CANTOR FITZGERALD (HONG KONG) CAPITAL MARKETS LIMITED 建達(香港)資本市場有限公司

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RO=Responsible Officer, Rep=Representative

Name Age in
2016
SFC ID Role From Until
1 Ainslie, Bradford ALQ438 Rep 2005-01-14 2008-07-22
RO 2008-07-22 2011-05-30
2 Artus, Alexandre Gerard Ludovic M BBE971 Rep 2013-04-30 2013-05-14
Rep 2013-11-18 2013-11-22
3 Barroso, Raul Francisco ALF573 Rep 2014-09-18 2016-05-16
4 Beavis, Stuart Cameron M AYH968 Rep 2011-10-31 2012-08-02
5 Ben Sadoun, Didier AWA584 Rep 2010-10-14 2011-06-04
RO 2012-12-07 2013-06-26
6 Bensmihen, Jordane AUW919 Rep 2010-03-22 2010-08-31
7 Berquist, Eric Craig M AWW109 Rep 2011-02-28 2013-12-13
8 Boyer, Jason Jon 48 M AKN214 RO 2004-07-15 2011-05-30
9 Brereton, William Carter M AXH003 Rep 2011-05-19 2012-05-01
10 Bridgeford, Shannon Richard M APK142 Rep 2007-08-08 2010-01-05
11 Brown, Martyn Roger M ALJ768 Rep 2005-04-14 2006-09-29
12 Buckworth, Piers Edward Grainger 34 M AUT718 Rep 2011-10-10 2011-12-05
13 Burke, Daniel Christopher M ASE642 Rep 2008-12-29 2009-03-03
14 Butavand, Axelle Victoire AXG759 Rep 2011-05-11 2011-09-27
15 Butler, Iain Allan M AVP706 Rep 2011-04-04 2011-11-11
16 Carey, Andre' Lionel M ADV085 Rep 2011-10-20 2012-02-27
17 Carle, Richard Jude M APB498 Rep 2007-06-12 2008-05-22
18 Cha, Louis Min 車珉 M ANE739 Rep 2009-03-19 2010-01-25
19 Champagne, Jean-Marc Beaugrand 向君浩 AKJ299 Rep 2011-11-24 2012-08-06
20 Chan, Chi Hang (SFC:ALH858) 陳志恆 41 M ALH858 Rep 2011-12-15 2012-02-27
RO 2012-02-27 2013-01-19
21 Chan, Chi Kin (SFC:ALQ452) 陳志堅 ALQ452 Rep 2011-11-16 2016-01-08
22 Chan, Kam Kuan ARL401 Rep 2008-08-04 2009-03-03
23 Chan, Koon Hung (SFC:ANR762) 陳冠雄 ANR762 Rep 2010-03-03 2011-03-05
24 Chan, Susan Shu Fun F ATW487 Rep 2009-10-02 2010-06-24
25 Chan, Sze Chung (SFC:AWS037) 陳思聰 AWS037 Rep 2011-01-26 2011-03-05
26 Chan, Vincent Toi Tung 陳代東 M ABP916 Rep 2005-07-18 2009-03-16
RO 2009-03-16
27 Chang, Ioi Tim 曾銳添 ADZ296 Rep 2009-05-04 2010-11-30
28 Chapps, Lauren Louise F AYY549 Rep 2012-02-06 2014-12-01
29 Chatterjee, Saurav AZQ750 Rep 2012-06-11 2013-01-17
RO 2013-01-17 2016-02-29
30 Chin, Cheryl Pi I 秦碧儀 AHT190 Rep 2007-01-31 2009-03-03
31 Choi, William Jay M AXL808 Rep 2011-06-21 2011-10-17
32 Christie, Glen Alexander M ANY032 Rep 2006-09-12 2009-02-20
33 Chu Tsang Kwan, Caroline F AQS309 Rep 2008-08-18 2009-03-03
34 Chu, Joel Jens 朱喬立 ABZ183 Rep 2013-12-19 2014-11-28
35 Chua, Alvin Cheng Hock 蔡清福 58 M AED730 Rep 2009-05-14 2010-03-26
RO 2010-03-26 2011-12-14
36 Chuan, Po-Hua 全柏樺 AYO738 Rep 2016-01-19 2016-06-10
37 Chung, Gia Trien Litte AVH946 Rep 2010-06-14 2011-07-12
RO 2011-07-12 2012-12-14
Rep 2012-12-14 2014-12-23
38 Conwell, Brian M AVL103 Rep 2010-07-02 2011-08-20
