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 servicesCredit rating servicesDealing in futures contractsDealing in OTC derivative products or advising on OTC derivative productsDealing in securitiesLeveraged foreign exchange tradingProviding client clearing services for OTC derivative transactionsProviding depositary services for relevant CISsSecurities margin financing

SFC licensees

RO=Responsible Officer, Rep=Representative

	Name	Age in 2014	⚥	Role	From	Until
1	Aboud, Angus Alfred Mcintyre		M	Rep	2013-03-21	2014-02-14
2	Adair, John Joseph		M	RO	2005-04-28	2007-02-24
3	Aggarwala, Saurabh			Rep	2012-08-30	2016-10-10
4	Agne, Mark Edward (SFC:ANP670)		M	Rep	2006-06-30	2006-09-26
				RO	2006-09-26	2016-05-21
5	Ahmad, Syed Hyder			RO		2006-08-01
6	Alireza, Yusuf Abdulla Yusuf Akbar	44	M	RO	2011-05-25	2011-12-08
7	Alogoskoufis, Spyros			Rep	2012-04-30	2014-03-21
8	Arnold, Benjamin Richard		M	Rep	2014-06-13	2016-02-13
9	Bae, Christopher Thomas	38	M	Rep	2008-01-24	2009-04-29
				RO	2009-04-29	2009-07-17
10	Ben-Shachar, Sa-Ar David		M	Rep	2008-01-22	2016-10-10
11	Besson, Guillaume Gerard Marie		M	Rep	2010-08-10	2011-02-23
				RO	2011-02-23	2016-03-02
12	Bhargava, Nimita			Rep	2014-06-23	2016-03-14
13	Bird, Jonathon William		M	Rep	2014-02-10	2016-10-10
14	Bollinger, Stefan Rolf			RO	2011-12-06	2013-10-16
15	Brunello, Jonathan Paul		M	RO	2012-05-07	2012-07-04
16	Byun, Hyungsoo 邊亨洙			Rep	2012-10-10	2014-04-26
17	Carr, Michael John (SFC:AGC458)		M	RO		2003-06-16
18	Chak, Alan Kwok Fai 翟國輝		M	Rep	2013-05-29	2016-06-29
19	Chan, Andrew Richard Honn 陳康		M	Rep	2014-08-12	2016-10-10
20	Chan, Beonna Mei Chun 陳美珍			Rep		2011-10-11
21	Chan, Kelvin Chi Kong 陳志江		M	Rep	2011-02-25	2014-04-18
22	Chan, Pui Ping 陳沛萍			Rep		2016-10-10
23	Chau, Chun 周聰			Rep		2016-10-10
24	Cheeseman, Robert Ross		M	Rep	2006-09-19	2012-03-16
25	Chen, Charles Yuan Liang 陳仁樑		M	Rep		2008-05-02
26	Chen, Henry Lin 陳林正	44	M	RO	2007-07-04	2008-08-23
27	Chen, Zhihu 陳志湖			Rep	2012-10-12	2015-04-28
28	Cheung, Kat Cheung 張吉祥			Rep	2014-05-28	2015-02-02
29	Cheung, Kenneth Kai Hoi 張嘉浩		M	Rep	2014-08-20	2014-12-06
30	Cheung, Suk Mun 張淑敏			Rep	2011-08-02	2014-05-31
31	Chia, Wei Chen 謝偉政		M	Rep	2005-11-16	2007-01-29
32	Chiu, Ping 趙平			Rep		2007-01-13
33	Chow, Isabella Man Fung 周文鳳		F	Rep		2004-12-29
34	Chowdhary, Pranav			Rep	2012-10-16	2014-03-08
35	Chu, Wayne Wing Kar 朱永嘉		M	Rep	2012-04-27	2013-03-12
36	Chui, Chi-Sun 徐志真			Rep		2004-06-19
