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 2014	⚥	SFC ID	Role	From	Until
1	Aboud, Angus Alfred Mcintyre		M	BBA098	Rep	2013-03-21	2014-02-14
2	Adair, John Joseph		M	ADR043	RO	2005-04-28	2007-02-24
3	Aggarwala, Saurabh			AVD967	Rep	2012-08-30	2016-10-10
4	Agne, Mark Edward (SFC:ANP670)		M	ANP670	Rep	2006-06-30	2006-09-26
					RO	2006-09-26	2016-05-21
5	Ahmad, Syed Hyder			ADU329	RO		2006-08-01
6	Alireza, Yusuf Abdulla Yusuf Akbar	44	M	ARG448	RO	2011-05-25	2011-12-08
7	Alogoskoufis, Spyros			ASO432	Rep	2012-04-30	2014-03-21
8	Arnold, Benjamin Richard		M	BDM658	Rep	2014-06-13	2016-02-13
9	Bae, Christopher Thomas	38	M	AQI792	Rep	2008-01-24	2009-04-29
					RO	2009-04-29	2009-07-17
10	Ben-Shachar, Sa-Ar David		M	AQI397	Rep	2008-01-22	2016-10-10
11	Besson, Guillaume Gerard Marie		M	ALI003	Rep	2010-08-10	2011-02-23
					RO	2011-02-23	2016-03-02
12	Bhargava, Nimita			AZQ936	Rep	2014-06-23	2016-03-14
13	Bird, Jonathon William		M	BCW134	Rep	2014-02-10	2016-10-10
14	Bollinger, Stefan Rolf			AVO601	RO	2011-12-06	2013-10-16
15	Brunello, Jonathan Paul		M	ARG186	RO	2012-05-07	2012-07-04
16	Byun, Hyungsoo 邊亨洙			AYA541	Rep	2012-10-10	2014-04-26
17	Carr, Michael John (SFC:AGC458)		M	AGC458	RO		2003-06-16
18	Chak, Alan Kwok Fai 翟國輝		M	AAY091	Rep	2013-05-29	2016-06-29
19	Chan, Beonna Mei Chun 陳美珍			AAF948	Rep		2011-10-11
20	Chan, Kelvin Chi Kong 陳志江		M	AHS841	Rep	2011-02-25	2014-04-18
21	Chan, Pui Ping 陳沛萍			ACW670	Rep		2016-10-10
22	Chau, Chun 周聰			ACS103	Rep		2016-10-10
23	Cheeseman, Robert Ross		M	ANY227	Rep	2006-09-19	2012-03-16
24	Chen, Charles Yuan Liang 陳仁樑		M	AEZ084	Rep		2008-05-02
25	Chen, Henry Lin 陳林正	44	M	AFG008	RO	2007-07-04	2008-08-23
26	Chen, Zhihu 陳志湖			BAH710	Rep	2012-10-12	2015-04-28
27	Cheung, Kat Cheung 張吉祥			APH300	Rep	2014-05-28	2015-02-02
28	Cheung, Suk Mun 張淑敏			AIG228	Rep	2011-08-02	2014-05-31
29	Chia, Wei Chen 謝偉政		M	ALZ911	Rep	2005-11-16	2007-01-29
30	Chiu, Ping 趙平			AEW882	Rep		2007-01-13
31	Chow, Isabella Man Fung 周文鳳		F	AFU155	Rep		2004-12-29
32	Chowdhary, Pranav			ATF072	Rep	2012-10-16	2014-03-08
33	Chu, Wayne Wing Kar 朱永嘉		M	AHO643	Rep	2012-04-27	2013-03-12
34	Chui, Chi-Sun 徐志真			AFH192	Rep		2004-06-19
35	Chung, Wilson James Ka Lun 鍾家綸		M	AXG767	Rep	2012-04-27	2016-05-05
36	Churchouse, Jean-Paul Antony		M	AFI697	Rep	2012-04-27	2014-05-08
37	Dalmasse, Canute Howard		M	AND837	RO	2012-07-05	2016-10-10
38	Deats, Warren Edmund		M	AWD931	Rep	2010-10-29	2012-02-25
39	Dommenge, Kevin Michael		M	APF352	Rep	2012-04-27	2015-11-25
40	Du, Xueping 杜雪萍			BCB666	Rep	2013-10-15	2016-10-10
