Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司

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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	An, Keqiang 安克強			Rep	2011-04-26	2011-07-08
2	Berney, Christopher Scott		M	Rep	2011-09-15	2012-03-15
				RO	2012-03-15	2012-10-19
3	Cao, Hui (SFC:AVM093) 曹輝			Rep	2011-06-29	2014-06-06
4	Chan, Christy Cheuk Ki 陳卓琦		F	Rep	2014-08-21	2016-01-31
5	Chan, Joe Cho Lit 陳棗烈			Rep	2011-03-14	2014-01-01
6	Chan, Kanise Choi Wah 陳再華		F	Rep	2011-05-20	2012-05-15
7	Chan, Man Fong (SFC:AQA622) 陳姻希		F	Rep	2013-01-04	2013-02-22
8	Chan, Ming Wing (SFC:AWH504) 陳銘榮			Rep	2011-03-16	2012-08-31
9	Chan, Wing Ho (SFC:ANQ015) 陳永豪			Rep	2010-04-12	2011-05-13
10	Chan, Yik Lun 陳奕倫			Rep	2012-09-25	2012-10-12
11	Chang, George Tak Yin 張德賢		M	Rep	2013-06-25	2015-07-24
12	Chau, Ka Wing (SFC:AVE765) 周家榮			Rep	2011-06-21	2014-05-03
13	Chau, Kenneth Yiu Man 周耀文		M	RO	2013-07-10	2015-09-18
14	Chen, Chen (SFC:AXA055)			Rep	2013-04-10	2013-06-14
15	Chen, Hufei 陳鵠飛			Rep	2012-01-03	2012-09-07
16	Chen, Junhui (SFC:AXW582) 陳俊輝			Rep	2011-08-16	2012-07-31
17	Chen, Long (SFC:AVT720) 陳龍			Rep	2011-08-15	2012-02-06
18	Chen, Xiao (SFC:AVA602) 陳曉	41	M	Rep	2013-05-29	2015-11-03
19	Chen, Xun (SFC:BEJ794) 陳迅			Rep	2014-10-24	2022-08-22
20	Chen, Yongming 陳泳銘			Rep	2011-09-08	2011-11-11
21	Cheng, Chi Ho (SFC:AVL287) 鄭智豪			Rep	2011-02-24	2014-07-22
22	Cheung, Hung Cho 張鴻礎			Rep	2011-09-23	2016-04-26
23	Chiman, Roger Mirchandani		M	Rep	2012-05-24	2013-05-23
24	Chu, Fung Ting 朱鳳婷			Rep	2011-05-11	2014-10-10
25	Chu, Joanna Lai Wa 朱麗華		F	RO	2010-02-26	2019-02-20
26	Chu, Raymond 朱允明	48	M	RO	2013-05-22	2015-07-10
27	Collier, Andrew Kemp		M	Rep	2012-06-12	2012-10-19
28	Ding, Xiao (SFC:BDR020)			Rep	2014-07-03	2017-09-29
29	Fan, Yang (SFC:AUT752) 范陽			Rep	2011-02-24	2014-05-30
30	Fok, Yiu Tung 霍耀東			Rep	2014-04-03	2016-11-30
31	Fu, Jinfeng 付錦鋒			RO	2011-03-14	2013-07-10
32	Fu, Wei (SFC:AYC292) 付煒			Rep	2011-09-16	2013-05-16
33	Gan, Zhonghui 甘中輝			Rep	2014-03-17	2015-09-25
34	Gao, Chengming 高城銘	30	M	Rep	2011-12-15	2013-08-31
35	Gu, Erdong 顧爾東			Rep	2012-06-26	2014-12-19
36	Han, Weidong 韓衛東			Rep	2013-11-18
37	He, Chao (SFC:BDL989) 何超			Rep	2014-05-22	2019-02-28
38	He, Dingding 賀丁丁	37	M	Rep	2013-05-21	2016-10-20
39	Hong, Shao Huai 洪少懷			Rep	2011-07-04	2013-01-11
40	Huang, Jining 黃冀凝			Rep	2013-06-17	2015-08-07
41	Ip, Raymond Wai Cheuk 葉偉焯		M	Rep	2014-01-28	2014-04-28