37	Chung, Wilson James Ka Lun 鍾家綸		M	Rep	2012-04-27	2016-05-05
38	Churchouse, Jean-Paul Antony		M	Rep	2012-04-27	2014-05-08
39	Dalmasse, Canute Howard		M	RO	2012-07-05	2016-10-10
40	Deats, Warren Edmund		M	Rep	2010-10-29	2012-02-25
41	Dommenge, Kevin Michael		M	Rep	2012-04-27	2015-11-25
42	Du, Xueping 杜雪萍			Rep	2013-10-15	2016-10-10
43	Evans, John Michael (1957-08-16)	57	M	Rep	2004-11-29	2005-02-01
				RO	2005-02-01	2008-04-10
44	Falipou, Fabien Jean Roger		M	Rep	2012-08-06	2016-10-10
45	Fan, Kai (SFC:BAA250) 樊鍇			Rep	2012-08-09	2015-06-06
46	Feng, Yahui 馮雅慧			Rep	2012-08-09	2014-06-28
47	Ferguson, Benjamin William		M	RO	2013-03-27	2016-10-10
48	Flamand, Philippe Francois		M	Rep	2010-02-25	2012-05-01
49	Freshwater, Timothy George 范華達	70	M	RO		2011-08-26
50	Frommer, Maya Elizabeth		F	Rep	2012-04-27	2016-10-10
51	Fu, Si Hui 符絲慧			Rep	2014-09-03	2016-10-10
52	Ghatalia, Rajiv Arvind			RO	2003-07-16	2005-06-22
53	Gnodde, Richard John	54	M	RO		2005-01-07
54	Goodman, Jamie Macnaught Rodber		M	Rep	2012-04-27	2016-10-10
55	Grunberger, Bo Fredrik			Rep	2012-04-27	2016-10-10
56	Halterlein, Dylan Stephen		M	Rep	2012-03-05	2013-01-01
57	Hirokane, Scott Yukiji		M	Rep	2012-04-17	2016-03-16
58	Hu, Andrea Xiao 胡安琪		F	Rep	2013-08-01	2015-06-19
59	Hu, Kelvin V		M	Rep	2012-08-06	2015-01-29
60	Hutchins, Jeff Daniel		M	Rep	2012-03-21	2013-03-30
61	Ip, Vincent Yuk Kwan 葉鈺崑		M	Rep	2012-04-27	2014-02-15
62	Ip, Wai Lam 葉偉林			Rep	2008-04-30	2010-06-26
63	Joerg, Jeboah Dan			Rep	2014-07-10	2015-06-18
64	Joly, Jean Denis			Rep	2005-10-03	2012-02-06
				RO	2012-02-06	2016-05-04
65	Jung, Christopher Lam 曾俊文		M	Rep		2008-03-04
66	Kabir, Tanweer			Rep	2014-06-20	2016-10-10
67	Karnani, Vijay			Rep		2006-06-01
68	Kedia, Prashant			Rep		2007-03-24
69	Kekke, Shuya 結解秀哉			RO	2012-09-13	2013-03-29
70	Kemp, Michael Kenneth		M	Rep	2005-11-07	2008-12-11
71	Kengeter, Carsten Norbert (SFC:ANM959)			RO	2007-02-23	2008-09-22
72	Kes, Jacob Leonard		M	Rep	2014-04-25	2016-10-10
73	Kim, David Doopyo		M	Rep	2007-09-19	2012-04-26
74	Kim, Jason Lee		M	Rep	2012-04-27	2013-08-10
75	Kim, Jeffrey Il Jung		M	Rep	2009-09-03	2012-02-15
76	Ko, Cheuk Yan 高卓仁			Rep	2011-07-18	2016-10-10
77	Kok, Ka Keung 郭家強			Rep	2010-04-08	2016-03-19
78	Kong, Luhua 孔露華			Rep	2007-09-12	2011-10-19
79	Koto, Hisanori 古東久典			Rep	2006-08-04	2012-02-17
80	Krautheim, Erica Shao-Ning		F	Rep	2012-05-08	2014-03-18
81	Kumar, Ajay (SFC:ARN358)			Rep	2012-05-25	2016-10-10
