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	Agarwal, Shantanu			Rep	2015-05-29	2016-10-10
4	Aggarwala, Saurabh			Rep	2012-08-30	2016-10-10
5	Agne, Mark Edward (SFC:ANP670)		M	Rep	2006-06-30	2006-09-26
				RO	2006-09-26	2016-05-21
6	Ahmad, Syed Hyder			RO		2006-08-01
7	Alireza, Yusuf Abdulla Yusuf Akbar	45	M	RO	2011-05-25	2011-12-08
8	Alogoskoufis, Spyros			Rep	2012-04-30	2014-03-21
9	Arnold, Benjamin Richard		M	Rep	2014-06-13	2016-02-13
10	Bae, Christopher Thomas	39	M	Rep	2008-01-24	2009-04-29
				RO	2009-04-29	2009-07-17
11	Ben-Shachar, Sa-Ar David		M	Rep	2008-01-22	2016-10-10
12	Besson, Guillaume Gerard Marie		M	Rep	2010-08-10	2011-02-23
				RO	2011-02-23	2016-03-02
13	Bhargava, Nimita			Rep	2014-06-23	2016-03-14
14	Bird, Jonathon William		M	Rep	2014-02-10	2016-10-10
15	Bollinger, Stefan Rolf			RO	2011-12-06	2013-10-16
16	Brunello, Jonathan Paul		M	RO	2012-05-07	2012-07-04
17	Butcher, Timothy Andrew (SFC:BDZ177)		M	Rep	2014-10-03	2016-10-10
18	Byun, Hyungsoo 邊亨洙			Rep	2012-10-10	2014-04-26
19	Cahill, John Robert		M	Rep	2014-10-03	2016-10-10
20	Carr, Michael John (SFC:AGC458)		M	RO		2003-06-16
21	Chak, Alan Kwok Fai 翟國輝		M	Rep	2013-05-29	2016-06-29
22	Chan, Andrew Richard Honn 陳康		M	Rep	2014-08-12	2016-10-10
23	Chan, Beonna Mei Chun 陳美珍			Rep		2011-10-11
24	Chan, Kelvin Chi Kong 陳志江		M	Rep	2011-02-25	2014-04-18
25	Chan, Pui Ping 陳沛萍			Rep		2016-10-10
26	Chang, Wally 張華禮		M	Rep	2015-03-27	2016-10-10
27	Chau, Chun 周聰			Rep		2016-10-10
28	Cheeseman, Robert Ross		M	Rep	2006-09-19	2012-03-16
29	Chen, Charles Yuan Liang 陳仁樑		M	Rep		2008-05-02
30	Chen, Henry Lin 陳林正	45	M	RO	2007-07-04	2008-08-23
31	Chen, Zhihu 陳志湖			Rep	2012-10-12	2015-04-28
32	Cheung, Kat Cheung 張吉祥			Rep	2014-05-28	2015-02-02
33	Cheung, Kenneth Kai Hoi 張嘉浩		M	Rep	2014-08-20	2014-12-06
34	Cheung, Suk Mun 張淑敏			Rep	2011-08-02	2014-05-31
35	Chia, Wei Chen 謝偉政		M	Rep	2005-11-16	2007-01-29
36	Chiu, Ping 趙平			Rep		2007-01-13
37	Choi, Jiwon (SFC:BBS901)			Rep	2015-03-16	2016-10-10
38	Chow, Isabella Man Fung 周文鳳		F	Rep		2004-12-29
39	Chowdhary, Pranav			Rep	2012-10-16	2014-03-08
40	Chu, Wayne Wing Kar 朱永嘉		M	Rep	2012-04-27	2013-03-12
41	Chui, Chi-Sun 徐志真			Rep		2004-06-19
42	Chung, Wilson James Ka Lun 鍾家綸		M	Rep	2012-04-27	2016-05-05
43	Churchouse, Jean-Paul Antony		M	Rep	2012-04-27	2014-05-08
44	Dalmasse, Canute Howard		M	RO	2012-07-05	2016-10-10
45	Deats, Warren Edmund		M	Rep	2010-10-29	2012-02-25
46	Dommenge, Kevin Michael		M	Rep	2012-04-27	2015-11-25
47	Du, Xueping 杜雪萍			Rep	2013-10-15	2016-10-10
