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	Butcher, Timothy Andrew (SFC:BDZ177)		M	BDZ177	Rep	2014-10-03	2016-10-10
17	Byun, Hyungsoo 邊亨洙			AYA541	Rep	2012-10-10	2014-04-26
18	Cahill, John Robert		M	AKI445	Rep	2014-10-03	2016-10-10
19	Carr, Michael John (SFC:AGC458)		M	AGC458	RO		2003-06-16
20	Chak, Alan Kwok Fai 翟國輝		M	AAY091	Rep	2013-05-29	2016-06-29
21	Chan, Andrew Richard Honn 陳康		M	BDY849	Rep	2014-08-12	2016-10-10
22	Chan, Beonna Mei Chun 陳美珍			AAF948	Rep		2011-10-11
23	Chan, Kelvin Chi Kong 陳志江		M	AHS841	Rep	2011-02-25	2014-04-18
24	Chan, Pui Ping 陳沛萍			ACW670	Rep		2016-10-10
25	Chau, Chun 周聰			ACS103	Rep		2016-10-10
26	Cheeseman, Robert Ross		M	ANY227	Rep	2006-09-19	2012-03-16
27	Chen, Charles Yuan Liang 陳仁樑		M	AEZ084	Rep		2008-05-02
28	Chen, Henry Lin 陳林正	44	M	AFG008	RO	2007-07-04	2008-08-23
29	Chen, Zhihu 陳志湖			BAH710	Rep	2012-10-12	2015-04-28
30	Cheung, Kat Cheung 張吉祥			APH300	Rep	2014-05-28	2015-02-02
31	Cheung, Kenneth Kai Hoi 張嘉浩		M	AVA660	Rep	2014-08-20	2014-12-06
32	Cheung, Suk Mun 張淑敏			AIG228	Rep	2011-08-02	2014-05-31
33	Chia, Wei Chen 謝偉政		M	ALZ911	Rep	2005-11-16	2007-01-29
34	Chiu, Ping 趙平			AEW882	Rep		2007-01-13
35	Chow, Isabella Man Fung 周文鳳		F	AFU155	Rep		2004-12-29
36	Chowdhary, Pranav			ATF072	Rep	2012-10-16	2014-03-08
37	Chu, Wayne Wing Kar 朱永嘉		M	AHO643	Rep	2012-04-27	2013-03-12
38	Chui, Chi-Sun 徐志真			AFH192	Rep		2004-06-19
39	Chung, Wilson James Ka Lun 鍾家綸		M	AXG767	Rep	2012-04-27	2016-05-05
40	Churchouse, Jean-Paul Antony		M	AFI697	Rep	2012-04-27	2014-05-08
41	Dalmasse, Canute Howard		M	AND837	RO	2012-07-05	2016-10-10
42	Deats, Warren Edmund		M	AWD931	Rep	2010-10-29	2012-02-25
43	Dommenge, Kevin Michael		M	APF352	Rep	2012-04-27	2015-11-25
44	Du, Xueping 杜雪萍			BCB666	Rep	2013-10-15	2016-10-10
45	Evans, John Michael (1957-08-16)	57	M	ALL687	Rep	2004-11-29	2005-02-01
					RO	2005-02-01	2008-04-10
46	Falipou, Fabien Jean Roger		M	AZY951	Rep	2012-08-06	2016-10-10
47	Fan, Kai (SFC:BAA250) 樊鍇			BAA250	Rep	2012-08-09	2015-06-06
48	Feng, Yahui 馮雅慧			BAA252	Rep	2012-08-09	2014-06-28
49	Ferguson, Benjamin William		M	ASU168	RO	2013-03-27	2016-10-10
50	Flamand, Philippe Francois		M	AUS996	Rep	2010-02-25	2012-05-01
51	Freshwater, Timothy George 范華達	70	M	ADV670	RO		2011-08-26
52	Frommer, Maya Elizabeth		F	AYS877	Rep	2012-04-27	2016-10-10
53	Fu, Si Hui 符絲慧			AVO634	Rep	2014-09-03	2016-10-10
54	Ghatalia, Rajiv Arvind			ADJ584	RO	2003-07-16	2005-06-22
55	Gnodde, Richard John	54	M	AFM829	RO		2005-01-07
56	Goodman, Jamie Macnaught Rodber		M	APD423	Rep	2012-04-27	2016-10-10