82	Kuo, Cheung 郭強			Rep	2003-04-26	2007-07-10
				RO	2007-07-10	2011-02-01
				Rep	2011-02-01	2011-03-19
83	Kwan, Wendy Yok Bing 關玉冰		F	Rep	2011-10-04	2012-09-11
84	Lai, Wai Tsz 黎慧慈			Rep		2003-08-22
85	Lam, Calvin Chi-him 林子謙		M	Rep	2012-04-27	2016-10-10
86	Lam, Milton Chi Siu 林子紹			Rep	2004-05-14	2009-01-17
87	Lam, Raymond (SFC:AZR331) 林禮文		M	Rep	2012-06-19	2016-10-10
88	Lau, Adrian Yan Ho 劉恩豪		M	Rep	2012-06-18	2015-05-21
89	Lau, Jason Wing Yiu 劉永耀		M	Rep	2007-10-10	2008-08-16
90	Lau, Lambert Ming Yeung 劉名揚	35	M	Rep		2015-10-19
91	Lau, Valerie Wai Chee 劉蕙芝			Rep	2012-04-27	2013-03-26
92	Lau, Vincent Ying Kwong 劉迎光		M	Rep		2008-12-30
93	Law, Frederick Andrew 羅頌然		M	Rep	2013-08-26	2016-10-10
94	Lee, Allen Po 李尚紘		M	Rep	2012-04-27	2012-07-21
95	Lee, Cheril Chung Chi 李頌慈			Rep	2005-10-13	2008-11-07
96	Lee, Samuel Yan Ben (SFC:ANU564) 李仁本		M	Rep	2013-08-01	2016-10-10
97	Leung, Simon Chung Man 梁頌文		M	Rep	2011-03-25	2014-02-19
98	Leung, Stephanie Wing Ying 梁穎瑩		F	Rep	2012-05-02	2013-03-01
99	Leung, Willie Pa Hung		M	Rep	2014-08-08	2016-10-10
100	Leven, Hans Johan		M	RO	2007-12-14	2009-07-01
101	Li, Yufei (SFC:BDF264) 李宇飛			Rep	2014-04-08	2016-04-06
102	Lim, Boon Keong			Rep		2003-07-01
103	Lin, Danny Chi Long 林志朗			Rep	2007-05-21	2008-12-11
104	Liu, Gary Huan Chieh 劉煥傑		M	Rep		2004-04-06
105	Liu, Hao-Cheng 劉浩正			Rep		2004-10-12
106	Lozano Carbasse, Oriol			Rep	2014-08-04	2016-10-10
107	Lu, Peili 陸培麗			Rep	2007-02-16	2011-03-26
108	Lui, Jervis Chun Wai 呂俊為			Rep		2003-10-09
109	Mabardy, Michael Paul		M	Rep		2006-01-07
110	Macdonald, Peter Bremner (SFC:AMM281)		M	RO	2007-01-25	2007-04-18
111	Machin, Mark Gordon Adam		M	RO	2006-09-11	2011-08-26
112	Mak, William Wai Hang 麥偉恒		M	Rep	2010-04-12	2016-10-10
113	Maliah, Raghav			RO	2011-06-01	2011-08-26
114	Marsh, Nicholas James (SFC:ANH720)		M	Rep	2012-04-27	2013-04-06
115	Martin, Joseph John (SFC:AJE474)		M	Rep	2012-04-27	2012-07-01
116	Mason, Matthew James (SFC:AQM089)		M	Rep	2014-09-22	2016-10-10
117	McCarthy, Brendan Michael (SFC:AQQ106)		M	Rep	2009-06-25	2013-01-10
118	McFarland, Christina Ma 馬智萍		F	RO	2012-07-03	2016-10-10
119	McMakin, Benjamin Reese III		M	Rep	2013-01-21	2016-10-10
120	McQuade, Ryan F		M	Rep	2012-04-27	2016-10-10
121	McTamaney, Robert Anthony III		M	Rep	2007-02-09	2007-10-29
				RO	2007-10-29	2011-07-01
122	Mithran, Girish			Rep	2003-11-07	2012-03-21
123	Mohan, Siddharth			Rep	2013-08-01	2016-10-10