41	Evans, John Michael (1957-08-16)	57	M	ALL687	Rep	2004-11-29	2005-02-01
					RO	2005-02-01	2008-04-10
42	Falipou, Fabien Jean Roger		M	AZY951	Rep	2012-08-06	2016-10-10
43	Fan, Kai (SFC:BAA250) 樊鍇			BAA250	Rep	2012-08-09	2015-06-06
44	Feng, Yahui 馮雅慧			BAA252	Rep	2012-08-09	2014-06-28
45	Ferguson, Benjamin William		M	ASU168	RO	2013-03-27	2016-10-10
46	Flamand, Philippe Francois		M	AUS996	Rep	2010-02-25	2012-05-01
47	Freshwater, Timothy George 范華達	70	M	ADV670	RO		2011-08-26
48	Frommer, Maya Elizabeth		F	AYS877	Rep	2012-04-27	2016-10-10
49	Ghatalia, Rajiv Arvind			ADJ584	RO	2003-07-16	2005-06-22
50	Gnodde, Richard John	54	M	AFM829	RO		2005-01-07
51	Goodman, Jamie Macnaught Rodber		M	APD423	Rep	2012-04-27	2016-10-10
52	Grunberger, Bo Fredrik			APW450	Rep	2012-04-27	2016-10-10
53	Halterlein, Dylan Stephen		M	AVX418	Rep	2012-03-05	2013-01-01
54	Hirokane, Scott Yukiji		M	AZH207	Rep	2012-04-17	2016-03-16
55	Hu, Andrea Xiao 胡安琪		F	AZG727	Rep	2013-08-01	2015-06-19
56	Hu, Kelvin V		M	AZZ279	Rep	2012-08-06	2015-01-29
57	Hutchins, Jeff Daniel		M	ASY640	Rep	2012-03-21	2013-03-30
58	Ip, Vincent Yuk Kwan 葉鈺崑		M	AHQ950	Rep	2012-04-27	2014-02-15
59	Ip, Wai Lam 葉偉林			ANP650	Rep	2008-04-30	2010-06-26
60	Joerg, Jeboah Dan			BDR807	Rep	2014-07-10	2015-06-18
61	Joly, Jean Denis			AMN692	Rep	2005-10-03	2012-02-06
					RO	2012-02-06	2016-05-04
62	Jung, Christopher Lam 曾俊文		M	ADX061	Rep		2008-03-04
63	Kabir, Tanweer			BDP140	Rep	2014-06-20	2016-10-10
64	Karnani, Vijay			AEO835	Rep		2006-06-01
65	Kedia, Prashant			AHA894	Rep		2007-03-24
66	Kekke, Shuya 結解秀哉			ATI096	RO	2012-09-13	2013-03-29
67	Kemp, Michael Kenneth		M	AMR616	Rep	2005-11-07	2008-12-11
68	Kengeter, Carsten Norbert (SFC:ANM959)			ANM959	RO	2007-02-23	2008-09-22
69	Kes, Jacob Leonard		M	BDI054	Rep	2014-04-25	2016-10-10
70	Kim, David Doopyo		M	APR027	Rep	2007-09-19	2012-04-26
71	Kim, Jason Lee		M	AQM091	Rep	2012-04-27	2013-08-10
72	Kim, Jeffrey Il Jung		M	ATQ943	Rep	2009-09-03	2012-02-15
73	Ko, Cheuk Yan 高卓仁			AVA622	Rep	2011-07-18	2016-10-10
74	Kok, Ka Keung 郭家強			AHF204	Rep	2010-04-08	2016-03-19
75	Kong, Luhua 孔露華			AOL209	Rep	2007-09-12	2011-10-19
76	Koto, Hisanori 古東久典			ANS125	Rep	2006-08-04	2012-02-17
77	Krautheim, Erica Shao-Ning		F	AWG056	Rep	2012-05-08	2014-03-18
78	Kumar, Ajay (SFC:ARN358)			ARN358	Rep	2012-05-25	2016-10-10
79	Kuo, Cheung 郭強			ACZ555	Rep	2003-04-26	2007-07-10
					RO	2007-07-10	2011-02-01
					Rep	2011-02-01	2011-03-19
80	Kwan, Wendy Yok Bing 關玉冰		F	AEH770	Rep	2011-10-04	2012-09-11