				RO	2014-04-28	2015-08-12
42	Kam, Zoe Wing Sze 甘詠思		F	Rep	2014-01-24	2015-09-11
43	Kan, Pui Lai 簡佩麗			Rep	2014-05-12	2017-03-06
44	Kang, Seung Hee (SFC:BAV286) 姜承熙			Rep	2013-09-11	2015-06-30
45	Kin, Shunei 金春瑛			Rep	2011-07-14	2012-06-01
46	Kong, Kin Hang 江健恆			Rep	2011-08-12	2013-03-31
47	Kwok, Yu Man (SFC:AYD033) 郭旖雯			Rep	2011-09-23	2011-11-04
48	Kwong, Tony Yu Chun 鄺逸聰		M	Rep	2013-05-21	2016-04-09
49	Lam, Calvin Si Yang 林思暘		M	Rep	2014-01-24	2015-07-23
50	Lam, Sai Wing (SFC:AVL286) 林世榮			Rep	2011-08-22	2012-11-08
				Rep	2012-11-28	2013-07-12
51	Lau, Chun Sing (SFC:ANQ367) 劉振聲			Rep	2010-03-29	2011-03-09
52	Lee, Kwok Wing (SFC:ACB916) 李國榮			Rep	2014-10-24	2017-03-06
53	Leung, Stephen Siu Hung 梁少熊		M	Rep	2014-06-24	2014-09-15
				RO	2014-09-15	2015-08-13
54	Li, Ge (SFC:BAI100) 李格			Rep	2012-10-15	2013-09-27
55	Li, Jiafeng (SFC:AXZ731) 李佳峰			Rep	2011-09-01	2013-10-31
56	Liang, Lixuan 梁莉璇			Rep	2013-05-06	2017-05-26
57	Liu, Chang (SFC:ATY176) 劉暢			Rep	2011-07-19	2016-07-29
58	Liu, Chang (SFC:BDO978) 劉暢			Rep	2014-06-17	2015-05-29
59	Liu, Yan (SFC:AZS032) 劉妍			Rep	2012-06-19	2014-09-01
60	Liu, Zhihan 劉芷含			Rep	2014-03-04	2015-08-28
61	Lo, Hiu Tan 盧曉丹			Rep	2011-09-14	2013-05-11
62	Lu, Cuiping 陸翠萍			Rep	2013-12-02	2015-09-10
63	Lu, Ming Hung 呂明鴻			Rep	2014-01-20	2015-08-14
64	Lu, Yapeng (SFC:AUP546) 呂亞鵬			Rep	2011-02-24	2013-09-27
65	Lu, Yiwei (SFC:BCE900) 盧一葦			Rep	2013-10-31	2015-10-22
66	Luo, Wenan 羅文安			Rep	2011-02-24	2015-03-31
67	Luo, Yixin 羅藝鑫			Rep	2010-11-24	2011-05-06
68	Ma, Ning (SFC:AZV219) 馬寧			Rep	2012-07-24	2013-09-16
69	Ma, Xiaona (SFC:AXA085) 馬曉娜			Rep	2013-05-21	2015-11-03
70	Man, Kam Chiu 文錦超			RO	2013-07-10	2016-05-09
71	Mi, Jie (SFC:AYC890) 米捷			Rep	2011-09-23	2014-05-30
72	Mo, Feng 莫楓			Rep	2014-03-12	2015-09-01
73	Mok, Gavin Dick Hung 莫湋苙		M	Rep	2014-08-15	2015-08-19
74	Ng, Shui Cheong 吳瑞昌			Rep	2011-03-16	2011-07-08
75	Ng, Wai (SFC:ANI759) 吳煒	41	M	Rep	2010-03-26	2011-01-20
				RO	2011-01-20	2013-05-10
76	Qiu, Haiyan 邱海燕			Rep	2011-02-24	2012-05-30
				RO	2012-05-30	2014-09-05
77	Qiu, Lin (SFC:AYI706) 邱琳			Rep	2012-02-03	2013-09-16
78	Shao, Zuoyin 邵作銀			Rep	2014-05-22	2015-08-12
79	Shi, Zhensong 石振嵩			Rep	2012-04-19	2014-02-14
80	Sit, Ko Wai 薛高偉			Rep	2014-09-02	2015-08-27
81	Siu, Jason 蕭智舜		M	Rep	2014-08-15	2015-10-29
82	So, Suet Lam 蘇雪琳			Rep	2014-04-10	2015-11-18
83	Su, Xiqiang 蘇細強		M	Rep	2014-07-16	2014-11-04
