CLSA RESEARCH LIMITED 里昂證券投資研究有限公司

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SFC licensees

RO=Responsible Officer, Rep=Representative

Name Age in
2009
SFC ID Role From Until
1 Agarwal, Ashish Ashok M ARQ376 Rep 2008-09-22 2012-11-01
2 Au, Johannes Yu Hang 歐宇恆 M AOP023 Rep 2007-02-26 2008-11-20
3 Au, Yiu Bong 區耀邦 AMV085 Rep 2005-12-23 2008-05-10
4 Balanco, Laurence M APG273 Rep 2007-07-18 2008-05-20
Rep 2008-06-19 2012-12-17
5 Bengson, Michael Roxas M AOY686 Rep 2007-05-30 2010-08-13
6 Bhatt, Jay Hemant ADR152 Rep 2004-05-10
7 Bowers, John Pennington M ARM695 Rep 2008-08-25 2012-12-24
8 Bradley, Edmund Hugh M ABS842 RO 2014-06-18
9 Bruce, Robert Cameron M AEC837 Rep 2007-06-21 2012-12-24
10 Calder, Kieran John M APF162 Rep 2007-07-10 2007-09-29
11 Cao, Bingchao 曹秉超 AMM311 Rep 2007-04-13 2008-08-08
12 Capron, Jeremie Laurent M APB797 Rep 2007-06-29 2012-12-10
13 Cashmore, Nicholas Willoughby M ALL246 Rep 2004-11-16 2007-02-01
Rep 2008-09-12 2012-01-24
14 Chan, Dominic Chi Ming 陳志銘 M ADC344 Rep 2008-05-07
15 Chan, Gabriel Raeburn 陳偉邦 M AHN285 Rep 2003-12-09 2004-08-27
16 Chan, Kerry Mo Yu 陳慕瑜 ADU088 Rep 2004-11-22
17 Chan, Kevin Wing Tak 陳永德 43 M ACN248 Rep 2008-06-27 2012-12-17
18 Chan, Pui Tin (SFC:APK145) 陳佩鈿 APK145 Rep 2009-06-22 2011-05-11
19 Chan, Siu Cheong (SFC:AOR822) 陳兆昌 AOR822 Rep 2007-03-16 2009-05-18
20 Chan, Tien-Yu APA081 Rep 2007-06-25 2008-08-30
21 Chan, Vonnie Lai Yin 陳麗妍 AFY292 Rep 2006-08-31
22 Chan, Yan (SFC:AOB250) 陳茵 AOB250 Rep 2008-11-25 2012-01-16
23 Chan, Yat Hei (SFC:APR545) 陳逸熙 APR545 Rep 2007-09-27 2010-07-02
24 Chaturvedi, Deepti ARP391 Rep 2008-09-11 2012-12-03
25 Chee, Chin Aik AQD022 Rep 2007-12-12 2008-08-29
26 Chen, Chia-Chi 陳佳琦 AOS687 Rep 2007-04-16 2012-12-10
27 Chen, John (SFC:AOX386) 陳健雄 M AOX386 Rep 2007-05-15 2010-09-17
28 Chen, Li-Fong 陳豊丰 AOX090 Rep 2007-05-18 2008-04-02
29 Chen, Wenhan (SFC:APF628) 陳文翰 APF628 Rep 2007-07-10 2010-09-10
30 Chen, Ying (SFC:APU686) 陳瑩 APU686 Rep 2008-10-21 2009-08-19
31 Chen, Zi Mu ALA254 Rep 2004-07-26 2006-11-09
32 Cheng, Brian Chi Ming 鄭志明 27 M AMN877 Rep 2005-10-13 2007-12-21
33 Cheng, Chao-Kang 鄭兆剛 AOX412 Rep 2007-05-21 2012-12-03
34 Cheng, Ming-Kai 鄭名凱 AML921 Rep 2005-09-16 2006-05-04
Rep 2006-08-21 2011-08-01
35 Cheng, Tau Cheung 鄭導昌 AFC185 Rep 2006-09-07