81	Lai, Wai Tsz 黎慧慈			ACU891	Rep		2003-08-22
82	Lam, Calvin Chi-him 林子謙		M	ARJ016	Rep	2012-04-27	2016-10-10
83	Lam, Milton Chi Siu 林子紹			AGW054	Rep	2004-05-14	2009-01-17
84	Lam, Raymond (SFC:AZR331) 林禮文		M	AZR331	Rep	2012-06-19	2016-10-10
85	Lau, Adrian Yan Ho 劉恩豪		M	AZR002	Rep	2012-06-18	2015-05-21
86	Lau, Jason Wing Yiu 劉永耀		M	APU510	Rep	2007-10-10	2008-08-16
87	Lau, Lambert Ming Yeung 劉名揚	35	M	AGP157	Rep		2015-10-19
88	Lau, Valerie Wai Chee 劉蕙芝			AUX419	Rep	2012-04-27	2013-03-26
89	Lau, Vincent Ying Kwong 劉迎光		M	AAA905	Rep		2008-12-30
90	Law, Frederick Andrew 羅頌然		M	BBT323	Rep	2013-08-26	2016-10-10
91	Lee, Allen Po 李尚紘		M	ARJ841	Rep	2012-04-27	2012-07-21
92	Lee, Cheril Chung Chi 李頌慈			AEF121	Rep	2005-10-13	2008-11-07
93	Lee, Samuel Yan Ben (SFC:ANU564) 李仁本		M	ANU564	Rep	2013-08-01	2016-10-10
94	Leung, Simon Chung Man 梁頌文		M	AJL621	Rep	2011-03-25	2014-02-19
95	Leung, Stephanie Wing Ying 梁穎瑩		F	ANG578	Rep	2012-05-02	2013-03-01
96	Leven, Hans Johan		M	AGR742	RO	2007-12-14	2009-07-01
97	Li, Yufei (SFC:BDF264) 李宇飛			BDF264	Rep	2014-04-08	2016-04-06
98	Lim, Boon Keong			ACY706	Rep		2003-07-01
99	Lin, Danny Chi Long 林志朗			ADD804	Rep	2007-05-21	2008-12-11
100	Liu, Gary Huan Chieh 劉煥傑		M	ADW756	Rep		2004-04-06
101	Liu, Hao-Cheng 劉浩正			ADA141	Rep		2004-10-12
102	Lu, Peili 陸培麗			AOO566	Rep	2007-02-16	2011-03-26
103	Lui, Jervis Chun Wai 呂俊為			AHY083	Rep		2003-10-09
104	Mabardy, Michael Paul		M	AFQ687	Rep		2006-01-07
105	Macdonald, Peter Bremner (SFC:AMM281)		M	AMM281	RO	2007-01-25	2007-04-18
106	Machin, Mark Gordon Adam		M	ACT421	RO	2006-09-11	2011-08-26
107	Mak, William Wai Hang 麥偉恒		M	AUZ473	Rep	2010-04-12	2016-10-10
108	Maliah, Raghav			AFR865	RO	2011-06-01	2011-08-26
109	Marsh, Nicholas James (SFC:ANH720)		M	ANH720	Rep	2012-04-27	2013-04-06
110	Martin, Joseph John (SFC:AJE474)		M	AJE474	Rep	2012-04-27	2012-07-01
111	McCarthy, Brendan Michael (SFC:AQQ106)		M	AQQ106	Rep	2009-06-25	2013-01-10
112	McFarland, Christina Ma 馬智萍		F	ADU896	RO	2012-07-03	2016-10-10
113	McMakin, Benjamin Reese III		M	AUS203	Rep	2013-01-21	2016-10-10
114	McQuade, Ryan F		M	AVS364	Rep	2012-04-27	2016-10-10
115	McTamaney, Robert Anthony III		M	AON377	Rep	2007-02-09	2007-10-29
					RO	2007-10-29	2011-07-01
116	Mithran, Girish			AFU262	Rep	2003-11-07	2012-03-21
117	Mohan, Siddharth			AQW031	Rep	2013-08-01	2016-10-10
118	Mok, Jonathan Chung Kiu 莫仲翹		M	AHA655	Rep	2003-10-29	2005-08-11
119	Montgomery, James Adam		M	ARN056	Rep	2012-04-27	2014-02-13
120	Morse, Robert Edson		M	BAC379	Rep	2012-08-28	2014-02-01
121	Moser, Ronald J Jr		M	AOU908	Rep	2008-02-15	2016-06-01
