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 2015	⚥	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	45	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	39	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	Butcher, Timothy Andrew (SFC:BDZ177)		M	Rep	2014-10-03	2016-10-10
17	Byun, Hyungsoo 邊亨洙			Rep	2012-10-10	2014-04-26
18	Cahill, John Robert		M	Rep	2014-10-03	2016-10-10
19	Carr, Michael John (SFC:AGC458)		M	RO		2003-06-16
20	Chak, Alan Kwok Fai 翟國輝		M	Rep	2013-05-29	2016-06-29
21	Chan, Andrew Richard Honn 陳康		M	Rep	2014-08-12	2016-10-10
22	Chan, Beonna Mei Chun 陳美珍			Rep		2011-10-11
23	Chan, Kelvin Chi Kong 陳志江		M	Rep	2011-02-25	2014-04-18
24	Chan, Pui Ping 陳沛萍			Rep		2016-10-10
25	Chang, Wally 張華禮		M	Rep	2015-03-27	2016-10-10
26	Chau, Chun 周聰			Rep		2016-10-10
27	Cheeseman, Robert Ross		M	Rep	2006-09-19	2012-03-16
28	Chen, Charles Yuan Liang 陳仁樑		M	Rep		2008-05-02
29	Chen, Henry Lin 陳林正	45	M	RO	2007-07-04	2008-08-23
30	Chen, Zhihu 陳志湖			Rep	2012-10-12	2015-04-28
31	Cheung, Kat Cheung 張吉祥			Rep	2014-05-28	2015-02-02
32	Cheung, Kenneth Kai Hoi 張嘉浩		M	Rep	2014-08-20	2014-12-06
33	Cheung, Suk Mun 張淑敏			Rep	2011-08-02	2014-05-31
34	Chia, Wei Chen 謝偉政		M	Rep	2005-11-16	2007-01-29
35	Chiu, Ping 趙平			Rep		2007-01-13
36	Choi, Jiwon (SFC:BBS901)			Rep	2015-03-16	2016-10-10
37	Chow, Isabella Man Fung 周文鳳		F	Rep		2004-12-29
38	Chowdhary, Pranav			Rep	2012-10-16	2014-03-08
39	Chu, Wayne Wing Kar 朱永嘉		M	Rep	2012-04-27	2013-03-12
40	Chui, Chi-Sun 徐志真			Rep		2004-06-19
41	Chung, Wilson James Ka Lun 鍾家綸		M	Rep	2012-04-27	2016-05-05
42	Churchouse, Jean-Paul Antony		M	Rep	2012-04-27	2014-05-08
43	Dalmasse, Canute Howard		M	RO	2012-07-05	2016-10-10
44	Deats, Warren Edmund		M	Rep	2010-10-29	2012-02-25
45	Dommenge, Kevin Michael		M	Rep	2012-04-27	2015-11-25
46	Du, Xueping 杜雪萍			Rep	2013-10-15	2016-10-10
47	Evans, John Michael (1957-08-16)	58	M	Rep	2004-11-29	2005-02-01
				RO	2005-02-01	2008-04-10
48	Falipou, Fabien Jean Roger		M	Rep	2012-08-06	2016-10-10
49	Fan, Kai (SFC:BAA250) 樊鍇			Rep	2012-08-09	2015-06-06
50	Feng, Yahui 馮雅慧			Rep	2012-08-09	2014-06-28
51	Ferguson, Benjamin William		M	RO	2013-03-27	2016-10-10
52	Flamand, Philippe Francois		M	Rep	2010-02-25	2012-05-01
53	Freshwater, Timothy George 范華達	71	M	RO		2011-08-26
54	Frommer, Maya Elizabeth		F	Rep	2012-04-27	2016-10-10
55	Fu, Si Hui 符絲慧			Rep	2014-09-03	2016-10-10