36 Cheung, Francis Yiu Cheong 張耀昌 M AFZ520 Rep 2012-12-10
37 Cheung, Tsz Kit 張子傑 AIX574 Rep 2004-04-23 2005-09-21
38 Chin, Clare Kit Ching F AQA973 Rep 2007-11-29 2012-12-03
39 Chiu, On Sang 丘安生 AJE177 Rep 2003-09-24 2005-01-24
40 Cho, Larry Yui Kwan 曹銳焜 M ALQ596 Rep 2009-06-25 2009-09-11
41 Chu, Christopher (SFC:AQD399) M AQD399 Rep 2007-12-12 2008-07-25
42 Chu, Tien 朱恬 AOX106 Rep 2007-05-18 2012-11-30
43 Chung, Yong Ho AQI680 Rep 2008-02-01 2012-12-31
44 Cochran, Shaun Donald M APA066 Rep 2007-06-07 2012-12-31
45 Coull, Gary William John 顧家利 55 M AAB495 RO 2006-10-26
46 Da Cruz, Antonia Maria 告崇 F AQD991 Rep 2007-12-18 2012-12-01
47 Dai, Wei (SFC:AOR609) 戴維 AOR609 Rep 2007-03-15 2010-05-18
48 Dhasmana, Vaibhav AQM703 Rep 2009-02-16 2011-08-26
49 Dinwoodie, Christian Gilbert M ANA837 Rep 2008-09-05 2012-12-03
50 Driscoll, Andrew Tasman M ALT900 Rep 2005-03-07 2012-12-03
51 Dutta, Anirudha APC644 Rep 2007-07-03 2012-11-01
52 Dwerryhouse, Alan Damian (1966-11-10) 43 M ARP686 Rep 2008-09-18 2012-12-03
53 Dy, Alfred Olmedo M APA371 Rep 2007-06-25 2012-11-01
54 Ejiri, Norimasa ARO887 Rep 2008-09-10 2008-10-24
55 Evans, Matthew Neil (SFC:AFC355) M AFC355 Rep 2007-06-13 2012-12-17
56 Fallon, Nicola Gillian F AKX172 Rep 2004-07-06 2007-02-01
57 Fan, Cliff Kuang Cheng 樊光正 ALG179 Rep 2007-01-16 2007-03-16
58 Feng, Dawei (SFC:AQO276) 馮大為 AQO276 Rep 2009-02-04 2012-12-10
59 Fischer, Aaron Alexander 余雅樂 M ALW738 Rep 2005-04-19 2007-02-01
Rep 2007-06-08 2012-12-03
60 Fishwick, Eric James M AFJ086 Rep 2008-08-08 2012-12-10
61 Gill, Amar Singh (SFC:AHB999) 喬昇安 M AHB999 Rep 2007-03-08
RO 2007-03-08 2007-08-30
Rep 2007-08-30 2012-12-03
62 Gotama, Suwantara Lim ARP468 Rep 2008-09-17 2012-12-31
63 Govil, Anshu ARQ357 Rep 2008-09-22 2011-04-15
64 Goyal, Atul APF163 Rep 2007-07-17 2011-09-05
65 Graham, William James Angus 40 M ALA252 Rep 2004-07-26 2005-01-10
Rep 2007-08-30 2009-04-17
66 Gruber, James M AMX921 Rep 2007-06-07 2010-07-03
67 Halmos, Laurent Jacques M AMX737 Rep 2008-04-23 2008-11-12
68 Harbison, Janet Ruth F ARP726 Rep 2008-09-18 2012-12-10
69 Hewitt, David James M APG723 Rep 2007-07-25 2011-05-12
70 Ho, Eric Wing Kee 何永基 M AFU890 Rep 2007-12-11 2008-07-18
71 Ho, Henry Hin Hung 何顯鴻 53 M AAB955 Rep 2008-05-08 2008-11-14
72 Ho, Hung Chi 何鴻智 ANH008 Rep 2008-06-10 2009-03-06