57	Grunberger, Bo Fredrik			APW450	Rep	2012-04-27	2016-10-10
58	Gupta, Puneet (SFC:AXF254)			AXF254	Rep	2014-10-03	2016-10-10
59	Halterlein, Dylan Stephen		M	AVX418	Rep	2012-03-05	2013-01-01
60	Harada, Akiko 原田明子		F	AOO818	Rep	2014-10-03	2016-10-10
61	Hirokane, Scott Yukiji		M	AZH207	Rep	2012-04-17	2016-03-16
62	Howard, Michael Joseph		M	BDN231	Rep	2014-12-08	2016-09-01
63	Hu, Andrea Xiao 胡安琪		F	AZG727	Rep	2013-08-01	2015-06-19
64	Hu, Kelvin V		M	AZZ279	Rep	2012-08-06	2015-01-29
65	Hutchins, Jeff Daniel		M	ASY640	Rep	2012-03-21	2013-03-30
66	Ip, Vincent Yuk Kwan 葉鈺崑		M	AHQ950	Rep	2012-04-27	2014-02-15
67	Ip, Wai Lam 葉偉林			ANP650	Rep	2008-04-30	2010-06-26
68	Joerg, Jeboah Dan			BDR807	Rep	2014-07-10	2015-06-18
69	Joly, Jean Denis			AMN692	Rep	2005-10-03	2012-02-06
					RO	2012-02-06	2016-05-04
70	Jung, Christopher Lam 曾俊文		M	ADX061	Rep		2008-03-04
71	Kabir, Tanweer			BDP140	Rep	2014-06-20	2016-10-10
72	Karnani, Vijay			AEO835	Rep		2006-06-01
73	Kedia, Prashant			AHA894	Rep		2007-03-24
74	Kekke, Shuya 結解秀哉			ATI096	RO	2012-09-13	2013-03-29
75	Kemp, Michael Kenneth		M	AMR616	Rep	2005-11-07	2008-12-11
76	Kengeter, Carsten Norbert (SFC:ANM959)			ANM959	RO	2007-02-23	2008-09-22
77	Kes, Jacob Leonard		M	BDI054	Rep	2014-04-25	2016-10-10
78	Khan, Tedla Ebou			BBP566	Rep	2014-11-27	2015-12-08
79	Kim, David Doopyo		M	APR027	Rep	2007-09-19	2012-04-26
80	Kim, Jason Lee		M	AQM091	Rep	2012-04-27	2013-08-10
81	Kim, Jeffrey Il Jung		M	ATQ943	Rep	2009-09-03	2012-02-15
82	Kimpton, Dean Webster		M	ARW937	Rep	2014-10-03	2016-10-10
83	Ko, Cheuk Yan 高卓仁			AVA622	Rep	2011-07-18	2016-10-10
84	Kok, Ka Keung 郭家強			AHF204	Rep	2010-04-08	2016-03-19
85	Kong, Luhua 孔露華			AOL209	Rep	2007-09-12	2011-10-19
86	Koto, Hisanori 古東久典			ANS125	Rep	2006-08-04	2012-02-17
87	Krautheim, Erica Shao-Ning		F	AWG056	Rep	2012-05-08	2014-03-18
88	Kumar, Ajay (SFC:ARN358)			ARN358	Rep	2012-05-25	2016-10-10
89	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
90	Kwan, Wendy Yok Bing 關玉冰		F	AEH770	Rep	2011-10-04	2012-09-11
91	Lai, Wai Tsz 黎慧慈			ACU891	Rep		2003-08-22
92	Lam, Calvin Chi-him 林子謙		M	ARJ016	Rep	2012-04-27	2016-10-10
93	Lam, Milton Chi Siu 林子紹			AGW054	Rep	2004-05-14	2009-01-17
94	Lam, Raymond (SFC:AZR331) 林禮文		M	AZR331	Rep	2012-06-19	2016-10-10
95	Lau, Adrian Yan Ho 劉恩豪		M	AZR002	Rep	2012-06-18	2015-05-21
96	Lau, Jason Wing Yiu 劉永耀		M	APU510	Rep	2007-10-10	2008-08-16
97	Lau, Lambert Ming Yeung 劉名揚	35	M	AGP157	Rep		2015-10-19
98	Lau, Valerie Wai Chee 劉蕙芝			AUX419	Rep	2012-04-27	2013-03-26