56	Ghatalia, Rajiv Arvind			RO	2003-07-16	2005-06-22
57	Gnodde, Richard John	55	M	RO		2005-01-07
58	Goodman, Jamie Macnaught Rodber		M	Rep	2012-04-27	2016-10-10
59	Grunberger, Bo Fredrik			Rep	2012-04-27	2016-10-10
60	Gupta, Puneet (SFC:AXF254)			Rep	2014-10-03	2016-10-10
61	Halterlein, Dylan Stephen		M	Rep	2012-03-05	2013-01-01
62	Harada, Akiko 原田明子		F	Rep	2014-10-03	2016-10-10
63	Hirokane, Scott Yukiji		M	Rep	2012-04-17	2016-03-16
64	Howard, Michael Joseph		M	Rep	2014-12-08	2016-09-01
65	Hu, Andrea Xiao 胡安琪		F	Rep	2013-08-01	2015-06-19
66	Hu, Kelvin V		M	Rep	2012-08-06	2015-01-29
67	Hutchins, Jeff Daniel		M	Rep	2012-03-21	2013-03-30
68	Ip, Vincent Yuk Kwan 葉鈺崑		M	Rep	2012-04-27	2014-02-15
69	Ip, Wai Lam 葉偉林			Rep	2008-04-30	2010-06-26
70	Joerg, Jeboah Dan			Rep	2014-07-10	2015-06-18
71	Joly, Jean Denis			Rep	2005-10-03	2012-02-06
				RO	2012-02-06	2016-05-04
72	Jung, Christopher Lam 曾俊文		M	Rep		2008-03-04
73	Kabir, Tanweer			Rep	2014-06-20	2016-10-10
74	Karnani, Vijay			Rep		2006-06-01
75	Kedia, Prashant			Rep		2007-03-24
76	Kekke, Shuya 結解秀哉			RO	2012-09-13	2013-03-29
77	Kemp, Michael Kenneth		M	Rep	2005-11-07	2008-12-11
78	Kengeter, Carsten Norbert (SFC:ANM959)			RO	2007-02-23	2008-09-22
79	Kes, Jacob Leonard		M	Rep	2014-04-25	2016-10-10
80	Khan, Tedla Ebou			Rep	2014-11-27	2015-12-08
81	Kim, David Doopyo		M	Rep	2007-09-19	2012-04-26
82	Kim, Jason Lee		M	Rep	2012-04-27	2013-08-10
83	Kim, Jeffrey Il Jung		M	Rep	2009-09-03	2012-02-15
84	Kimpton, Dean Webster		M	Rep	2014-10-03	2016-10-10
85	Kleinheinz, John Burke		M	Rep	2015-01-13	2016-10-10
86	Ko, Cheuk Yan 高卓仁			Rep	2011-07-18	2016-10-10
87	Kok, Ka Keung 郭家強			Rep	2010-04-08	2016-03-19
88	Kong, Luhua 孔露華			Rep	2007-09-12	2011-10-19
89	Koto, Hisanori 古東久典			Rep	2006-08-04	2012-02-17
90	Krautheim, Erica Shao-Ning		F	Rep	2012-05-08	2014-03-18
91	Kumar, Ajay (SFC:ARN358)			Rep	2012-05-25	2016-10-10
92	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
93	Kwan, Wendy Yok Bing 關玉冰		F	Rep	2011-10-04	2012-09-11
94	Lai, Wai Tsz 黎慧慈			Rep		2003-08-22
95	Lam, Calvin Chi-him 林子謙		M	Rep	2012-04-27	2016-10-10
96	Lam, Milton Chi Siu 林子紹			Rep	2004-05-14	2009-01-17
97	Lam, Raymond (SFC:AZR331) 林禮文		M	Rep	2012-06-19	2016-10-10
98	Lau, Adrian Yan Ho 劉恩豪		M	Rep	2012-06-18	2015-05-21
99	Lau, Jason Wing Yiu 劉永耀		M	Rep	2007-10-10	2008-08-16