48	Evans, John Michael (1957-08-16)	58	M	Rep	2004-11-29	2005-02-01
				RO	2005-02-01	2008-04-10
49	Falipou, Fabien Jean Roger		M	Rep	2012-08-06	2016-10-10
50	Fan, Kai (SFC:BAA250) 樊鍇			Rep	2012-08-09	2015-06-06
51	Feng, Yahui 馮雅慧			Rep	2012-08-09	2014-06-28
52	Ferguson, Benjamin William		M	RO	2013-03-27	2016-10-10
53	Flamand, Philippe Francois		M	Rep	2010-02-25	2012-05-01
54	Freshwater, Timothy George 范華達	71	M	RO		2011-08-26
55	Frommer, Maya Elizabeth		F	Rep	2012-04-27	2016-10-10
56	Fu, Si Hui 符絲慧			Rep	2014-09-03	2016-10-10
57	Ghatalia, Rajiv Arvind			RO	2003-07-16	2005-06-22
58	Gnodde, Richard John	55	M	RO		2005-01-07
59	Goodman, Jamie Macnaught Rodber		M	Rep	2012-04-27	2016-10-10
60	Grunberger, Bo Fredrik			Rep	2012-04-27	2016-10-10
61	Gupta, Puneet (SFC:AXF254)			Rep	2014-10-03	2016-10-10
62	Halterlein, Dylan Stephen		M	Rep	2012-03-05	2013-01-01
63	Harada, Akiko 原田明子		F	Rep	2014-10-03	2016-10-10
64	Hatanaka, Takashi 畑中隆			Rep	2015-05-26	2016-07-09
65	Hirokane, Scott Yukiji		M	Rep	2012-04-17	2016-03-16
66	Howard, Michael Joseph		M	Rep	2014-12-08	2016-09-01
67	Hu, Andrea Xiao 胡安琪		F	Rep	2013-08-01	2015-06-19
68	Hu, Kelvin V		M	Rep	2012-08-06	2015-01-29
69	Hutchins, Jeff Daniel		M	Rep	2012-03-21	2013-03-30
70	Ip, Vincent Yuk Kwan 葉鈺崑		M	Rep	2012-04-27	2014-02-15
71	Ip, Wai Lam 葉偉林			Rep	2008-04-30	2010-06-26
72	Joerg, Jeboah Dan			Rep	2014-07-10	2015-06-18
73	Joly, Jean Denis			Rep	2005-10-03	2012-02-06
				RO	2012-02-06	2016-05-04
74	Jung, Christopher Lam 曾俊文		M	Rep		2008-03-04
75	Kabir, Tanweer			Rep	2014-06-20	2016-10-10
76	Karnani, Vijay			Rep		2006-06-01
77	Kedia, Prashant			Rep		2007-03-24
78	Kekke, Shuya 結解秀哉			RO	2012-09-13	2013-03-29
79	Kemp, Michael Kenneth		M	Rep	2005-11-07	2008-12-11
80	Kengeter, Carsten Norbert (SFC:ANM959)			RO	2007-02-23	2008-09-22
81	Kes, Jacob Leonard		M	Rep	2014-04-25	2016-10-10
82	Khan, Tedla Ebou			Rep	2014-11-27	2015-12-08
83	Kim, David Doopyo		M	Rep	2007-09-19	2012-04-26
84	Kim, Jason Lee		M	Rep	2012-04-27	2013-08-10
85	Kim, Jeffrey Il Jung		M	Rep	2009-09-03	2012-02-15
86	Kim, Minah (SFC:BFJ760)			Rep	2015-05-06	2016-04-07
87	Kimpton, Dean Webster		M	Rep	2014-10-03	2016-10-10
88	Kleinheinz, John Burke		M	Rep	2015-01-13	2016-10-10
89	Ko, Cheuk Yan 高卓仁			Rep	2011-07-18	2016-10-10
90	Kok, Ka Keung 郭家強			Rep	2010-04-08	2016-03-19
91	Kong, Luhua 孔露華			Rep	2007-09-12	2011-10-19
92	Koto, Hisanori 古東久典			Rep	2006-08-04	2012-02-17
93	Krautheim, Erica Shao-Ning		F	Rep	2012-05-08	2014-03-18
94	Kumar, Ajay (SFC:ARN358)			Rep	2012-05-25	2016-10-10
95	Kumar, Sundaram		M	Rep	2015-04-23	2016-09-12