39 Cornaire, Christophe Louis Jacques 48 M ANG360 Rep 2006-03-29 2008-09-22
RO 2008-09-22 2011-03-17
40 Cottis, Graham Stuart M ATB932 Rep 2009-06-01 2009-09-04
41 Cunnington, Guillaume Serge Charles M AUP691 Rep 2011-03-14 2011-10-28
RO 2011-10-28 2012-02-13
42 Davidson, Duncan Neil M AFR872 Rep 2006-02-06 2015-05-29
43 De Bourayne, Olivier Marie Stephane M AXC421 Rep 2012-02-20 2012-11-01
44 Delrue, Thibault Marc M AOJ141 Rep 2006-12-28 2009-10-09
45 Desai, Keemesh (SFC:AUL786) AUL786 Rep 2010-01-05 2014-06-01
46 Ding, Yuwen (SFC:AQI394) 丁煜雯 AQI394 Rep 2008-02-01 2009-03-03
47 Downey, James M AYN110 Rep 2011-12-21 2012-10-31
48 Faidi, Ghazi APR550 Rep 2007-09-21 2011-04-14
49 Falcetti, Emilia AVY300 Rep 2012-11-12 2015-03-30
RO 2015-03-30 2015-09-30
Rep 2015-09-30 2015-10-28
50 Feeney, Eugene Tomas M AQS146 Rep 2008-03-19 2009-05-18
51 Flores, Nicolas (SFC:AUZ455) M AUZ455 Rep 2010-04-01 2010-07-15
52 Foley, Cathal Brendan M APB451 Rep 2012-02-16 2013-01-14
53 Froissart, Julien Sebastien M ATR371 Rep 2009-09-07 2011-04-13
54 Fung, Wilson Kee Hang 馮紀恆 M AGC284 Rep 2010-11-11 2011-09-09
55 Geary, Marc Francis Andrew M AVS841 Rep 2010-08-23 2010-11-09
56 Giraudeau, Sylvain Dimitri M AOB407 Rep 2006-10-18 2007-06-08
57 Grimes, Ryan Mccracken M AOA142 Rep 2006-09-27 2006-10-27
58 Guetta, Yohan Victor Haim M AXD991 Rep 2012-02-20 2013-01-16
59 Ha, Steve Wai Cheung 夏偉祥 M ARQ021 Rep 2008-09-18 2009-03-03
Rep 2009-04-14 2013-01-25
60 Hall, Grant Conway Dorian Arthur M AEE202 Rep 2006-02-06
61 Han, Charles June M AEK327 Rep 2012-03-26 2013-05-27
62 Harrison, David Martin (SFC:AKO500) M AKO500 RO 2004-07-16 2006-04-11
63 Hartwell, Benjamin Luke M ATC163 Rep 2011-02-15 2014-04-04
64 Hassam, Shehzad Sikander AZC272 Rep 2012-02-29 2012-08-29
65 Hayase, Takahiro AUE611 Rep 2009-11-27 2010-11-24
66 He, Vicky Zhancong 何展聰 F ASD838 Rep 2011-09-02 2021-04-30
67 Hegglin, Domenico Robert M BGZ729 Rep 2016-02-17 2016-06-08
68 Henke Von Parpart, Uwe APY709 Rep 2007-11-01 2009-03-13
RO 2009-03-13 2011-05-30
69 Herman, Neal Thomson AVO978 Rep 2011-11-04 2012-12-01
70 Ho, Anita Hoi Lam 何海琳 F AOC914 Rep 2009-04-17 2015-07-09
71 Ho, Miu 何苗 APJ592 Rep 2011-06-07 2012-10-31
72 Hoegee, Brian Richard M ARF808 Rep 2008-06-27 2012-04-01
73 Hong, Christine Kee Wing 孔基穎 F ALO528 Rep 2009-01-20 2010-09-08
74 Houdeye, Cedric Abraham Avi M AUN368 Rep 2010-12-13 2011-11-01
Rep 2012-11-23 2013-01-14
75 Huang, Kin Hing 黃建興 AWS038 Rep 2011-01-26 2011-03-05
76 Hughes, Anthony Michael (SFC:ARG524) M ARG524 Rep 2008-07-02 2009-02-12
Rep 2011-08-17 2012-02-13
77 Hung, Sean (SFC:BAN313) 洪澤禮 M BAN313 Rep 2016-03-30 2018-10-11
78 Ip, William Wai Lun 葉偉倫 60 M AEK747 Rep 2010-04-13 2010-07-22