73 Ho, Ka Wai (SFC:AKV099) 何家維 42 M AKV099 Rep 2005-05-18 2009-03-04
74 Hong, Jenny F AQM707 Rep 2009-02-26 2012-06-29
75 Hsu, Hui-Hui 許蕙蕙 AOX413 Rep 2007-05-16 2011-05-09
76 Huang, Chen (SFC:AQM708) 黃晨 AQM708 Rep 2009-02-03 2012-12-03
77 Ie, Wilianto AOX432 Rep 2007-05-22 2010-08-31
78 Jiang, Yujiao 蔣玉姣 APM041 Rep 2007-08-27 2008-04-09
79 Jing, Xingyu AJO539 Rep 2004-03-22 2005-05-25
80 Juatirak, Pisit ARQ318 Rep 2008-09-22 2008-12-01
81 Kan, Ching-Jen 甘清仁 AOX099 Rep 2007-05-18 2009-08-03
82 Kao, Margaret Ju-Han 高若涵 F AQD029 Rep 2007-12-11 2009-03-04
83 Kim, Jeewon F AQQ470 Rep 2008-03-17 2008-11-24
84 Knowd, Graeme David M APJ205 Rep 2007-08-06 2008-05-17
85 Kurosawa, Makoto AOY382 Rep 2007-05-30 2012-06-22
86 Kwan, Wing Kin (SFC:ALU751) 關永堅 ALU751 Rep 2005-03-10 2007-05-03
87 Kwan, Wing Lok 關榮樂 ADT427 Rep 2004-09-09 2009-03-04
88 Lai, Hui Chuan 賴惠娟 AOG219 Rep 2006-11-28 2010-11-30
89 Lai, Kuen 賴娟 F ARI520 Rep 2008-07-18 2008-12-31
90 Lai, Miranda Fung Sin 黎鳳仙 F ALQ554 Rep 2005-03-02 2005-09-21
91 Lam, Wai Fung (SFC:AIH365) 林偉峰 AIH365 Rep 2003-09-10
92 Laprise, James Scott M AOU071 Rep 2007-04-10 2012-12-10
93 Lau, Siu Man (SFC:ACV996) 劉紹文 ACV996 Rep 2004-07-06
94 Lau, Stephanie Chi Ling 劉致伶 F APG601 Rep 2007-07-16 2008-10-08
95 Lee, Chan Pheng AQD724 Rep 2008-01-02 2009-03-04
96 Lee, Chun Wah (SFC:AFR066) 李俊華 AFR066 Rep 2004-07-02 2005-09-28
97 Lee, David Jun Hyuk 李峻赫 M AEO164 Rep 2008-02-01 2012-12-03
98 Lee, Kwok Chu (SFC:ALT779) 李國柱 ALT779 Rep 2005-03-03 2010-04-22
99 Lee, Sai Fan 李世璠 AFB313 Rep 2004-01-27 2006-10-27
100 Lee, Sarah Hau Yee 李巧兒 F AHC334 Rep 2003-09-13
101 Lee, Young Jae AQR411 Rep 2008-03-26 2009-06-30
102 Leong, Eugenia 梁嘉敏 F AQD030 Rep 2007-12-11 2009-06-04
103 Leung, Heung Yik 梁向奕 AIH476 Rep 2012-12-10
104 Leung, Kevin Koon Yip 梁冠業 M AMY262 Rep 2006-01-23 2008-04-29
105 Leung, Pak Chun 梁柏津 AQH376 Rep 2008-01-11 2010-09-17
106 Leung, Stephen Yiu Ki 梁耀基 M APB446 Rep 2007-06-11 2009-11-25
107 Leung, Sze Wai (SFC:AMJ602) 梁思慧 AMJ602 Rep 2007-08-22 2012-12-31
108 Leung, Wing Chong (SFC:AJE082) 梁穎聰 AJE082 Rep 2003-09-18 2004-06-16
109 Li, Hui (SFC:ACF342) 李慧 ACF342 Rep 2007-03-15
110 Li, Zhe (SFC:AOT398) 李喆 AOT398 Rep 2007-04-02 2011-04-08
111 Lim, Dong Soo 林東秀 AME244 Rep 2007-06-07 2012-12-03
112 Lim, Yuin 林昀 AQR077 Rep 2008-04-08 2009-03-04