96	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
97	Kwan, Wendy Yok Bing 關玉冰		F	Rep	2011-10-04	2012-09-11
98	Lai, Wai Tsz 黎慧慈			Rep		2003-08-22
99	Lam, Calvin Chi-him 林子謙		M	Rep	2012-04-27	2016-10-10
100	Lam, Milton Chi Siu 林子紹			Rep	2004-05-14	2009-01-17
101	Lam, Raymond (SFC:AZR331) 林禮文		M	Rep	2012-06-19	2016-10-10
102	Lau, Adrian Yan Ho 劉恩豪		M	Rep	2012-06-18	2015-05-21
103	Lau, Jason Wing Yiu 劉永耀		M	Rep	2007-10-10	2008-08-16
104	Lau, Lambert Ming Yeung 劉名揚	36	M	Rep		2015-10-19
105	Lau, Valerie Wai Chee 劉蕙芝			Rep	2012-04-27	2013-03-26
106	Lau, Vincent Ying Kwong 劉迎光		M	Rep		2008-12-30
107	Law, Frederick Andrew 羅頌然		M	Rep	2013-08-26	2016-10-10
108	Lee, Allen Po 李尚紘		M	Rep	2012-04-27	2012-07-21
109	Lee, Cheril Chung Chi 李頌慈			Rep	2005-10-13	2008-11-07
110	Lee, Samuel Yan Ben (SFC:ANU564) 李仁本		M	Rep	2013-08-01	2016-10-10
111	Leung, Simon Chung Man 梁頌文		M	Rep	2011-03-25	2014-02-19
112	Leung, Stephanie Wing Ying 梁穎瑩		F	Rep	2012-05-02	2013-03-01
113	Leung, Willie Pa Hung		M	Rep	2014-08-08	2016-10-10
114	Leven, Hans Johan		M	RO	2007-12-14	2009-07-01
115	Li, Yufei (SFC:BDF264) 李宇飛			Rep	2014-04-08	2016-04-06
116	Lim, Boon Keong			Rep		2003-07-01
117	Lin, Danny Chi Long 林志朗			Rep	2007-05-21	2008-12-11
118	Lin, Leslie Diane 林黛安		F	Rep	2014-10-03	2016-10-10
119	Liu, Gary Huan Chieh 劉煥傑		M	Rep		2004-04-06
120	Liu, Hao-Cheng 劉浩正			Rep		2004-10-12
121	Lozano Carbasse, Oriol			Rep	2014-08-04	2016-10-10
122	Lu, Peili 陸培麗			Rep	2007-02-16	2011-03-26
123	Lui, Jervis Chun Wai 呂俊為			Rep		2003-10-09
124	Lunia, Varun			Rep	2015-04-08	2016-10-10
125	Ma, Adrian Hin Chun 馬顯俊	30	M	Rep	2015-02-11	2016-10-10
126	Mabardy, Michael Paul		M	Rep		2006-01-07
127	Macdonald, Peter Bremner (SFC:AMM281)		M	RO	2007-01-25	2007-04-18
128	Machin, Mark Gordon Adam		M	RO	2006-09-11	2011-08-26
129	Mak, William Wai Hang 麥偉恒		M	Rep	2010-04-12	2016-10-10
130	Maliah, Raghav			RO	2011-06-01	2011-08-26
131	Marsh, Nicholas James (SFC:ANH720)		M	Rep	2012-04-27	2013-04-06
132	Martin, Joseph John (SFC:AJE474)		M	Rep	2012-04-27	2012-07-01
133	Mason, Matthew James (SFC:AQM089)		M	Rep	2014-09-22	2016-10-10
134	McCarthy, Brendan Michael (SFC:AQQ106)		M	Rep	2009-06-25	2013-01-10
135	McFarland, Christina Ma 馬智萍		F	RO	2012-07-03	2016-10-10
136	McMakin, Benjamin Reese III		M	Rep	2013-01-21	2016-10-10
137	McQuade, Ryan F		M	Rep	2012-04-27	2016-10-10
138	McTamaney, Robert Anthony III		M	Rep	2007-02-09	2007-10-29
				RO	2007-10-29	2011-07-01
139	Mithran, Girish			Rep	2003-11-07	2012-03-21
140	Mohan, Siddharth			Rep	2013-08-01	2016-10-10