RO 2010-07-22 2012-02-18
79 Kang, No Kyung AXF386 Rep 2011-04-27 2012-06-16
80 Keum, Howard Chang-Hwan M AVO961 Rep 2011-11-04 2014-10-31
81 Kim, Chanel Siu Wai 金小慧 ATW319 Rep 2011-06-13 2013-01-14
82 Kim, Jungtae 金正泰 AXC074 Rep 2011-03-30 2011-12-14
83 Kim, Ki Soo AFJ899 Rep 2015-12-15 2016-05-31
84 Kimura, Kuniomi ATY075 Rep 2009-10-15 2010-05-28
85 Kirley, John Andrew M AQI918 Rep 2008-01-22 2011-11-04
86 Knott, David Barry M AKW758 Rep 2004-07-16 2009-05-31
87 Ko, Kurt C 高翹楚 M AOX350 Rep 2007-10-05 2009-03-31
Rep 2011-03-22 2015-07-17
88 Kong, Kam Fan 江錦帆 ANA058 Rep 2006-02-03 2016-05-05
89 Koyama, Tomoko 小山朝子 AZI756 Rep 2012-04-20 2012-10-31
90 Kwan, Angelina Agnes 關蕙 50 F AEH541 RO 2008-11-13 2010-09-06
91 Kwok, Ka Chung (SFC:AFG520) 郭家聰 AFG520 Rep 2006-06-16 2007-05-19
92 La Rocca, Daniel Anthony Jr M AQG793 Rep 2008-01-17 2011-07-05
93 Lahogue, Nicolas Bruno M ATW519 Rep 2009-10-08 2011-04-13
94 Lai, Dennis Sung Yu M BDP240 Rep 2014-06-25 2016-03-15
95 Lam, Karvan Ka Man 林嘉敏 ADQ312 Rep 2005-10-26 2016-06-06
96 Langan, Helen Mary F ABW191 Rep 2005-06-02 2007-03-21
RO 2007-03-21 2009-02-27
97 Larbier, Patrick M ABY856 Rep 2004-10-15 2005-10-26
98 Lawrence, Nicholas Spencer Parslo M AOV924 Rep 2007-05-02 2008-01-15
Rep 2008-11-24 2010-02-01
99 Lay, Richard Donovan M ALW485 Rep 2008-05-29 2010-08-31
100 Le-Gallez, Richard Steven M AXI089 Rep 2011-05-25 2011-08-20
101 Lee, Dick Tik Man 李迪文 41 M AFM918 RO 2011-06-03 2012-12-10
102 Lee, Paul Wang Tak 李宏德 M ASQ170 Rep 2009-04-03 2010-03-01
103 Lee, Sungjoon BAO476 Rep 2012-12-04 2015-06-30
104 Lee, Wai Kee 李渭琪 AQI239 Rep 2010-06-04 2011-03-05
105 Leung, Kin Keung (SFC:AFL288) 梁建強 M AFL288 Rep 2010-07-21 2011-03-05
106 Leung, Sze Man (SFC:ARG096) 梁思敏 ARG096 Rep 2008-06-24 2011-03-01
107 Lin, Wen Ching (SFC:APC101) 林汶菁 APC101 Rep 2011-11-04 2019-10-14
108 Liu, Wing Sze 廖穎思 ATI403 Rep 2009-07-14 2011-01-17
109 Liu, Xiaoxi (SFC:BDA505) 劉晓曦 BDA505 Rep 2014-03-10 2016-03-11
110 Lu, Yilin (SFC:AOG682) 呂禕麟 35 M AOG682 Rep 2013-11-18 2013-12-23
RO 2013-12-23 2015-07-28
111 Ma, Lai Mei 馬麗眉 AHC358 Rep 2006-06-29 2012-04-23
112 Malhotra, Anish (SFC:AOV242) AOV242 Rep 2007-04-19 2007-07-18
113 Manas, Francois Vincent M APB257 Rep 2007-06-06 2007-12-17
114 Martin, Guillaume Claude Jean-Marie M ARK560 Rep 2008-08-20 2009-01-06
115 Mascolo, Fabiano Hugues Joseph M ANE267 Rep 2006-03-13 2009-01-31
116 Matsuzoe, Kie AYF201 Rep 2011-10-13 2012-01-04
117 McFarland Novak, Leni BDX538 Rep 2014-08-04 2015-11-13
118 McGonegal, Brett Alexander 44 M AOH375 Rep 2006-12-13 2008-07-16
RO 2008-07-16 2011-05-30
119 McKay, Mark Andrew (SFC:ASH863) M ASH863 Rep 2009-01-20 2011-10-17
120 Meenan, Raymond David M AXW269 Rep 2011-08-17 2012-02-10