84	Sun, Di (SFC:ATO642) 孫迪			Rep	2011-05-18	2012-05-18
85	Sun, Yuan (SFC:BBK187) 孫媛			Rep	2013-06-10	2015-08-14
86	Tam, Yat Kan 譚逸勤			Rep	2012-04-19	2012-05-04
87	Tang, Yexuan 唐業軒			Rep	2011-08-11	2012-07-20
88	To, William Chak Yan 陶澤恩		M	Rep	2013-04-11	2014-09-23
89	Tsang, Hing Yu 曾慶瑜			Rep	2014-10-17	2015-08-31
90	Tsui, Yee Him 崔以謙			Rep	2011-04-11	2012-06-05
91	Tu, Jinchang 涂晋昌			Rep	2013-11-13	2014-02-26
				RO	2014-02-26	2014-10-21
92	Wang, Ling (SFC:ATC057) 王玲			Rep	2010-03-29	2015-09-02
93	Wang, Yimin (SFC:AYC366) 王奕旻			Rep	2011-09-19	2014-02-28
94	Wang, Zhusiyuan 王朱思渊			Rep	2013-02-05	2018-12-28
95	Weil, Daniel Scott		M	Rep	2011-08-12	2012-09-28
96	Wong, Gary Hiu-Gar 黃曉嘉		M	Rep	2012-04-10	2013-08-23
97	Wong, Ka Chun (SFC:AUU925) 黃嘉俊			Rep	2014-06-13	2015-01-21
98	Wong, King Cheung (SFC:BCB957) 黃敬璋			Rep	2013-10-18	2015-09-11
99	Wong, Yau Wing 王有荣			Rep	2013-10-04	2015-06-20
100	Woo, Tsing Yiu 胡政堯			Rep	2011-09-06	2012-12-21
101	Wu, Carrie Ka Wai 胡嘉慧		F	Rep	2014-09-30	2015-09-18
102	Xiang, Xinrong 向新榮			RO	2010-02-26	2012-12-31
103	Xiao, Yinan (SFC:AYS881) 肖一楠			Rep	2012-01-06	2013-05-02
104	Xie, Hongyun 解紅云			Rep	2012-11-05	2014-05-30
105	Xie, Kaicong 謝開聰			Rep	2012-12-20	2017-06-16
106	Xu, Bo (SFC:AXG732) 徐博			Rep	2011-05-11	2013-05-31
107	Xu, Da (SFC:AZK405) 徐達			Rep	2012-05-21	2015-07-31
108	Xu, Lu (SFC:AYE980) 徐璐			Rep	2011-10-06	2013-05-07
109	Yan, Ka Lok (SFC:ARK078) 甄家樂			Rep	2013-06-26	2013-09-18
110	Yang, Bo (SFC:BEL099) 楊波			Rep	2014-10-31	2018-04-23
111	Yang, Nanxiang 楊南翔			Rep	2011-11-17	2014-06-30
112	Yang, Xiaoqin (SFC:BBR309) 楊曉琴			Rep	2013-08-07	2022-07-23
113	Yau, Karen Kar Man 尤嘉敏		F	Rep	2014-08-21	2015-09-16
114	Yeoh, Jonathan Sheung Chern		M	Rep	2013-07-29	2015-07-13
115	Yeung, Keith Kwok Ki 楊國基		M	Rep	2013-08-28	2014-02-04
				RO	2014-02-04	2014-11-21
116	Yeung, Matthew Kam Yan 楊錦恩		M	Rep	2013-11-20	2015-12-31
117	Yeung, Tsui Yan 楊翠茵			Rep	2014-03-05	2018-11-23
118	Youngblood, Mark Leland		M	Rep	2011-08-10	2011-10-19
119	Yu, Haibo (SFC:BEJ788) 余海波			Rep	2014-10-28	2017-05-02
120	Yu, Jingjing (SFC:BDF565) 余晶晶			Rep	2014-04-08	2018-08-17
121	Zhang, Xiaoshi 張笑石			Rep	2012-01-03	2013-05-10
122	Zhang, Xuan (SFC:AYC367) 張璇			Rep	2011-09-23	2013-05-07
123	Zheng, Mengqi 鄭夢奇			Rep	2011-11-30	2015-01-23
124	Zhou, Junyang 周君揚			Rep	2014-05-21	2016-02-29

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