141	Mok, Jonathan Chung Kiu 莫仲翹		M	Rep	2003-10-29	2005-08-11
142	Montgomery, James Adam		M	Rep	2012-04-27	2014-02-13
143	Morse, Robert Edson		M	Rep	2012-08-28	2014-02-01
144	Moser, Ronald J Jr		M	Rep	2008-02-15	2016-06-01
145	Narula, Gurpreet Singh			Rep	2015-01-29	2016-10-10
146	Navin, Sean Patrick		M	Rep	2012-04-27	2016-10-10
147	Ng, Jason Ka Chuen 吳家俊		M	Rep	2014-09-10	2016-10-10
148	Ng, Kenny (SFC:AGH965) 吳家健		M	Rep	2014-03-28	2016-10-10
149	Ng, Soon Wei 伍順輝			Rep	2006-07-27	2009-01-22
150	Ngai, Henry Chun Kit 倪俊傑		M	Rep	2003-09-29	2003-12-18
151	Ngai, Kai Ian 倪佳欣			Rep	2014-03-04	2014-10-04
152	Okabe, Toru			Rep		2012-07-28
153	Osa, Kazumasa 小佐一政			Rep	2013-12-27	2016-10-10
154	Paik, Sang Hyeon			Rep		2005-02-01
155	Paradise, James Richard		M	Rep	2012-02-17	2012-07-13
				RO	2012-07-13	2016-10-10
156	Peach, Nicholas Xavier Aidan		M	Rep	2014-08-18	2016-10-10
157	Piperakis, Romanos			Rep	2013-10-31	2016-08-01
158	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
159	Plotkin, Joseph Brenner		M	Rep	2015-04-14	2016-10-10
160	Potishko, Dmitri			Rep	2013-06-14	2013-09-14
				Rep	2013-09-16	2013-12-23
				RO	2013-12-23	2016-10-10
161	Rajasingham, Arjuna			Rep	2012-04-27	2013-03-29
162	Reilly, Eugene T		M	RO	2007-03-13	2009-12-21
163	Reinert, Alexandre Richard Harald		M	Rep	2011-08-16	2016-10-10
164	Rennie, Andrew Kenneth		M	Rep	2012-01-03	2012-03-27
				RO	2012-03-27	2016-10-10
165	Rhee, Howard Sang-Hoon		M	Rep		2005-01-17
166	Rishi, Abhinav		M	Rep	2013-05-28	2016-10-10
167	Rude, Michael Gene		M	Rep	2012-11-02	2013-07-17
168	Ryan, David Michael (SFC:ADX838)		M	RO	2006-09-29	2008-06-01
				Rep	2008-06-01	2012-05-14
169	Sabot, Florent Roland Christian		M	Rep	2010-10-27	2010-11-10
170	Sago, Katsunori			Rep	2006-07-24	2008-09-30
171	Sahni, Akshay		M	Rep	2009-07-15	2015-02-05
172	Sauvage, Benoit Marc-Antoine Yves		M	Rep	2012-04-30	2014-02-06
173	Schrantz, Alexander (SFC:AFF166)		M	RO	2006-09-11	2011-03-19
174	Seto, Elvis Kong Yiu 司徒光耀		M	Rep	2005-10-25	2016-05-06
175	Shah, Kush Umeshchandra			Rep	2012-04-27	2016-10-10
176	Sham, Sharon Cylong 岑思朗		F	Rep	2012-04-27	2016-10-10
177	Shao, Ying (SFC:AZQ933) 邵穎			Rep	2012-06-15	2014-12-12
178	Shen, Benjamin Guanfuu		M	Rep	2010-08-26	2012-07-07
179	Shen, Moshe		M	Rep	2015-03-02	2016-10-10
180	Shimizu, Ryo			Rep	2013-01-02	2016-09-30
181	Shu, Karman Hoi Ming 舒凱明			Rep	2007-11-29	2016-03-02
182	Sivapathasundaram, Radeepan			Rep	2008-06-20	2008-12-11
183	Sloyer, Michael Jason		M	Rep	2012-05-25	2016-10-10
184	Smith, Ian Grattan		M	Rep	2013-02-25	2014-02-15