99	Lau, Vincent Ying Kwong 劉迎光		M	AAA905	Rep		2008-12-30
100	Law, Frederick Andrew 羅頌然		M	BBT323	Rep	2013-08-26	2016-10-10
101	Lee, Allen Po 李尚紘		M	ARJ841	Rep	2012-04-27	2012-07-21
102	Lee, Cheril Chung Chi 李頌慈			AEF121	Rep	2005-10-13	2008-11-07
103	Lee, Samuel Yan Ben (SFC:ANU564) 李仁本		M	ANU564	Rep	2013-08-01	2016-10-10
104	Leung, Simon Chung Man 梁頌文		M	AJL621	Rep	2011-03-25	2014-02-19
105	Leung, Stephanie Wing Ying 梁穎瑩		F	ANG578	Rep	2012-05-02	2013-03-01
106	Leung, Willie Pa Hung		M	BAB413	Rep	2014-08-08	2016-10-10
107	Leven, Hans Johan		M	AGR742	RO	2007-12-14	2009-07-01
108	Li, Yufei (SFC:BDF264) 李宇飛			BDF264	Rep	2014-04-08	2016-04-06
109	Lim, Boon Keong			ACY706	Rep		2003-07-01
110	Lin, Danny Chi Long 林志朗			ADD804	Rep	2007-05-21	2008-12-11
111	Lin, Leslie Diane 林黛安		F	AZE961	Rep	2014-10-03	2016-10-10
112	Liu, Gary Huan Chieh 劉煥傑		M	ADW756	Rep		2004-04-06
113	Liu, Hao-Cheng 劉浩正			ADA141	Rep		2004-10-12
114	Lozano Carbasse, Oriol			BDW985	Rep	2014-08-04	2016-10-10
115	Lu, Peili 陸培麗			AOO566	Rep	2007-02-16	2011-03-26
116	Lui, Jervis Chun Wai 呂俊為			AHY083	Rep		2003-10-09
117	Mabardy, Michael Paul		M	AFQ687	Rep		2006-01-07
118	Macdonald, Peter Bremner (SFC:AMM281)		M	AMM281	RO	2007-01-25	2007-04-18
119	Machin, Mark Gordon Adam		M	ACT421	RO	2006-09-11	2011-08-26
120	Mak, William Wai Hang 麥偉恒		M	AUZ473	Rep	2010-04-12	2016-10-10
121	Maliah, Raghav			AFR865	RO	2011-06-01	2011-08-26
122	Marsh, Nicholas James (SFC:ANH720)		M	ANH720	Rep	2012-04-27	2013-04-06
123	Martin, Joseph John (SFC:AJE474)		M	AJE474	Rep	2012-04-27	2012-07-01
124	Mason, Matthew James (SFC:AQM089)		M	AQM089	Rep	2014-09-22	2016-10-10
125	McCarthy, Brendan Michael (SFC:AQQ106)		M	AQQ106	Rep	2009-06-25	2013-01-10
126	McFarland, Christina Ma 馬智萍		F	ADU896	RO	2012-07-03	2016-10-10
127	McMakin, Benjamin Reese III		M	AUS203	Rep	2013-01-21	2016-10-10
128	McQuade, Ryan F		M	AVS364	Rep	2012-04-27	2016-10-10
129	McTamaney, Robert Anthony III		M	AON377	Rep	2007-02-09	2007-10-29
					RO	2007-10-29	2011-07-01
130	Mithran, Girish			AFU262	Rep	2003-11-07	2012-03-21
131	Mohan, Siddharth			AQW031	Rep	2013-08-01	2016-10-10
132	Mok, Jonathan Chung Kiu 莫仲翹		M	AHA655	Rep	2003-10-29	2005-08-11
133	Montgomery, James Adam		M	ARN056	Rep	2012-04-27	2014-02-13
134	Morse, Robert Edson		M	BAC379	Rep	2012-08-28	2014-02-01
135	Moser, Ronald J Jr		M	AOU908	Rep	2008-02-15	2016-06-01
136	Navin, Sean Patrick		M	APJ229	Rep	2012-04-27	2016-10-10
137	Ng, Jason Ka Chuen 吳家俊		M	AHG763	Rep	2014-09-10	2016-10-10
138	Ng, Kenny (SFC:AGH965) 吳家健		M	AGH965	Rep	2014-03-28	2016-10-10
