GOLDMAN SACHS (ASIA) SECURITIES LIMITED 高盛(亞洲)證券有限公司

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Activity type: AllAdvising on corporate financeAdvising on futures contractsAdvising on securitiesAsset managementAutomated trading servicesClient clearing services for OTC derivative transactionsCredit rating servicesDealing in futures contractsDealing in or advising on OTC derivative productsDealing in securitiesDepositary services for relevant CISsLeveraged foreign exchange tradingSecurities margin financing

SFC licensees

RO=Responsible Officer, Rep=Representative

	Name	Age in 2013	⚥	SFC ID	Role	From	Until
1	Aggarwala, Saurabh			AVD967	Rep	2012-08-30	2016-10-10
2	Agne, Mark Edward (SFC:ANP670)		M	ANP670	RO	2006-09-26	2016-05-21
3	Alogoskoufis, Spyros			ASO432	Rep	2012-04-30	2014-03-21
4	Ben-Shachar, Sa-Ar David		M	AQI397	Rep	2008-01-22	2016-10-10
5	Besson, Guillaume Gerard Marie		M	ALI003	RO	2011-02-23	2016-03-02
6	Bollinger, Stefan Rolf			AVO601	RO	2011-12-06	2013-10-16
7	Byun, Hyungsoo 邊亨洙			AYA541	Rep	2012-10-10	2014-04-26
8	Chan, Kelvin Chi Kong 陳志江		M	AHS841	Rep	2011-02-25	2014-04-18
9	Chan, Pui Ping 陳沛萍			ACW670	Rep		2016-10-10
10	Chau, Chun 周聰			ACS103	Rep		2016-10-10
11	Chen, Zhihu 陳志湖			BAH710	Rep	2012-10-12	2015-04-28
12	Cheung, Suk Mun 張淑敏			AIG228	Rep	2011-08-02	2014-05-31
13	Chowdhary, Pranav			ATF072	Rep	2012-10-16	2014-03-08
14	Chu, Wayne Wing Kar 朱永嘉		M	AHO643	Rep	2012-04-27	2013-03-12
15	Chung, Wilson James Ka Lun 鍾家綸		M	AXG767	Rep	2012-04-27	2016-05-05
16	Churchouse, Jean-Paul Antony		M	AFI697	Rep	2012-04-27	2014-05-08
17	Dalmasse, Canute Howard		M	AND837	RO	2012-07-05	2016-10-10
18	Dommenge, Kevin Michael		M	APF352	Rep	2012-04-27	2015-11-25
19	Falipou, Fabien Jean Roger		M	AZY951	Rep	2012-08-06	2016-10-10
20	Fan, Kai (SFC:BAA250) 樊鍇			BAA250	Rep	2012-08-09	2015-06-06
21	Feng, Yahui 馮雅慧			BAA252	Rep	2012-08-09	2014-06-28
22	Frommer, Maya Elizabeth		F	AYS877	Rep	2012-04-27	2016-10-10
23	Goodman, Jamie Macnaught Rodber		M	APD423	Rep	2012-04-27	2016-10-10
24	Grunberger, Bo Fredrik			APW450	Rep	2012-04-27	2016-10-10
25	Hirokane, Scott Yukiji		M	AZH207	Rep	2012-04-17	2016-03-16
26	Hu, Kelvin V		M	AZZ279	Rep	2012-08-06	2015-01-29
27	Hutchins, Jeff Daniel		M	ASY640	Rep	2012-03-21	2013-03-30
28	Ip, Vincent Yuk Kwan 葉鈺崑		M	AHQ950	Rep	2012-04-27	2014-02-15
29	Joly, Jean Denis			AMN692	RO	2012-02-06	2016-05-04
30	Kekke, Shuya 結解秀哉			ATI096	RO	2012-09-13	2013-03-29
31	Kim, Jason Lee		M	AQM091	Rep	2012-04-27	2013-08-10
32	Ko, Cheuk Yan 高卓仁			AVA622	Rep	2011-07-18	2016-10-10
33	Kok, Ka Keung 郭家強			AHF204	Rep	2010-04-08	2016-03-19
34	Krautheim, Erica Shao-Ning		F	AWG056	Rep	2012-05-08	2014-03-18
35	Kumar, Ajay (SFC:ARN358)			ARN358	Rep	2012-05-25	2016-10-10
36	Lam, Calvin Chi-him 林子謙		M	ARJ016	Rep	2012-04-27	2016-10-10
37	Lam, Raymond (SFC:AZR331) 林禮文		M	AZR331	Rep	2012-06-19	2016-10-10
38	Lau, Adrian Yan Ho 劉恩豪		M	AZR002	Rep	2012-06-18	2015-05-21
39	Lau, Lambert Ming Yeung 劉名揚	34	M	AGP157	Rep		2015-10-19
