NOMURA SECURITIES (HONG KONG) LIMITED

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SFC licensees

RO=Responsible Officer, Rep=Representative

Name Age in
2012		 ⚥ SFC ID Role From Until
1 Abbas, Asad (SFC:AIP440) AIP440 Rep 2010-06-28 2013-04-23
2 Adair, John Joseph M ADR043 RO 2012-03-01 2013-01-24
3 Ambai, Takahiro 安倍貴博 ASE990 Rep 2010-02-04 2013-04-23
4 An, Yeon Kyung 安延卿 AOS355 Rep 2011-08-01 2013-04-23
5 Arora, Gaurav (SFC:APA737) APA737 Rep 2009-01-12 2012-06-28
6 Asano, Shin 淺野真 ANS096 RO 2011-08-24 2012-12-10
7 Balasubramanian, Bharathan Kanthimathinathan AUW418 Rep 2010-03-15 2012-06-14
8 Beresford, Paul Richard M ANF151 Rep 2010-02-04 2012-12-09
9 Bret, Jean-Sebastien Pierre M AQX041 Rep 2008-12-15 2013-04-23
10 Burns, John Patrick (SFC:ATG678) M ATG678 Rep 2010-02-04 2013-04-23
11 Byworth, Richard Anthony M AUF080 Rep 2010-02-04 2013-04-23
12 Chak, Alan Kwok Fai 翟國輝 M AAY091 Rep 2011-01-03 2013-03-16
13 Chan, Ka Ying (SFC:AQM051) 陳嘉盈 AQM051 Rep 2010-02-04 2013-04-23
14 Chan, Wing Yin (SFC:ARX074) 陳詠賢 ARX074 Rep 2010-02-04 2013-04-23
15 Chen, Chengze APJ996 Rep 2008-12-08 2012-08-25
16 Cheung, San Tat 張新達 AFD549 Rep 2010-02-04 2013-04-23
17 Cheung, Wing Yan (SFC:ASN728) 張詠欣 ASN728 Rep 2010-02-04 2013-04-23
18 Chong, Kenny 莊嘉麟 M AOV191 Rep 2008-12-08 2013-04-23
19 Chung, Ji Bak 鄭知博 AWK854 Rep 2011-10-31 2013-03-24
20 Chung, Ka Kei (SFC:AYA305) 鍾家琦 AYA305 Rep 2011-09-15 2013-04-23
21 Chung, Suk Moon 鄭碩紋 AEK432 Rep 2012-03-12 2013-04-23
22 Corbett, Brian John M AYI037 Rep 2011-10-26 2013-04-16
23 Cultura, Crisostomo Medardo Felicisimo 顧鎮廷 ADZ871 Rep 2008-11-26 2012-12-09
24 Davies, Lloyd (SFC:APC386) APC386 Rep 2010-10-22 2013-04-23
25 Dolan, Paul Tiernan M APK727 RO 2011-09-08 2012-07-21
26 El Khoury, Jean (SFC:AWO016) AWO016 RO 2012-03-01 2013-04-16
27 Floyd, Michael (SFC:APK722) M APK722 Rep 2010-02-02 2013-04-23
28 Fujita, Minoru AQE932 Rep 2010-02-02 2012-06-08
29 Gill, Richard John Peter M AQQ119 Rep 2010-02-02 2013-01-14
30 Goodwin, Douglas Samuel M AUI207 Rep 2009-12-23 2012-07-31
31 Hanly, Seamus Anthony M ASN900 Rep 2010-02-02 2013-04-23
32 Hao, Xin (SFC:AMH819) 郝昕 AMH819 Rep 2010-02-02 2013-04-23
33 Hirabayashi, Yasuko ASM441 Rep 2012-03-15 2013-04-23
34 Ho, Harrison Lok Sang 何樂生 M AAF434 RO 2010-06-15 2013-05-31
35 Horsley-Heather, Nicholas John (SFC:ASZ379) M ASZ379 Rep 2009-11-02 2012-09-13
36 Inukai, Masao 犬養昌生 ALO559 Rep 2010-02-02 2013-04-23
37 Jung, Christopher Lam 曾俊文 M ADX061 Rep 2011-08-15 2012-06-20
38 Kato, Katsuhito 加藤勝仁 AMF766 Rep 2010-02-02 2013-04-23
39 Kato, Mayumi 加藤真由美 AFK707 Rep 2010-02-02 2012-05-31
40 Kawahara, Michiko AGO010 Rep 2010-02-02 2013-04-23
41 Kobayashi, Hisako AGA952 Rep 2010-02-02 2012-05-31
42 Koerber, Matthias M APZ541 Rep 2010-02-01 2013-04-23