139	Ng, Soon Wei 伍順輝			AEN030	Rep	2006-07-27	2009-01-22
140	Ngai, Henry Chun Kit 倪俊傑		M	AEF259	Rep	2003-09-29	2003-12-18
141	Ngai, Kai Ian 倪佳欣			BDA222	Rep	2014-03-04	2014-10-04
142	Okabe, Toru			AGG883	Rep		2012-07-28
143	Osa, Kazumasa 小佐一政			BCO192	Rep	2013-12-27	2016-10-10
144	Paik, Sang Hyeon			AGN870	Rep		2005-02-01
145	Paradise, James Richard		M	AHA220	Rep	2012-02-17	2012-07-13
					RO	2012-07-13	2016-10-10
146	Peach, Nicholas Xavier Aidan		M	AVV327	Rep	2014-08-18	2016-10-10
147	Piperakis, Romanos			BCD627	Rep	2013-10-31	2016-08-01
148	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
149	Potishko, Dmitri			BBK329	Rep	2013-06-14	2013-09-14
					Rep	2013-09-16	2013-12-23
					RO	2013-12-23	2016-10-10
150	Rajasingham, Arjuna			AVG783	Rep	2012-04-27	2013-03-29
151	Reilly, Eugene T		M	ANH725	RO	2007-03-13	2009-12-21
152	Reinert, Alexandre Richard Harald		M	ATB503	Rep	2011-08-16	2016-10-10
153	Rennie, Andrew Kenneth		M	AYR079	Rep	2012-01-03	2012-03-27
					RO	2012-03-27	2016-10-10
154	Rhee, Howard Sang-Hoon		M	AGN744	Rep		2005-01-17
155	Rishi, Abhinav		M	BBH810	Rep	2013-05-28	2016-10-10
156	Rude, Michael Gene		M	BAJ274	Rep	2012-11-02	2013-07-17
157	Ryan, David Michael (SFC:ADX838)		M	ADX838	RO	2006-09-29	2008-06-01
					Rep	2008-06-01	2012-05-14
158	Sabot, Florent Roland Christian		M	AWD111	Rep	2010-10-27	2010-11-10
159	Sago, Katsunori			ANR813	Rep	2006-07-24	2008-09-30
160	Sahni, Akshay		M	AMC661	Rep	2009-07-15	2015-02-05
161	Sauvage, Benoit Marc-Antoine Yves		M	ANG869	Rep	2012-04-30	2014-02-06
162	Schrantz, Alexander (SFC:AFF166)		M	AFF166	RO	2006-09-11	2011-03-19
163	Seto, Elvis Kong Yiu 司徒光耀		M	AML314	Rep	2005-10-25	2016-05-06
164	Shah, Kush Umeshchandra			AXL409	Rep	2012-04-27	2016-10-10
165	Sham, Sharon Cylong 岑思朗		F	AVV406	Rep	2012-04-27	2016-10-10
166	Shao, Ying (SFC:AZQ933) 邵穎			AZQ933	Rep	2012-06-15	2014-12-12
167	Shen, Benjamin Guanfuu		M	AVS738	Rep	2010-08-26	2012-07-07
168	Shimizu, Ryo			AZQ640	Rep	2013-01-02	2016-09-30
169	Shu, Karman Hoi Ming 舒凱明			AQB106	Rep	2007-11-29	2016-03-02
170	Sivapathasundaram, Radeepan			ARF699	Rep	2008-06-20	2008-12-11
171	Sloyer, Michael Jason		M	AZL752	Rep	2012-05-25	2016-10-10
172	Smith, Ian Grattan		M	AFB126	Rep	2013-02-25	2014-02-15
173	Smith, Ian Micheal Corfield		M	ASH865	Rep	2013-10-21	2014-09-10
					RO	2014-09-10	2016-10-10
174	So, Raymond Bing Kei 蘇秉基		M	ADX208	Rep	2014-05-02	2016-02-03
175	So, Stephanie Par Lum 蘇柏琳		F	BAC068	Rep	2012-08-30	2015-06-19
176	Song, Xinran (SFC:AYM560) 宋欣然			AYM560	Rep	2012-04-27	2016-02-17