113 Liu, Wei (SFC:ALG199) 劉煒 ALG199 Rep 2007-02-26 2008-05-28
114 Liu, Yun (SFC:AHS958) 劉運 AHS958 Rep 2004-04-06
115 Lobello, Christopher Michael M ADZ738 Rep 2008-01-07
RO 2008-01-07 2008-07-04
Rep 2008-07-04 2011-01-11
116 Loh, Emily Weixian F AOY689 Rep 2007-05-30 2007-09-01
117 Loong, Chee Wei AMJ210 Rep 2007-07-03 2012-11-01
118 Lowe, Adrian Phillip 劉世君 M AFA333 Rep 2008-06-30
119 Lu, Kuen-Lin 呂昆霖 ASD704 Rep 2009-01-02 2012-11-01
120 Lu, Wen Pin 盧文彬 AHP538 Rep 2003-07-08 2006-06-23
121 Lu, Zheng (SFC:ARD176) 盧正 ARD176 Rep 2008-05-28 2010-08-06
122 Lui, Man Yee 呂敏儀 ALW606 Rep 2005-08-24 2008-06-20
123 Luk, Amy Ka Ping 陸嘉萍 37 F ALL503 Rep 2005-09-30 2007-07-21
124 Luk, Priscilla Hau Yi 陸巧兒 F AHC324 Rep 2003-08-11
125 Ma, Weihui 馬維慧 AOU804 Rep 2007-04-24 2007-07-01
126 Ma, Yuan (SFC:APH710) 馬原 APH710 Rep 2007-07-30 2007-11-24
127 Maes, Caroline Nelly Paul AOY692 Rep 2007-06-04 2009-10-16
128 Man, Wai Lok 文偉樂 AEZ690 Rep 2012-12-17
129 Manalaysay, Raphael Tablante M ARP903 Rep 2008-09-18 2010-06-04
130 Matthew, Oliver James Gray M ARO877 Rep 2008-09-10 2012-12-24
131 McKenzie, Paul Conor M AAV863 Rep 2003-07-02 2012-12-24
132 Miyamoto, Takeo M APC292 Rep 2007-06-25 2007-11-27
133 Moe, Richard Edward M AML157 Rep 2008-01-24 2010-01-13
134 Montague, Jolyon Charles M AJC260 Rep 2003-08-04 2009-09-28
135 Morrison, Robert William Bentley 48 M AGQ547 RO 2006-11-14 2009-06-30
136 Moss, James Thomas M AJC737 Rep 2007-05-21 2012-02-22
137 Muston, Nigel Peter M AQU888 Rep 2008-04-24 2012-12-24
138 Muthangi, Kamal Sandeep Ram APF164 Rep 2007-07-09 2007-08-08
139 Nandurkar, Mahesh Yashwant M ARQ374 Rep 2008-09-22 2012-12-17
140 Neelakantan, Krishnan APC641 Rep 2007-07-03 2012-11-01
141 Ng, Huei Suen AQE291 Rep 2007-12-27 2012-12-10
142 Ng, Karen Ka Fai 吳家暉 29 F ALF793 Rep 2004-09-14 2005-12-07
143 Nguyen, Anh Tai APJ750 Rep 2007-08-13 2007-12-22
144 Nichgaroon, Pimpaka AOX444 Rep 2007-05-21 2007-12-29
145 Nik Mahmood, Nik Hadi Bin AMJ211 Rep 2009-04-03 2009-08-29
146 O'Connor, Kevin John (SFC:AJC482) M AJC482 Rep 2003-08-04 2007-06-30
147 Obi, Uzoamaka Uduego AFX071 Rep 2003-06-20
148 Oentung, Nicolaos Marcelinus AQB150 Rep 2007-12-03 2009-05-01
149 Oh, Jon Teng ATC963 Rep 2009-06-24 2012-12-17
150 Oh, Jung Won APA039 Rep 2007-07-03 2013-01-04