40	Lau, Valerie Wai Chee 劉蕙芝			AUX419	Rep	2012-04-27	2013-03-26
41	Leung, Simon Chung Man 梁頌文		M	AJL621	Rep	2011-03-25	2014-02-19
42	Leung, Stephanie Wing Ying 梁穎瑩		F	ANG578	Rep	2012-05-02	2013-03-01
43	Mak, William Wai Hang 麥偉恒		M	AUZ473	Rep	2010-04-12	2016-10-10
44	Marsh, Nicholas James (SFC:ANH720)		M	ANH720	Rep	2012-04-27	2013-04-06
45	McFarland, Christina Ma 馬智萍		F	ADU896	RO	2012-07-03	2016-10-10
46	McMakin, Benjamin Reese III		M	AUS203	Rep	2013-01-21	2016-10-10
47	McQuade, Ryan F		M	AVS364	Rep	2012-04-27	2016-10-10
48	Montgomery, James Adam		M	ARN056	Rep	2012-04-27	2014-02-13
49	Morse, Robert Edson		M	BAC379	Rep	2012-08-28	2014-02-01
50	Moser, Ronald J Jr		M	AOU908	Rep	2008-02-15	2016-06-01
51	Navin, Sean Patrick		M	APJ229	Rep	2012-04-27	2016-10-10
52	Paradise, James Richard		M	AHA220	RO	2012-07-13	2016-10-10
53	Piplani, Dhruv			AOX012	RO	2011-12-12	2013-06-22
54	Rajasingham, Arjuna			AVG783	Rep	2012-04-27	2013-03-29
55	Reinert, Alexandre Richard Harald		M	ATB503	Rep	2011-08-16	2016-10-10
56	Rennie, Andrew Kenneth		M	AYR079	RO	2012-03-27	2016-10-10
57	Rude, Michael Gene		M	BAJ274	Rep	2012-11-02	2013-07-17
58	Sahni, Akshay		M	AMC661	Rep	2009-07-15	2015-02-05
59	Sauvage, Benoit Marc-Antoine Yves		M	ANG869	Rep	2012-04-30	2014-02-06
60	Seto, Elvis Kong Yiu 司徒光耀		M	AML314	Rep	2005-10-25	2016-05-06
61	Shah, Kush Umeshchandra			AXL409	Rep	2012-04-27	2016-10-10
62	Sham, Sharon Cylong 岑思朗		F	AVV406	Rep	2012-04-27	2016-10-10
63	Shao, Ying (SFC:AZQ933) 邵穎			AZQ933	Rep	2012-06-15	2014-12-12
64	Shimizu, Ryo			AZQ640	Rep	2013-01-02	2016-09-30
65	Shu, Karman Hoi Ming 舒凱明			AQB106	Rep	2007-11-29	2016-03-02
66	Sloyer, Michael Jason		M	AZL752	Rep	2012-05-25	2016-10-10
67	Smith, Ian Grattan		M	AFB126	Rep	2013-02-25	2014-02-15
68	So, Stephanie Par Lum 蘇柏琳		F	BAC068	Rep	2012-08-30	2015-06-19
69	Song, Xinran (SFC:AYM560) 宋欣然			AYM560	Rep	2012-04-27	2016-02-17
70	Suen, Ming Chit 孫明哲			ADC059	RO	2011-12-16	2016-10-10
71	Tam, Jonathan Joy Man 譚載文		M	ARN061	Rep	2012-04-27	2014-04-18
72	Tang, Xiangyu 湯向宇			AZI958	Rep	2012-04-27	2014-04-02
73	Tang, Yue Han			AVS022	Rep	2010-09-03	2014-05-31
74	Tom, Edward 譚子平		M	ANF158	Rep	2007-03-30	2014-06-19
75	Towfigh, Frederick (SFC:ADD816)		M	ADD816	RO	2011-08-25	2016-10-10
76	Ueda, Eiji			AYZ602	RO	2012-07-13	2016-10-10
77	Wan, Yu Tsung 尹宇冲			ANQ569	Rep	2006-07-11	2016-10-10
78	Wang, Chuang (SFC:AYM559) 王闖			AYM559	Rep	2012-04-27	2013-03-20
79	Wu, Hiu Fung 胡曉鋒			AOV629	Rep	2012-04-30	2013-10-08
80	Wu, Michael David Ping Lam 吳炳霖	31	M	ASD087	Rep	2008-12-05	2013-10-25
81	Yeung, Kai Yin (SFC:ADU464) 楊啟賢			ADU464	Rep		2016-06-29
82	Yeung, Patrick Sze Chun 楊思進		M	AOK992	Rep	2012-04-27	2016-10-10
83	Yeung, Vincent Shu Hang 楊書恆		M	ANQ717	Rep	2012-04-30	2016-10-10
84	Zagury, Alan		M	ARN030	Rep	2008-08-12	2015-04-01
85	Zhang, You (SFC:AMF141) 章友			AMF141	Rep	2005-08-09	2015-01-29
86	Zhao, Jinxiang 趙金祥			AJA977	Rep	2009-10-20	2014-01-29

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