100	Lau, Lambert Ming Yeung 劉名揚	36	M	Rep		2015-10-19
101	Lau, Valerie Wai Chee 劉蕙芝			Rep	2012-04-27	2013-03-26
102	Lau, Vincent Ying Kwong 劉迎光		M	Rep		2008-12-30
103	Law, Frederick Andrew 羅頌然		M	Rep	2013-08-26	2016-10-10
104	Lee, Allen Po 李尚紘		M	Rep	2012-04-27	2012-07-21
105	Lee, Cheril Chung Chi 李頌慈			Rep	2005-10-13	2008-11-07
106	Lee, Samuel Yan Ben (SFC:ANU564) 李仁本		M	Rep	2013-08-01	2016-10-10
107	Leung, Simon Chung Man 梁頌文		M	Rep	2011-03-25	2014-02-19
108	Leung, Stephanie Wing Ying 梁穎瑩		F	Rep	2012-05-02	2013-03-01
109	Leung, Willie Pa Hung		M	Rep	2014-08-08	2016-10-10
110	Leven, Hans Johan		M	RO	2007-12-14	2009-07-01
111	Li, Yufei (SFC:BDF264) 李宇飛			Rep	2014-04-08	2016-04-06
112	Lim, Boon Keong			Rep		2003-07-01
113	Lin, Danny Chi Long 林志朗			Rep	2007-05-21	2008-12-11
114	Lin, Leslie Diane 林黛安		F	Rep	2014-10-03	2016-10-10
115	Liu, Gary Huan Chieh 劉煥傑		M	Rep		2004-04-06
116	Liu, Hao-Cheng 劉浩正			Rep		2004-10-12
117	Lozano Carbasse, Oriol			Rep	2014-08-04	2016-10-10
118	Lu, Peili 陸培麗			Rep	2007-02-16	2011-03-26
119	Lui, Jervis Chun Wai 呂俊為			Rep		2003-10-09
120	Ma, Adrian Hin Chun 馬顯俊	30	M	Rep	2015-02-11	2016-10-10
121	Mabardy, Michael Paul		M	Rep		2006-01-07
122	Macdonald, Peter Bremner (SFC:AMM281)		M	RO	2007-01-25	2007-04-18
123	Machin, Mark Gordon Adam		M	RO	2006-09-11	2011-08-26
124	Mak, William Wai Hang 麥偉恒		M	Rep	2010-04-12	2016-10-10
125	Maliah, Raghav			RO	2011-06-01	2011-08-26
126	Marsh, Nicholas James (SFC:ANH720)		M	Rep	2012-04-27	2013-04-06
127	Martin, Joseph John (SFC:AJE474)		M	Rep	2012-04-27	2012-07-01
128	Mason, Matthew James (SFC:AQM089)		M	Rep	2014-09-22	2016-10-10
129	McCarthy, Brendan Michael (SFC:AQQ106)		M	Rep	2009-06-25	2013-01-10
130	McFarland, Christina Ma 馬智萍		F	RO	2012-07-03	2016-10-10
131	McMakin, Benjamin Reese III		M	Rep	2013-01-21	2016-10-10
132	McQuade, Ryan F		M	Rep	2012-04-27	2016-10-10
133	McTamaney, Robert Anthony III		M	Rep	2007-02-09	2007-10-29
				RO	2007-10-29	2011-07-01
134	Mithran, Girish			Rep	2003-11-07	2012-03-21
135	Mohan, Siddharth			Rep	2013-08-01	2016-10-10
136	Mok, Jonathan Chung Kiu 莫仲翹		M	Rep	2003-10-29	2005-08-11
137	Montgomery, James Adam		M	Rep	2012-04-27	2014-02-13
138	Morse, Robert Edson		M	Rep	2012-08-28	2014-02-01
139	Moser, Ronald J Jr		M	Rep	2008-02-15	2016-06-01
140	Narula, Gurpreet Singh			Rep	2015-01-29	2016-10-10
141	Navin, Sean Patrick		M	Rep	2012-04-27	2016-10-10