124	Mok, Jonathan Chung Kiu 莫仲翹		M	Rep	2003-10-29	2005-08-11
125	Montgomery, James Adam		M	Rep	2012-04-27	2014-02-13
126	Morse, Robert Edson		M	Rep	2012-08-28	2014-02-01
127	Moser, Ronald J Jr		M	Rep	2008-02-15	2016-06-01
128	Navin, Sean Patrick		M	Rep	2012-04-27	2016-10-10
129	Ng, Jason Ka Chuen 吳家俊		M	Rep	2014-09-10	2016-10-10
130	Ng, Kenny (SFC:AGH965) 吳家健		M	Rep	2014-03-28	2016-10-10
131	Ng, Soon Wei 伍順輝			Rep	2006-07-27	2009-01-22
132	Ngai, Henry Chun Kit 倪俊傑		M	Rep	2003-09-29	2003-12-18
133	Ngai, Kai Ian 倪佳欣			Rep	2014-03-04	2014-10-04
134	Okabe, Toru			Rep		2012-07-28
135	Osa, Kazumasa 小佐一政			Rep	2013-12-27	2016-10-10
136	Paik, Sang Hyeon			Rep		2005-02-01
137	Paradise, James Richard		M	Rep	2012-02-17	2012-07-13
				RO	2012-07-13	2016-10-10
138	Peach, Nicholas Xavier Aidan		M	Rep	2014-08-18	2016-10-10
139	Piperakis, Romanos			Rep	2013-10-31	2016-08-01
140	Piplani, Dhruv			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
141	Potishko, Dmitri			Rep	2013-06-14	2013-09-14
				Rep	2013-09-16	2013-12-23
				RO	2013-12-23	2016-10-10
142	Rajasingham, Arjuna			Rep	2012-04-27	2013-03-29
143	Reilly, Eugene T		M	RO	2007-03-13	2009-12-21
144	Reinert, Alexandre Richard Harald		M	Rep	2011-08-16	2016-10-10
145	Rennie, Andrew Kenneth		M	Rep	2012-01-03	2012-03-27
				RO	2012-03-27	2016-10-10
146	Rhee, Howard Sang-Hoon		M	Rep		2005-01-17
147	Rishi, Abhinav		M	Rep	2013-05-28	2016-10-10
148	Rude, Michael Gene		M	Rep	2012-11-02	2013-07-17
149	Ryan, David Michael (SFC:ADX838)		M	RO	2006-09-29	2008-06-01
				Rep	2008-06-01	2012-05-14
150	Sabot, Florent Roland Christian		M	Rep	2010-10-27	2010-11-10
151	Sago, Katsunori			Rep	2006-07-24	2008-09-30
152	Sahni, Akshay		M	Rep	2009-07-15	2015-02-05
153	Sauvage, Benoit Marc-Antoine Yves		M	Rep	2012-04-30	2014-02-06
154	Schrantz, Alexander (SFC:AFF166)		M	RO	2006-09-11	2011-03-19
155	Seto, Elvis Kong Yiu 司徒光耀		M	Rep	2005-10-25	2016-05-06
156	Shah, Kush Umeshchandra			Rep	2012-04-27	2016-10-10
157	Sham, Sharon Cylong 岑思朗		F	Rep	2012-04-27	2016-10-10
158	Shao, Ying (SFC:AZQ933) 邵穎			Rep	2012-06-15	2014-12-12
159	Shen, Benjamin Guanfuu		M	Rep	2010-08-26	2012-07-07
160	Shimizu, Ryo			Rep	2013-01-02	2016-09-30
161	Shu, Karman Hoi Ming 舒凱明			Rep	2007-11-29	2016-03-02
162	Sivapathasundaram, Radeepan			Rep	2008-06-20	2008-12-11
163	Sloyer, Michael Jason		M	Rep	2012-05-25	2016-10-10
164	Smith, Ian Grattan		M	Rep	2013-02-25	2014-02-15