185	Smith, Ian Micheal Corfield		M	Rep	2013-10-21	2014-09-10
				RO	2014-09-10	2016-10-10
186	So, Raymond Bing Kei 蘇秉基		M	Rep	2014-05-02	2016-02-03
187	So, Stephanie Par Lum 蘇柏琳		F	Rep	2012-08-30	2015-06-19
188	Song, Xinran (SFC:AYM560) 宋欣然			Rep	2012-04-27	2016-02-17
189	Stephens, Anthony Jeetendra		M	Rep	2014-07-31	2016-10-10
190	Strabo, Benjamin		M	Rep	2014-06-23	2016-06-23
191	Stubbs, Arthur James Kay	50	M	Rep	2003-10-29	2004-02-20
192	Suen, Ming Chit 孫明哲			RO	2011-12-16	2016-10-10
193	Sun, Fei (SFC:BBK314) 孫非			Rep	2013-06-14	2014-12-13
194	Sun, Yiqian (SFC:ATV809) 孫逸潜			Rep	2013-09-24	2016-10-10
195	Sze, Rick Wai Pang 施維鵬			Rep	2004-07-05	2011-05-04
196	Tam, Jonathan Joy Man 譚載文		M	Rep	2012-04-27	2014-04-18
197	Tan, Choon Boon			Rep	2014-08-08	2014-11-04
198	Tang, Justin Sheung Yin 鄧尚彥		M	Rep	2014-07-16	2016-10-10
199	Tang, Nelson Chun Wai 鄧駿威	29	M	Rep	2008-08-26	2010-06-26
200	Tang, Xiangyu 湯向宇			Rep	2012-04-27	2014-04-02
201	Tang, Yue Han			Rep	2010-09-03	2014-05-31
202	Tom, Edward 譚子平		M	Rep	2007-03-30	2014-06-19
203	Torrible, David Geoffrey 大衛德利保		M	RO	2008-07-11	2012-02-06
				Rep	2012-02-06	2013-01-01
204	Towfigh, Frederick (SFC:ADD816)		M	RO	2011-08-25	2016-10-10
205	Ueda, Eiji			Rep	2012-02-14	2012-07-13
				RO	2012-07-13	2016-10-10
206	Voon, David Hian Fook 溫賢福	49	M	RO		2007-03-21
207	Waitze, Michael Irwin		M	Rep	2003-12-04	2004-07-30
208	Wan, Yu Tsung 尹宇冲			Rep	2006-07-11	2016-10-10
209	Wang, Chuang (SFC:AYM559) 王闖			Rep	2012-04-27	2013-03-20
210	Wang, Ernie			Rep	2005-09-01	2008-03-18
211	Wang, Jian (SFC:APB793) 王堅			Rep	2007-06-11	2011-07-23
212	Wat, Chi Ming 屈志銘			Rep		2003-08-21
213	Wong, Jeffrey Shek Chuen 黃碩俊		M	Rep		2003-07-12
214	Wu, Hiu Fung 胡曉鋒			Rep	2012-04-30	2013-10-08
215	Wu, Michael David Ping Lam 吳炳霖	33	M	Rep	2008-12-05	2013-10-25
216	Xu, Yuanjie 徐元杰			Rep	2014-02-19	2016-05-12
217	Yang, Fan (SFC:ARM895) 楊帆			Rep	2008-08-25	2010-06-26
218	Yeung, Kai Yin (SFC:ADU464) 楊啟賢			Rep		2016-06-29
219	Yeung, Patrick Sze Chun 楊思進		M	Rep	2012-04-27	2016-10-10
220	Yeung, Vincent Shu Hang 楊書恆		M	Rep	2012-04-30	2016-10-10
221	Yu, Chung-Ling (SFC:BBJ027) 余仲齡			Rep	2013-05-29	2016-10-10
222	Yuan, Hong (SFC:ASI356) 袁鴻			Rep	2013-08-01	2015-02-04
223	Zagury, Alan		M	Rep	2008-08-12	2015-04-01
224	Zee, John 徐強生		M	Rep		2005-04-07
225	Zhang, Emily Yan Ya 張艷雅		F	Rep	2014-10-03	2016-10-10
226	Zhang, You (SFC:AMF141) 章友			Rep	2005-08-09	2015-01-29
227	Zhao, Jinxiang 趙金祥			Rep	2009-10-20	2014-01-29
228	Zheng, Ke (SFC:BET699) 郑科			Rep	2015-01-05	2016-06-01

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