142	Ng, Jason Ka Chuen 吳家俊		M	Rep	2014-09-10	2016-10-10
143	Ng, Kenny (SFC:AGH965) 吳家健		M	Rep	2014-03-28	2016-10-10
144	Ng, Soon Wei 伍順輝			Rep	2006-07-27	2009-01-22
145	Ngai, Henry Chun Kit 倪俊傑		M	Rep	2003-09-29	2003-12-18
146	Ngai, Kai Ian 倪佳欣			Rep	2014-03-04	2014-10-04
147	Okabe, Toru			Rep		2012-07-28
148	Osa, Kazumasa 小佐一政			Rep	2013-12-27	2016-10-10
149	Paik, Sang Hyeon			Rep		2005-02-01
150	Paradise, James Richard		M	Rep	2012-02-17	2012-07-13
				RO	2012-07-13	2016-10-10
151	Peach, Nicholas Xavier Aidan		M	Rep	2014-08-18	2016-10-10
152	Piperakis, Romanos			Rep	2013-10-31	2016-08-01
153	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
154	Potishko, Dmitri			Rep	2013-06-14	2013-09-14
				Rep	2013-09-16	2013-12-23
				RO	2013-12-23	2016-10-10
155	Rajasingham, Arjuna			Rep	2012-04-27	2013-03-29
156	Reilly, Eugene T		M	RO	2007-03-13	2009-12-21
157	Reinert, Alexandre Richard Harald		M	Rep	2011-08-16	2016-10-10
158	Rennie, Andrew Kenneth		M	Rep	2012-01-03	2012-03-27
				RO	2012-03-27	2016-10-10
159	Rhee, Howard Sang-Hoon		M	Rep		2005-01-17
160	Rishi, Abhinav		M	Rep	2013-05-28	2016-10-10
161	Rude, Michael Gene		M	Rep	2012-11-02	2013-07-17
162	Ryan, David Michael (SFC:ADX838)		M	RO	2006-09-29	2008-06-01
				Rep	2008-06-01	2012-05-14
163	Sabot, Florent Roland Christian		M	Rep	2010-10-27	2010-11-10
164	Sago, Katsunori			Rep	2006-07-24	2008-09-30
165	Sahni, Akshay		M	Rep	2009-07-15	2015-02-05
166	Sauvage, Benoit Marc-Antoine Yves		M	Rep	2012-04-30	2014-02-06
167	Schrantz, Alexander (SFC:AFF166)		M	RO	2006-09-11	2011-03-19
168	Seto, Elvis Kong Yiu 司徒光耀		M	Rep	2005-10-25	2016-05-06
169	Shah, Kush Umeshchandra			Rep	2012-04-27	2016-10-10
170	Sham, Sharon Cylong 岑思朗		F	Rep	2012-04-27	2016-10-10
171	Shao, Ying (SFC:AZQ933) 邵穎			Rep	2012-06-15	2014-12-12
172	Shen, Benjamin Guanfuu		M	Rep	2010-08-26	2012-07-07
173	Shen, Moshe		M	Rep	2015-03-02	2016-10-10
174	Shimizu, Ryo			Rep	2013-01-02	2016-09-30
175	Shu, Karman Hoi Ming 舒凱明			Rep	2007-11-29	2016-03-02
176	Sivapathasundaram, Radeepan			Rep	2008-06-20	2008-12-11
177	Sloyer, Michael Jason		M	Rep	2012-05-25	2016-10-10
178	Smith, Ian Grattan		M	Rep	2013-02-25	2014-02-15
179	Smith, Ian Micheal Corfield		M	Rep	2013-10-21	2014-09-10
				RO	2014-09-10	2016-10-10
180	So, Raymond Bing Kei 蘇秉基		M	Rep	2014-05-02	2016-02-03
181	So, Stephanie Par Lum 蘇柏琳		F	Rep	2012-08-30	2015-06-19