122	Navin, Sean Patrick		M	APJ229	Rep	2012-04-27	2016-10-10
123	Ng, Kenny (SFC:AGH965) 吳家健		M	AGH965	Rep	2014-03-28	2016-10-10
124	Ng, Soon Wei 伍順輝			AEN030	Rep	2006-07-27	2009-01-22
125	Ngai, Henry Chun Kit 倪俊傑		M	AEF259	Rep	2003-09-29	2003-12-18
126	Ngai, Kai Ian 倪佳欣			BDA222	Rep	2014-03-04	2014-10-04
127	Okabe, Toru			AGG883	Rep		2012-07-28
128	Osa, Kazumasa 小佐一政			BCO192	Rep	2013-12-27	2016-10-10
129	Paik, Sang Hyeon			AGN870	Rep		2005-02-01
130	Paradise, James Richard		M	AHA220	Rep	2012-02-17	2012-07-13
					RO	2012-07-13	2016-10-10
131	Piperakis, Romanos			BCD627	Rep	2013-10-31	2016-08-01
132	Piplani, Dhruv			AOX012	Rep	2007-05-11	2009-05-27
					RO	2009-05-27	2010-11-17
					Rep	2010-11-17	2011-12-12
					RO	2011-12-12	2013-06-22
133	Potishko, Dmitri			BBK329	Rep	2013-06-14	2013-09-14
					Rep	2013-09-16	2013-12-23
					RO	2013-12-23	2016-10-10
134	Rajasingham, Arjuna			AVG783	Rep	2012-04-27	2013-03-29
135	Reilly, Eugene T		M	ANH725	RO	2007-03-13	2009-12-21
136	Reinert, Alexandre Richard Harald		M	ATB503	Rep	2011-08-16	2016-10-10
137	Rennie, Andrew Kenneth		M	AYR079	Rep	2012-01-03	2012-03-27
					RO	2012-03-27	2016-10-10
138	Rhee, Howard Sang-Hoon		M	AGN744	Rep		2005-01-17
139	Rishi, Abhinav		M	BBH810	Rep	2013-05-28	2016-10-10
140	Rude, Michael Gene		M	BAJ274	Rep	2012-11-02	2013-07-17
141	Ryan, David Michael (SFC:ADX838)		M	ADX838	RO	2006-09-29	2008-06-01
					Rep	2008-06-01	2012-05-14
142	Sabot, Florent Roland Christian		M	AWD111	Rep	2010-10-27	2010-11-10
143	Sago, Katsunori			ANR813	Rep	2006-07-24	2008-09-30
144	Sahni, Akshay		M	AMC661	Rep	2009-07-15	2015-02-05
145	Sauvage, Benoit Marc-Antoine Yves		M	ANG869	Rep	2012-04-30	2014-02-06
146	Schrantz, Alexander (SFC:AFF166)		M	AFF166	RO	2006-09-11	2011-03-19
147	Seto, Elvis Kong Yiu 司徒光耀		M	AML314	Rep	2005-10-25	2016-05-06
148	Shah, Kush Umeshchandra			AXL409	Rep	2012-04-27	2016-10-10
149	Sham, Sharon Cylong 岑思朗		F	AVV406	Rep	2012-04-27	2016-10-10
150	Shao, Ying (SFC:AZQ933) 邵穎			AZQ933	Rep	2012-06-15	2014-12-12
151	Shen, Benjamin Guanfuu		M	AVS738	Rep	2010-08-26	2012-07-07
152	Shimizu, Ryo			AZQ640	Rep	2013-01-02	2016-09-30
153	Shu, Karman Hoi Ming 舒凱明			AQB106	Rep	2007-11-29	2016-03-02
154	Sivapathasundaram, Radeepan			ARF699	Rep	2008-06-20	2008-12-11
155	Sloyer, Michael Jason		M	AZL752	Rep	2012-05-25	2016-10-10
156	Smith, Ian Grattan		M	AFB126	Rep	2013-02-25	2014-02-15
157	Smith, Ian Micheal Corfield		M	ASH865	Rep	2013-10-21	2014-09-10
158	So, Raymond Bing Kei 蘇秉基		M	ADX208	Rep	2014-05-02	2016-02-03