165	Smith, Ian Micheal Corfield		M	Rep	2013-10-21	2014-09-10
				RO	2014-09-10	2016-10-10
166	So, Raymond Bing Kei 蘇秉基		M	Rep	2014-05-02	2016-02-03
167	So, Stephanie Par Lum 蘇柏琳		F	Rep	2012-08-30	2015-06-19
168	Song, Xinran 宋欣然			Rep	2012-04-27	2016-02-17
169	Stephens, Anthony Jeetendra		M	Rep	2014-07-31	2016-10-10
170	Strabo, Benjamin		M	Rep	2014-06-23	2016-06-23
171	Stubbs, Arthur James Kay	49	M	Rep	2003-10-29	2004-02-20
172	Suen, Ming Chit 孫明哲			RO	2011-12-16	2016-10-10
173	Sun, Fei (SFC:BBK314) 孫非			Rep	2013-06-14	2014-12-13
174	Sun, Yiqian (SFC:ATV809) 孫逸潜			Rep	2013-09-24	2016-10-10
175	Sze, Rick Wai Pang 施維鵬			Rep	2004-07-05	2011-05-04
176	Tam, Jonathan Joy Man 譚載文		M	Rep	2012-04-27	2014-04-18
177	Tan, Choon Boon			Rep	2014-08-08	2014-11-04
178	Tang, Justin Sheung Yin 鄧尚彥		M	Rep	2014-07-16	2016-10-10
179	Tang, Nelson Chun Wai 鄧駿威	28	M	Rep	2008-08-26	2010-06-26
180	Tang, Xiangyu 湯向宇			Rep	2012-04-27	2014-04-02
181	Tang, Yue Han			Rep	2010-09-03	2014-05-31
182	Tom, Edward 譚子平		M	Rep	2007-03-30	2014-06-19
183	Torrible, David Geoffrey 大衛德利保		M	RO	2008-07-11	2012-02-06
				Rep	2012-02-06	2013-01-01
184	Towfigh, Frederick (SFC:ADD816)		M	RO	2011-08-25	2016-10-10
185	Ueda, Eiji			Rep	2012-02-14	2012-07-13
				RO	2012-07-13	2016-10-10
186	Voon, David Hian Fook 溫賢福	48	M	RO		2007-03-21
187	Waitze, Michael Irwin		M	Rep	2003-12-04	2004-07-30
188	Wan, Yu Tsung 尹宇冲			Rep	2006-07-11	2016-10-10
189	Wang, Chuang (SFC:AYM559) 王闖			Rep	2012-04-27	2013-03-20
190	Wang, Ernie			Rep	2005-09-01	2008-03-18
191	Wang, Jian (SFC:APB793) 王堅			Rep	2007-06-11	2011-07-23
192	Wat, Chi Ming 屈志銘			Rep		2003-08-21
193	Wong, Jeffrey Shek Chuen 黃碩俊		M	Rep		2003-07-12
194	Wu, Hiu Fung 胡曉鋒			Rep	2012-04-30	2013-10-08
195	Wu, Michael David Ping Lam 吳炳霖	32	M	Rep	2008-12-05	2013-10-25
196	Xu, Yuanjie 徐元杰			Rep	2014-02-19	2016-05-12
197	Yang, Fan (SFC:ARM895) 楊帆			Rep	2008-08-25	2010-06-26
198	Yeung, Kai Yin (SFC:ADU464) 楊啟賢			Rep		2016-06-29
199	Yeung, Patrick Sze Chun 楊思進		M	Rep	2012-04-27	2016-10-10
200	Yeung, Vincent Shu Hang 楊書恆		M	Rep	2012-04-30	2016-10-10
201	Yu, Chung-Ling (SFC:BBJ027) 余仲齡			Rep	2013-05-29	2016-10-10
202	Yuan, Hong (SFC:ASI356) 袁鴻			Rep	2013-08-01	2015-02-04
203	Zagury, Alan		M	Rep	2008-08-12	2015-04-01
204	Zee, John 徐強生		M	Rep		2005-04-07
205	Zhang, You (SFC:AMF141) 章友			Rep	2005-08-09	2015-01-29
206	Zhao, Jinxiang 趙金祥			Rep	2009-10-20	2014-01-29

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