151 Olausson, Bernt Niklas AEY431 Rep 2007-04-18 2007-11-10
152 Panjwani, Rajesh M ARQ373 Rep 2008-09-22 2012-12-24
153 Panpiemras, Soraphob AOX440 Rep 2007-05-21 2008-04-23
154 Park, Sang Eun AQI679 Rep 2008-02-05 2011-03-01
155 Park, Terence-Young ARN268 Rep 2008-08-25 2012-12-31
156 Paterson, James Willock M ADA085 RO 2009-05-08 2013-02-26
157 Peza, Charle Ong AEH887 Rep 2003-05-05 2004-08-10
158 Pope, Leavitt Joseph M AOY694 Rep 2008-10-28 2010-08-20
159 Powell, Simon Philip M AOA162 Rep 2006-09-27 2012-12-31
160 Quah, Paul Wui Khaig M ALW871 Rep 2007-08-30 2012-12-24
161 Reynolds, Andrew Shawn 44 M AHF331 Rep 2007-02-01
Rep 2007-08-07 2009-03-31
162 Rheinwald, Stefan Willibald APC635 Rep 2007-06-28 2007-10-20
163 Richter, Christopher John M AQI406 Rep 2008-01-21 2012-12-03
164 Roberts, Christopher Fenton 羅弼時 M AAD528 Rep 2003-07-02 2004-05-10
Rep 2005-06-28 2005-12-23
Rep 2006-07-17 2007-06-19
165 Sandison, David John Macgregor 46 M ABA590 Rep 2008-09-18 2009-10-09
166 Sanft, Erwin Ralph 歐文 39 M AED179 Rep 2004-06-25
167 Sangiambut, Manop AJN957 Rep 2004-03-10 2005-09-28
168 Saunders, John Russell M AFG796 Rep 2007-09-11
169 Schuster, Andreas Albert M APF264 Rep 2007-07-25 2012-11-01
170 Schutte, Daniel Johannes M AHD687 Rep 2009-12-31
171 Senaratne, Dee Cyril M ARG664 Rep 2008-06-27 2012-12-03
172 Shi, Fangqiu 史方遒 AFD135 Rep 2006-10-17
173 Sinha, Neel NA APC653 Rep 2007-07-03 2009-04-30
174 Sinha, Somshankar APH048 Rep 2007-07-24 2012-05-26
175 Snelgrove, Paul Rodger M AEE375 Rep 2004-09-24 2006-07-28
176 So, Petrina Pui Yan 蘇佩恩 AMJ575 Rep 2007-06-07 2008-08-08
177 Solihin, Ahmad AML241 Rep 2008-03-10 2010-07-16
178 Solvet, Eric Serge M AFJ283 Rep 2006-02-20 2007-03-19
179 Srivichit, Jittrawadee AOX470 Rep 2007-05-22 2008-07-24
180 Stevenson, Andrew Mark Bryce 46 M AGA310 Rep 2004-08-02 2008-08-01
181 Stotz, Andrew Charles M AML160 Rep 2007-11-26 2010-01-13
182 Sutton, Peter Thomas M ADK261 Rep 2009-03-31 2012-12-24
183 Tan, Janice Chui Ha 譚翠霞 AGJ236 Rep 2007-06-07
184 Tang, Chi Kit (SFC:ALC474) 鄧智傑 ALC474 Rep 2007-08-22 2008-07-04
185 Tang, Chuan (SFC:AMF316) 唐川 AMF316 Rep 2008-06-10 2009-02-19
186 Tang, Xiaobo (SFC:ALY952) 唐驍波 ALY952 Rep 2005-10-25 2006-09-29
187 Thirlwall, Oliver Julian M AIC316 Rep 2003-09-30