159	So, Stephanie Par Lum 蘇柏琳		F	BAC068	Rep	2012-08-30	2015-06-19
160	Song, Xinran (SFC:AYM560) 宋欣然			AYM560	Rep	2012-04-27	2016-02-17
161	Stephens, Anthony Jeetendra		M	AQI796	Rep	2014-07-31	2016-10-10
162	Strabo, Benjamin		M	ATO956	Rep	2014-06-23	2016-06-23
163	Stubbs, Arthur James Kay	49	M	AGH355	Rep	2003-10-29	2004-02-20
164	Suen, Ming Chit 孫明哲			ADC059	RO	2011-12-16	2016-10-10
165	Sun, Fei (SFC:BBK314) 孫非			BBK314	Rep	2013-06-14	2014-12-13
166	Sun, Yiqian (SFC:ATV809) 孫逸潜			ATV809	Rep	2013-09-24	2016-10-10
167	Sze, Rick Wai Pang 施維鵬			AGK899	Rep	2004-07-05	2011-05-04
168	Tam, Jonathan Joy Man 譚載文		M	ARN061	Rep	2012-04-27	2014-04-18
169	Tang, Justin Sheung Yin 鄧尚彥		M	BDT815	Rep	2014-07-16	2016-10-10
170	Tang, Nelson Chun Wai 鄧駿威	28	M	ARN983	Rep	2008-08-26	2010-06-26
171	Tang, Xiangyu 湯向宇			AZI958	Rep	2012-04-27	2014-04-02
172	Tang, Yue Han			AVS022	Rep	2010-09-03	2014-05-31
173	Tom, Edward 譚子平		M	ANF158	Rep	2007-03-30	2014-06-19
174	Torrible, David Geoffrey 大衛德利保		M	ACC905	RO	2008-07-11	2012-02-06
					Rep	2012-02-06	2013-01-01
175	Towfigh, Frederick (SFC:ADD816)		M	ADD816	RO	2011-08-25	2016-10-10
176	Ueda, Eiji			AYZ602	Rep	2012-02-14	2012-07-13
					RO	2012-07-13	2016-10-10
177	Voon, David Hian Fook 溫賢福	48	M	ADT742	RO		2007-03-21
178	Waitze, Michael Irwin		M	AJH323	Rep	2003-12-04	2004-07-30
179	Wan, Yu Tsung 尹宇冲			ANQ569	Rep	2006-07-11	2016-10-10
180	Wang, Chuang (SFC:AYM559) 王闖			AYM559	Rep	2012-04-27	2013-03-20
181	Wang, Ernie			AMK118	Rep	2005-09-01	2008-03-18
182	Wang, Jian (SFC:APB793) 王堅			APB793	Rep	2007-06-11	2011-07-23
183	Wat, Chi Ming 屈志銘			ADU895	Rep		2003-08-21
184	Wong, Jeffrey Shek Chuen 黃碩俊		M	AHX034	Rep		2003-07-12
185	Wu, Hiu Fung 胡曉鋒			AOV629	Rep	2012-04-30	2013-10-08
186	Wu, Michael David Ping Lam 吳炳霖	32	M	ASD087	Rep	2008-12-05	2013-10-25
187	Xu, Yuanjie 徐元杰			BCX231	Rep	2014-02-19	2016-05-12
188	Yang, Fan (SFC:ARM895) 楊帆			ARM895	Rep	2008-08-25	2010-06-26
189	Yeung, Kai Yin (SFC:ADU464) 楊啟賢			ADU464	Rep		2016-06-29
190	Yeung, Patrick Sze Chun 楊思進		M	AOK992	Rep	2012-04-27	2016-10-10
191	Yeung, Vincent Shu Hang 楊書恆		M	ANQ717	Rep	2012-04-30	2016-10-10
192	Yu, Chung-Ling (SFC:BBJ027) 余仲齡			BBJ027	Rep	2013-05-29	2016-10-10
193	Yuan, Hong (SFC:ASI356) 袁鴻			ASI356	Rep	2013-08-01	2015-02-04
194	Zagury, Alan		M	ARN030	Rep	2008-08-12	2015-04-01
195	Zee, John 徐強生		M	AAE260	Rep		2005-04-07
196	Zhang, You (SFC:AMF141) 章友			AMF141	Rep	2005-08-09	2015-01-29
197	Zhao, Jinxiang 趙金祥			AJA977	Rep	2009-10-20	2014-01-29

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