121 Melka, Alexandre Sebastien M AZL239 Rep 2012-05-11 2013-01-14
122 Mignot, Nicolas Jean-Marie M ASD195 Rep 2011-08-29 2012-08-30
RO 2012-08-30 2014-11-06
123 Miller, Ryan James (SFC:ARF537) M ARF537 Rep 2008-06-20 2008-06-20
124 Mitchell, Patrick Callahan M AVA493 Rep 2010-04-16 2010-12-10
Rep 2011-01-31 2011-07-05
125 Moeller, Corinna Georgina F BAX763 Rep 2014-08-21 2015-07-24
126 Morvan, Christophe AUB794 Rep 2009-11-02 2010-06-30
Rep 2010-09-08 2011-04-08
127 Mui, Yu Yuk 梅如玉 AVM402 Rep 2010-07-13 2011-07-23
128 Munden, Susan Jean F AAC781 Rep 2013-04-25 2013-05-09
Rep 2013-11-15 2013-11-29
129 Narasaki, Shuya 楢崎修也 AXL833 Rep 2011-06-21 2011-11-22
130 Nasser, Jonathan Colby M AVO954 Rep 2011-11-04 2012-03-13
RO 2012-03-13 2012-09-19
Rep 2012-09-19 2014-10-31
131 Nastanski, Neil Adam M BCY576 Rep 2014-02-25 2016-02-25
RO 2016-02-25 2016-05-26
132 Nema, Naoshi ANH179 Rep 2012-11-12 2015-03-31
Rep 2015-08-26 2016-03-02
RO 2016-03-02 2018-03-31
133 Ng, Jackfrey Cho Fai 吳祖輝 ALR784 Rep 2010-05-31 2011-03-05
134 Ng, Ka Yin (SFC:ACQ226) 吳家燕 ACQ226 Rep 2015-07-31 2017-05-04
135 Ng, Kelvin Pak Tao 吳柏濤 M AYN251 Rep 2011-12-01 2012-05-14
136 Ngo, Francois M AHG859 Rep 2004-07-23 2011-06-17
137 Nichols, Michael Christian M AFB033 Rep 2008-05-16 2008-09-16
138 Ogata, Marina Miyuki F AWF341 Rep 2010-11-15 2011-03-18
139 Pereira, Kevin Edmond M AML699 Rep 2014-09-16 2014-10-06
RO 2014-10-06 2015-08-28
140 Quinn, Francis Ryan M AWY788 Rep 2011-03-14 2013-12-13
141 Rhee, Jae Kyung 李在慶 AUZ166 Rep 2010-03-26 2012-08-31
142 Ricklow, Darryl Michael (SFC:ATW459) M ATW459 Rep 2009-10-02 2011-11-03
143 Ryu, Tantan AQQ257 Rep 2015-12-09 2016-04-29
144 Sandeman, Stuart Charles M AWS470 Rep 2011-01-25 2011-05-31
145 Seah, Mitchell Yee Yong 謝于榮 M AOL511 Rep 2007-01-23 2009-03-02
146 Selig, William Louis M AHC330 Rep 2007-05-08 2011-02-24
147 Sellam, Alexandre Elie M AWD946 Rep 2010-11-01 2013-12-31
148 Servant, Remy Jerome AOY167 Rep 2007-05-22 2011-11-02
149 Sheldon, Thomas Geoffrey M BBE268 Rep 2013-04-25 2013-05-09
150 Shiu, Kam Man 邵錦文 41 M AGW055 RO 2011-06-03 2012-12-10
RO 2014-10-17 2019-12-31
151 Shiu, Lai Man 邵禮文 AKQ640 Rep 2010-03-11 2011-03-05
152 Sillam, Jonathan Charles Marc M AOM654 Rep 2009-11-09 2010-02-01
153 Sing, Raymond Pui Choy 成培洲 M ALZ057 Rep 2005-07-13 2006-02-15
154 Smedhall, Sandra Estelle F ARW143 Rep 2008-11-13 2009-03-03
155 Smith, Clive Anthony (SFC:APW353) M APW353 Rep 2013-06-03 2013-06-10
156 Sohn, Charles Chongho M AUA852 Rep 2016-03-08 2018-11-30
157 Stapanavatr, Niphon ARI960 Rep 2008-07-22 2009-03-31
158 Stephens, John William M AFT822 Rep 2013-06-11 2013-07-26
RO 2013-07-26 2013-08-17
159 Suissa, Daniel Adam M AWY056 Rep 2011-03-09 2012-05-31