177	Stephens, Anthony Jeetendra		M	AQI796	Rep	2014-07-31	2016-10-10
178	Strabo, Benjamin		M	ATO956	Rep	2014-06-23	2016-06-23
179	Stubbs, Arthur James Kay	49	M	AGH355	Rep	2003-10-29	2004-02-20
180	Suen, Ming Chit 孫明哲			ADC059	RO	2011-12-16	2016-10-10
181	Sun, Fei (SFC:BBK314) 孫非			BBK314	Rep	2013-06-14	2014-12-13
182	Sun, Yiqian (SFC:ATV809) 孫逸潜			ATV809	Rep	2013-09-24	2016-10-10
183	Sze, Rick Wai Pang 施維鵬			AGK899	Rep	2004-07-05	2011-05-04
184	Tam, Jonathan Joy Man 譚載文		M	ARN061	Rep	2012-04-27	2014-04-18
185	Tan, Choon Boon			BDX969	Rep	2014-08-08	2014-11-04
186	Tang, Justin Sheung Yin 鄧尚彥		M	BDT815	Rep	2014-07-16	2016-10-10
187	Tang, Nelson Chun Wai 鄧駿威	28	M	ARN983	Rep	2008-08-26	2010-06-26
188	Tang, Xiangyu 湯向宇			AZI958	Rep	2012-04-27	2014-04-02
189	Tang, Yue Han			AVS022	Rep	2010-09-03	2014-05-31
190	Tom, Edward 譚子平		M	ANF158	Rep	2007-03-30	2014-06-19
191	Torrible, David Geoffrey 大衛德利保		M	ACC905	RO	2008-07-11	2012-02-06
					Rep	2012-02-06	2013-01-01
192	Towfigh, Frederick (SFC:ADD816)		M	ADD816	RO	2011-08-25	2016-10-10
193	Ueda, Eiji			AYZ602	Rep	2012-02-14	2012-07-13
					RO	2012-07-13	2016-10-10
194	Voon, David Hian Fook 溫賢福	48	M	ADT742	RO		2007-03-21
195	Waitze, Michael Irwin		M	AJH323	Rep	2003-12-04	2004-07-30
196	Wan, Yu Tsung 尹宇冲			ANQ569	Rep	2006-07-11	2016-10-10
197	Wang, Chuang (SFC:AYM559) 王闖			AYM559	Rep	2012-04-27	2013-03-20
198	Wang, Ernie			AMK118	Rep	2005-09-01	2008-03-18
199	Wang, Jian (SFC:APB793) 王堅			APB793	Rep	2007-06-11	2011-07-23
200	Wat, Chi Ming 屈志銘			ADU895	Rep		2003-08-21
201	Wong, Jeffrey Shek Chuen 黃碩俊		M	AHX034	Rep		2003-07-12
202	Wu, Hiu Fung 胡曉鋒			AOV629	Rep	2012-04-30	2013-10-08
203	Wu, Michael David Ping Lam 吳炳霖	32	M	ASD087	Rep	2008-12-05	2013-10-25
204	Xu, Yuanjie 徐元杰			BCX231	Rep	2014-02-19	2016-05-12
205	Yang, Fan (SFC:ARM895) 楊帆			ARM895	Rep	2008-08-25	2010-06-26
206	Yeung, Kai Yin (SFC:ADU464) 楊啟賢			ADU464	Rep		2016-06-29
207	Yeung, Patrick Sze Chun 楊思進		M	AOK992	Rep	2012-04-27	2016-10-10
208	Yeung, Vincent Shu Hang 楊書恆		M	ANQ717	Rep	2012-04-30	2016-10-10
209	Yu, Chung-Ling (SFC:BBJ027) 余仲齡			BBJ027	Rep	2013-05-29	2016-10-10
210	Yuan, Hong (SFC:ASI356) 袁鴻			ASI356	Rep	2013-08-01	2015-02-04
211	Zagury, Alan		M	ARN030	Rep	2008-08-12	2015-04-01
212	Zee, John 徐強生		M	AAE260	Rep		2005-04-07
213	Zhang, Emily Yan Ya 張艷雅		F	ALK139	Rep	2014-10-03	2016-10-10
214	Zhang, You (SFC:AMF141) 章友			AMF141	Rep	2005-08-09	2015-01-29
215	Zhao, Jinxiang 趙金祥			AJA977	Rep	2009-10-20	2014-01-29

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