43 Laible, Robert Karl M AOH890 RO 2010-04-30 2012-11-15
44 Lam, Herman Kai Man 林啟文 M AVC363 Rep 2010-05-03 2013-04-23
45 Lau, Joseph Han Wai 劉恆瑋 M AGH168 Rep 2008-12-15 2012-08-09
46 Lau, Yau Fong 劉幽芳 AEY478 Rep 2010-02-03 2013-04-23
47 Leung, Wai Kei (SFC:AKR467) 梁偉基 31 M AKR467 Rep 2008-12-08 2013-02-16
48 Leung, Yee Wan (SFC:ARB169) 梁綺雲 ARB169 Rep 2010-02-03 2013-04-23
49 Li, Haoyi (SFC:ASF604) 李豪翼 ASF604 Rep 2010-07-26 2013-03-01
50 Lo, Yue Hin 羅宇軒 ANB463 Rep 2010-07-02 2013-04-23
51 Lu, Yen Ying 呂彥穎 AQF011 Rep 2011-07-28 2012-12-18
52 Luk, James Kuo Sheng 陸覺生 M AWA383 Rep 2011-08-22 2013-04-23
53 Mak, Hin Chun 麥顯俊 M APL244 Rep 2010-02-03 2013-04-23
54 Mao, Wei (SFC:ATD879) 毛威 ATD879 Rep 2009-07-02 2012-08-07
55 McCarron, Ciaran Peter M AVE056 Rep 2010-05-14 2013-04-23
56 McLean, Neil Iain M ARB806 Rep 2010-02-04 2012-12-16
57 Mennesson, Thomas M AQX047 Rep 2008-12-15 2012-06-06
58 Merger, David Sacha M AQY418 Rep 2010-02-04 2012-06-08
59 Miyashiro, Ken M AOR659 Rep 2011-09-02 2013-04-23
60 Montgomery, Alexander James (SFC:ATB717) M ATB717 Rep 2010-07-12 2013-04-23
61 Nakanishi, Hajime 中西基 AWN423 Rep 2010-12-29 2013-04-23
62 Nate, Anthony Joseph M AQN997 Rep 2008-12-15 2013-04-16
63 Neuber, Hye-na AVH110 Rep 2010-06-07 2013-04-23
64 O'Neile, James Finlay M ALV097 Rep 2010-02-04 2013-04-23
65 Park, Joohong AMM131 Rep 2009-01-12 2013-05-31
66 Poon, Peter Chi Kin 潘子健 M AFP931 Rep 2010-02-04 2013-04-23
67 Poon, Shuk Fan (SFC:AEE926) 潘淑芬 AEE926 Rep 2010-02-04 2013-04-23
68 Read, Matthew Christopher M ARO220 Rep 2010-02-04 2013-04-23
69 Ryan, Jonathan David (SFC:AGX020) M AGX020 Rep 2008-12-08 2013-04-23
70 Sano, Yoichiro M AHD385 Rep 2010-02-03 2013-04-23
71 Shaha, Sourabh Sharashchandra ANX921 Rep 2011-09-15 2013-04-23
72 Slezack, Emmanuel M ADL039 Rep 2011-03-28 2013-04-16
73 Spensley, Oliver Giles M ASW652 Rep 2010-09-06 2012-12-09
74 Tam, Jude Ho Yin 譚顥賢 ALA228 Rep 2004-12-03 2013-05-31
75 Thompson, Cormac Joseph M ARR528 Rep 2010-02-03 2012-12-03
76 Tong, Derek Wai Hon 唐偉瀚 M ALU283 Rep 2010-02-03 2012-10-20
77 Van der Ven, Jeroen Willibrord Erlend M AWC090 Rep 2011-12-15 2013-04-23
78 Winspear, Richard Dean M ANE084 Rep 2010-02-03 2013-04-23
79 Wong, Jonathan Philip 黃俊皓 M AXV837 Rep 2011-08-22 2013-04-02
80 Wong, Mabel (SFC:APJ995) 黃美寶 F APJ995 Rep 2010-02-03 2013-04-02
81 Woo, Michael Hong Da 胡宏達 M AAF637 Rep 2010-02-03 2013-04-23
82 Wright, Jake Robert (SFC:AYA323) M AYA323 Rep 2011-09-19 2013-04-23
83 Wright, Richard (SFC:APW591) M APW591 Rep 2010-07-20 2013-04-23
84 Yao, Jack Hsin-Chou 姚信州 M APQ725 Rep 2008-12-08 2012-08-18
85 Yeung, Kei Yuen 楊紀元 AFC433 Rep 2010-06-07 2012-07-10
86 Yeung, Yuk Wah 楊毓華 AKP792 Rep 2010-02-03 2013-04-23
87 Yoshida, Koji (SFC:ASF938) 吉田幸司 ASF938 Rep 2010-02-03 2013-04-23

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