RO 2012-05-31 2012-12-11
Rep 2012-12-11 2013-03-08
160 Sultan, Asad Turab ADW848 Rep 2007-03-08 2008-09-16
161 Tan, Yong Seng BFF015 Rep 2015-04-10 2016-10-07
162 Taylor, Stuart Andrew (SFC:AWX936) M AWX936 Rep 2011-03-08 2011-07-29
163 Tin, Yuk 田旭 ANH344 Rep 2009-01-21 2009-04-28
164 Tsuen, Gloria Kai 全佳 F AXI370 Rep 2013-05-09 2014-10-20
165 Tsui, Wai Chi 徐偉智 ASF937 Rep 2009-01-20 2011-03-05
166 Tudoran, Anamaria BCE875 Rep 2013-11-06 2014-09-24
167 Tuthill, David Theodore M APR551 Rep 2007-10-17 2008-08-30
168 Uchida, Kikuko 內田喜久子 AUG749 Rep 2009-12-01 2010-07-14
169 Vendt, Erik Karl M AXW888 Rep 2011-11-17 2012-04-18
170 Wan, Vivian 王曉昱 F BBW591 Rep 2013-09-16 2015-06-30
171 Wang, Chih Hsiang 王致翔 APJ781 Rep 2011-03-07 2011-06-13
RO 2011-06-13 2012-02-26
172 Watts, Nigel Owen M ALF227 Rep 2009-01-20 2011-10-31
RO 2011-10-31 2012-04-30
Rep 2012-05-09 2013-04-04
173 Weil, Daniel Scott M ANW215 Rep 2006-09-04 2006-12-03
Rep 2007-04-26 2007-07-27
Rep 2007-11-12 2009-06-15
174 White, Brian John (SFC:BDE457) M BDE457 Rep 2014-04-01 2014-07-01
175 Wong, Jackie Kin Fung 黃建峰 AST362 Rep 2009-05-04 2011-07-29
176 Wong, Kwun Hung 王冠雄 AJF996 Rep 2007-10-17 2009-05-04
177 Wong, Rebecca Shuk Ping 黃家蔚 F AQK030 Rep 2010-09-10 2011-03-05
178 Wong, Wah Lam 黃華林 AAV422 Rep 2007-05-10 2007-09-22
179 Wong, Wai Hin 黃偉軒 AWS039 Rep 2011-01-24 2013-04-11
180 Wong, Wai Yan (SFC:AWY281) 黃蔚茵 AWY281 Rep 2011-03-14 2014-10-17
181 Wong, Yiu Ming (SFC:ACK380) 黃耀明 ACK380 Rep 2010-03-03 2010-04-22
RO 2010-04-22 2011-03-05
182 Work, David Lyall M AFD445 RO 2004-07-15 2008-07-23
183 Yang, Chung-chih 楊重志 AVD352 Rep 2011-03-22 2011-12-14
184 Yang, Seungju BFX291 Rep 2015-07-27 2016-01-15
185 Yen, Chanan 霍震南 37 M ARM750 Rep 2011-01-24 2011-12-16
186 Yeung, Suen Leong 楊孫亮 APL480 Rep 2010-08-30 2011-02-25
187 Yi, Jiaru 易珈如 AWY616 Rep 2012-08-31 2013-01-19
188 Yi, Kang Woo AOQ532 Rep 2011-09-26 2011-10-26
189 Yip, Anthony Wing Kai 葉永楷 M AHY021 Rep 2010-03-03 2010-03-23
RO 2010-03-23 2011-03-05
190 Yong, Fen Choong AOM504 Rep 2011-01-06 2011-10-11
191 Yoon, Yong Jin AZV169 Rep 2012-07-06 2018-05-14
192 Yoshikawa, Kanae 吉川佳苗 APB213 Rep 2015-11-02 2016-03-18
193 Young, Timothy James (SFC:AOX767) M AOX767 Rep 2007-05-16 2010-05-31
194 Yuen, Lai Ling 袁麗鈴 BBY119 Rep 2013-10-07 2014-10-23
195 Zhang, Chulong 张楚泷 BDW523 Rep 2014-07-31
196 Zhang, Heather Heqian F BBJ209 Rep 2013-09-16 2014-01-10
197 Zhang, Jingshao 張靜韶 AWS796 Rep 2011-01-28 2011-03-05
198 Zhang, Wei (SFC:AQD327) 張威 AQD327 Rep 2007-12-12 2008-08-21
199 Zhou, Yun (SFC:BCS988) 周芸 BCS988 Rep 2014-08-13 2016-02-22
200 Zhu, Kai (SFC:AHC311) 朱凱 AHC311 Rep 2009-04-06 2015-06-04

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