182	Song, Xinran 宋欣然			Rep	2012-04-27	2016-02-17
183	Stephens, Anthony Jeetendra		M	Rep	2014-07-31	2016-10-10
184	Strabo, Benjamin		M	Rep	2014-06-23	2016-06-23
185	Stubbs, Arthur James Kay	50	M	Rep	2003-10-29	2004-02-20
186	Suen, Ming Chit 孫明哲			RO	2011-12-16	2016-10-10
187	Sun, Fei (SFC:BBK314) 孫非			Rep	2013-06-14	2014-12-13
188	Sun, Yiqian (SFC:ATV809) 孫逸潜			Rep	2013-09-24	2016-10-10
189	Sze, Rick Wai Pang 施維鵬			Rep	2004-07-05	2011-05-04
190	Tam, Jonathan Joy Man 譚載文		M	Rep	2012-04-27	2014-04-18
191	Tan, Choon Boon			Rep	2014-08-08	2014-11-04
192	Tang, Justin Sheung Yin 鄧尚彥		M	Rep	2014-07-16	2016-10-10
193	Tang, Nelson Chun Wai 鄧駿威	29	M	Rep	2008-08-26	2010-06-26
194	Tang, Xiangyu 湯向宇			Rep	2012-04-27	2014-04-02
195	Tang, Yue Han			Rep	2010-09-03	2014-05-31
196	Tom, Edward 譚子平		M	Rep	2007-03-30	2014-06-19
197	Torrible, David Geoffrey 大衛德利保		M	RO	2008-07-11	2012-02-06
				Rep	2012-02-06	2013-01-01
198	Towfigh, Frederick (SFC:ADD816)		M	RO	2011-08-25	2016-10-10
199	Ueda, Eiji			Rep	2012-02-14	2012-07-13
				RO	2012-07-13	2016-10-10
200	Voon, David Hian Fook 溫賢福	49	M	RO		2007-03-21
201	Waitze, Michael Irwin		M	Rep	2003-12-04	2004-07-30
202	Wan, Yu Tsung 尹宇冲			Rep	2006-07-11	2016-10-10
203	Wang, Chuang (SFC:AYM559) 王闖			Rep	2012-04-27	2013-03-20
204	Wang, Ernie			Rep	2005-09-01	2008-03-18
205	Wang, Jian (SFC:APB793) 王堅			Rep	2007-06-11	2011-07-23
206	Wat, Chi Ming 屈志銘			Rep		2003-08-21
207	Wong, Jeffrey Shek Chuen 黃碩俊		M	Rep		2003-07-12
208	Wu, Hiu Fung 胡曉鋒			Rep	2012-04-30	2013-10-08
209	Wu, Michael David Ping Lam 吳炳霖	33	M	Rep	2008-12-05	2013-10-25
210	Xu, Yuanjie 徐元杰			Rep	2014-02-19	2016-05-12
211	Yang, Fan (SFC:ARM895) 楊帆			Rep	2008-08-25	2010-06-26
212	Yeung, Kai Yin (SFC:ADU464) 楊啟賢			Rep		2016-06-29
213	Yeung, Patrick Sze Chun 楊思進		M	Rep	2012-04-27	2016-10-10
214	Yeung, Vincent Shu Hang 楊書恆		M	Rep	2012-04-30	2016-10-10
215	Yu, Chung-Ling (SFC:BBJ027) 余仲齡			Rep	2013-05-29	2016-10-10
216	Yuan, Hong (SFC:ASI356) 袁鴻			Rep	2013-08-01	2015-02-04
217	Zagury, Alan		M	Rep	2008-08-12	2015-04-01
218	Zee, John 徐強生		M	Rep		2005-04-07
219	Zhang, Emily Yan Ya 張艷雅		F	Rep	2014-10-03	2016-10-10
220	Zhang, You (SFC:AMF141) 章友			Rep	2005-08-09	2015-01-29
221	Zhao, Jinxiang 趙金祥			Rep	2009-10-20	2014-01-29
222	Zheng, Ke (SFC:BET699) 郑科			Rep	2015-01-05	2016-06-01

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