon, Shuk Fan (SFC:AEE926) 潘淑芬 AEE926 Rep 2010-02-19
150 Poon, Tik Ki 潘迪琪 APU796 Rep 2007-10-10 2009-09-12
151 Pradana, Jeff Arif M APJ987 Rep 2008-12-10 2010-02-19
152 Read, Matthew Christopher M ARO220 Rep 2008-08-29 2008-11-29
Rep 2008-12-01 2010-02-19
153 Riley, Shawn David M AMR319 Rep 2005-11-04 2007-08-30
154 Robson, John Mcgowan M AED494 Rep 2005-04-14 2006-10-28
155 Ryan, Jonathan David (SFC:AGX020) M AGX020 Rep 2008-12-08 2010-02-19
156 Sano, Nobuhiro 佐野 伸広 ADQ334 Rep 2007-08-24 2010-02-19
157 Sano, Yoichiro M AHD385 Rep 2010-02-19
158 Sawada, Hana AGK925 Rep 2008-12-10
159 Sekine, Hironori AOV158 Rep 2007-04-20 2008-12-06
160 Sekita, Hirosumi 関田洋純 AMF003 Rep 2005-07-06 2008-12-13
161 Shimada, Takehiro AAK803 Rep 2004-11-12
162 Siow, Lian Meng 蕭連銘 AQO337 Rep 2008-12-15 2009-08-08
163 Sisterson, John Paul M ACS560 Rep 2008-11-03 2008-12-10
164 So, Raymond Bing Kei 蘇秉基 M ADX208 Rep 2003-10-18 2004-04-18
Rep 2004-04-27 2006-05-11
165 Striet, Jelper ARE543 Rep 2008-12-10 2010-02-19
166 Subramanian, Viswanathan R APK593 Rep 2008-11-28 2009-07-24
167 Sun, Cheuk Wa 孫卓華 AFM321 Rep 2004-05-05
168 Takeuchi, Tomonori APG738 Rep 2007-07-31 2010-02-19
169 Tam, Jude Ho Yin 譚顥賢 ALA228 Rep 2004-07-26 2010-02-19
170 Tanaka, Yasuharu 田中康春 AHT285 Rep 2005-07-26
171 Tang, Wai Shing (SFC:AAF631) 鄧偉成 AAF631 Rep 2010-02-19
172 Tani, Kenichiro 谷健一郎 ANZ614 Rep 2006-09-20 2009-09-19
173 Teng, Jen-Chiang 鄧仁強 ACO943 Rep 2004-11-23
174 Teraguchi, Tomoyuki AKX077 Rep 2004-07-05 2005-02-02
RO 2005-02-02 2009-04-10
175 Thompson, Cormac Joseph M ARR528 Rep 2008-10-03 2010-02-19
176 Tong, Yuk Sun 唐玉臣 AAB845 Rep 2008-12-10
177 Ushiyama, Masaharu 牛山政治 M ABA459 Rep 2003-09-10
178 Wada, Koji 和田弘司 AKX078 Rep 2004-07-05 2005-07-25
179 Wang, Fang (SFC:AID230) 王芳 AID230 Rep 2008-12-10 2009-04-08
180 Watanabe, Kunio ANI941 Rep 2006-04-28 2006-06-29
RO 2006-06-29 2009-04-20
181 Watson, James Robert (SFC:ADB915) M ADB915 Rep 2004-11-29
182 Winspear, Richard Dean M ANE084 Rep 2007-08-13 2010-02-19
183 Wong, Andy Nam Fu 黃南富 ADB026 Rep 2009-05-14
184 Wong, Frederick Wai Cheung 黃偉翔 M AAC897 Rep 2007-07-07
185 Wong, Ka Hing (SFC:AIH624) 黃嘉馨 AIH624 Rep 2006-03-01 2006-09-22
186 Wong, Kylie Ka Lai 黃嘉麗 AQC859 Rep 2007-12-06 2009-11-20
187 Wong, Michael Chung Lim 黃仲廉 M ACA379 Rep 2010-02-19
188 Wong, Ming Lai (SFC:AMH300) 王銘麗 AMH300 Rep 2007-09-03 2008-11-01
189 Wong, Peter Tat Ming 黃達明 M ABP198 Rep 2006-12-15
190 Wong, William Koon Wei 黃觀威 M AOR555 Rep 2007-03-08 2008-12-10
191 Woo, Michael Hong Da 胡宏達 M AAF637 Rep 2010-02-19
192 Woo, Wai Tong 胡偉堂 ADZ983 Rep 2004-04-29
193 Xie, Jinhui (SFC:AQO522) 謝錦慧 AQO522 Rep 2008-12-10 2009-04-08
194 Yajima, Akihiko 矢島明彥 ANR662 Rep 2006-07-26 2008-07-30
195 Yao, Jack Hsin-Chou 姚信州 M APQ725 Rep 2008-12-08 2010-02-19
196 Yau, Yiu Pong 邱曉邦 AMF433 Rep 2005-07-13 2005-08-09
197 Yeung, Yuk Wah 楊毓華 AKP792 Rep 2004-05-22 2010-02-19
198 Yim, Leung Yuk 嚴良玉 AGC978 Rep 2004-03-23 2006-05-13
199 Yin, Raymond Lung 殷龍 M AAE887 Rep 2006-12-01 2008-11-01
200 Yoshida, Koji (SFC:ASF938) 吉田幸司 ASF938 Rep 2009-01-16 2010-02-19
201 Yoshizawa, Noriyasu ACG722 RO 2005-05-11
Rep 2005-05-11 2005-05-23
202 Yue, Kin Wan 茹健穩 AAE881 Rep 2008-09-06
203 Yun, Cheuk Ting Sara 甄灼婷 ANU766 Rep 2008-12-04 2008-12-10
204 Yung, Louis Chun Woon 翁進煥 M AON896 Rep 2008-11-17 2009-05-05
205 Yung, Wai Sing (SFC:ANP500) 容渭星 ANP500 Rep 2006-06-27 2007-04-27
206 Zamora, Poch Edward Imperial M AGM381 Rep 2008-09-03

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