188 Tonkin, Jeremy Nigel M APH255 Rep 2007-07-25 2009-03-04
189 Trinidad, Jose Edser Diaz AOX471 Rep 2007-05-30 2007-06-30
190 Tsoi, Ting Sze 蔡婷思 ABS481 Rep 2003-07-02 2010-06-30
191 Tulloch, Gillem Michael M AOX454 Rep 2007-05-18 2008-01-01
192 Vajpayee, Bhavtosh ASO493 Rep 2009-03-31 2011-04-08
193 Venezuela, Leo Benedict Dualan M AQA671 Rep 2007-11-21 2012-03-30
194 Voss, Vanessa Christine F AOO682 Rep 2009-02-02 2009-11-20
195 Wan, Paul Po Wing 溫寶榮 M APC277 Rep 2007-07-04 2012-12-24
196 Wang, Bo (SFC:AGD229) 汪波 AGD229 Rep 2004-09-16 2005-01-06
197 Warden, Bruce Bailey M AOX422 Rep 2007-05-21 2011-07-11
198 Watson, James Tinto (SFC:AQM722) M AQM722 Rep 2009-07-13 2009-11-30
199 Wei, Xiaopo 魏晓坡 AKN219 Rep 2007-06-26 2012-12-31
200 Whittall, Matthew St Clair 36 M AQU887 Rep 2008-04-10 2010-07-05
201 Wickramasinghe, Thilan Aloysius AOY691 Rep 2007-06-04 2010-04-19
202 Wilkinson, Anthony John Cooper M AFD111 Rep 2005-10-25 2011-05-27
203 Wong, Mabel Mei Po 黃美寶 F AFQ488 Rep 2005-10-21
204 Wong, Yew Kiang AOY690 Rep 2007-06-04 2012-12-31
205 Wong, Yim (SFC:AFU666) 王艷 AFU666 Rep 2006-10-09 2012-12-24
206 Wood, Christopher James Russell 52 M ADU465 Rep 2012-12-10
207 Wu, Fei (SFC:AQM713) 吳菲 AQM713 Rep 2009-02-03 2011-04-15
208 Wu, Grace Yuet Ming 胡月明 F AKI974 Rep 2007-07-16 2008-09-05
209 Wu, Jiaxin (SFC:ARD174) 吳佳鑫 ARD174 Rep 2008-05-28 2010-07-22
210 Yadav, Gaurav ARQ320 Rep 2008-09-22 2011-04-18
211 Yahata, Kanehide 八幡謙秀 APQ784 Rep 2007-09-24 2010-05-30
212 Yeoh, Pang Tian APK473 Rep 2007-08-22 2008-06-20
213 Yeung, Keith Kwok Ki 楊國基 M ADT376 Rep 2006-07-26
214 Yin, Li (SFC:APR855) APR855 Rep 2007-10-02 2008-05-09
215 Yonts, Charles Anthony M AJM207 Rep 2007-05-03 2012-12-03
216 Yuen, Robin 袁肇鋒 AQD400 Rep 2007-12-12 2009-03-04
217 Yung, Melody Wing Ping 容詠萍 F ALT790 Rep 2007-03-22 2008-02-04
218 Zee, Chi Ming 徐啟敏 AFT051 Rep 2004-03-30 2005-04-27
219 Zhang, Feng (SFC:AGP569) 張峰 AGP569 Rep 2003-08-14 2004-07-13
220 Zhang, Jingjing (SFC:AOL563) 張晶晶 AOL563 Rep 2007-01-29 2007-03-09
221 Zhang, Weifeng (SFC:AOT367) 張偉峰 AOT367 Rep 2007-04-02 2011-04-18
222 Zhou, Ling (SFC:AQM715) 周靈 AQM715 Rep 2008-02-21 2011-04-18
223 Zhu, Liliang (SFC:AQW227) 朱麗凉 AQW227 Rep 2009-02-04 2011-04-18
224 Zhuo, Zhengjie AOY693 Rep 2007-06-04 2008-02-02

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