HSBC SECURITIES (ASIA) LIMITED

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SFC licensees

RO=Responsible Officer, Rep=Representative

Name Age in
2016
SFC ID Role From Until
1 Alexander, Andrew Bernard 安力德 M ABM861 Rep 2005-02-01 2005-02-16
2 Au Yeung, Tat H 歐陽達顯 AFZ713 RO 2004-01-15
3 Au-Young, Ping 歐陽平 ABI868 Rep 2005-11-14
4 Au, Alex Wai Chi 區偉志 M ACO434 Rep 2004-01-15
5 Barker, Ariane Marie AFO526 Rep 2005-05-13 2007-07-01
6 Barton, Richard Jeremy M ACF860 Rep 2005-06-22 2005-11-14
7 Beattie, Russell William M ALI346 Rep 2004-10-14 2005-11-14
8 Berrisford, Carl Thomas M AIZ256 Rep 2003-05-23 2004-01-15
9 Borzi, Anna Marie F AGF179 Rep 2003-10-27
10 Bradley, Martin (SFC:ACC190) M ACC190 Rep 2005-10-27
11 Chan, Alan Yuk Lun 陳玉倫 M ACQ051 Rep 2003-12-05
12 Chan, Andrew Ding Bong 陳定邦 M AGL865 Rep 2005-06-03
13 Chan, Andrew Shingfun 陳盛勳 M AMC389 Rep 2005-06-13 2005-11-12
14 Chan, Ben Wei Beng 陳偉敏 M ABX133 Rep 2003-08-14 2004-05-24
15 Chan, Dominic Koon Shing 陳冠成 M AKY943 Rep 2004-07-27 2004-10-18
16 Chan, Hon Wah (SFC:ABN589) 陳漢華 ABN589 Rep 2008-11-19 2018-08-31
17 Chan, Kerry Mo Yu 陳慕瑜 ADU088 Rep 2005-07-26 2005-11-14
18 Chan, Mark Kar Yue 陳嘉裕 M ABB625 Rep 2005-10-27
19 Chan, Otto Chun Shing 陳鎮成 54 M AAF999 RO 2006-09-07
20 Chan, Rene Hoi Yan 陳海茵 ANG332 Rep 2006-03-29 2007-08-06
21 Chan, Yiu Fai (SFC:AEG477) 陳耀輝 AEG477 Rep 2005-11-12
22 Chang, Chao-Kung 張肇恭 AJD920 Rep 2003-11-11 2005-11-14
23 Chang, Po-Chi (SFC:AJD292) 張博淇 AJD292 Rep 2003-10-06 2004-05-24
24 Chappel, Christopher Lee M ALI728 Rep 2005-04-15 2005-06-17
25 Chen, Hsiao Ying (SFC:ALS410) 陳曉瑩 ALS410 Rep 2005-02-16 2005-09-01
26 Chen, Lawrence Yung 鄭勇 M AHP543 Rep 2004-09-03
27 Cheng, Hon Fai 鄭漢輝 ADL038 Rep 2005-11-14
28 Cheng, Vivinne 鄭慧玄 ACA475 Rep 2005-05-03 2005-11-14
29 Cheng, Yee Pun 鄭宜斌 41 M ALG538 Rep 2004-09-27 2005-11-12
30 Cheung, Lai Ping (SFC:ABF741) 張麗萍 ABF741 RO 2004-01-01
31 Cheung, Yat Ming (1968) 張一鳴 48 M AEG753 Rep 2005-05-04
32 Chiang, Venant (SFC:AIB743) 蔣永甯 AIB743 Rep 2005-10-25 2005-11-12
33 Chik, Leon Hak Kan 植克勤 ADT573 Rep 2005-05-23 2005-11-12
34 Chin, Victoria Vui Luen 陳維倫 F AED574 Rep 2005-08-25 2005-11-14
35 Choi, Carmen Wai Ching 蔡慧貞 F AMK228 Rep 2005-08-29 2005-11-12
36 Choi, Yoon Hee AJG887 Rep 2003-11-25 2004-01-15
37 Chua, Lee Leng AHI518 Rep 2005-06-20 2005-11-14
38 Chua, Siong Kheng 蔡尚慶 AHH618 Rep 2004-07-26
39 Chung, Alden Kam Wah 鍾金華 M ABH271 Rep 2004-01-28
40 Chung, Tony Ming Lok 鍾明烙 M AAF326 Rep 2003-09-11 2005-10-05
41 Cooney, Michael James (SFC:AJD244) M AJD244 Rep 2004-09-07 2005-11-14
42 Crispin, James Anthony M ANU647 RO 2009-02-16 2010-04-29
43 Damania, Anish Dinesh AKY574 Rep 2004-07-22 2005-06-17
44 Dickinson, Alexander Edward M ADS488 Rep 2005-11-14
45 Doshi, Mihir Vinod M AKY575 Rep 2004-07-22 2005-11-14
46 Dujari, Vipul ALC175 Rep 2004-08-16 2004-11-16
Rep 2004-11-25 2005-02-25
47 Dunham, Christopher Mark M ANU648 RO 2007-07-23 2009-02-18
48 Dunivant, Todd Glenn M ALW914 Rep 2005-04-26 2005-11-12
49 Dunn, Adrian Richard Howard M AJD150 Rep 2003-08-13 2004-06-10
50 Evans, Garry Owen M AJD756 RO 2003-11-05 2005-11-12
51 Fang, Jeffrey Sai Tai 方世泰 M AMF434 Rep 2005-07-12 2005-11-12
52 Foster, Scott Mather M ALV237 Rep 2005-03-23 2005-11-12
53 Fung, Hon Nam 馮漢南 AFR093 Rep 2005-03-24 2005-11-12
54 Gambrill, David Boys M ACF213 Rep 2003-08-01 2004-06-16
55 Garrick, Jonathan M AGM460 Rep 2004-12-08 2005-11-14
56 Ginde, Vidyadhar Vasant AKV345 Rep 2004-07-08 2005-11-12
57 Goh, Daryl Shao Loong 吳少龍 M AFM357 Rep 2005-08-10
58 Guglietta, Joel Stephan AHD235 Rep 2005-03-10 2005-10-19
59 Gupta, Pramod AGE214 Rep 2005-03-29 2005-11-12
60 Hall, Martin David M AJO216 Rep 2004-03-17 2004-11-10
61 Hancock, Jonathan Stiles M ACJ318 RO 2009-01-31
62 Hanson-Lawson, Michael John M AEW093 Rep 2003-11-10 2004-05-24
63 Haskins, Andrew Robin Alexander 48 M ALY617 Rep 2005-05-04 2005-11-12
64 Hayashi, Douglas Tetsuya M AMA938 Rep 2005-05-31 2005-11-12
65 Heng, Franklin Ching Kuen 幸正權 51 M ACY056 RO 2006-04-14
66 Heung, Chun Wai 香鎮偉 ADZ579 Rep 2003-05-20 2003-10-29
67 Ho, Kenneth Kai Chung 何啟忠 51 M ACM918 Rep 2004-11-03 2005-11-12
68 Hong, Chien Han 洪千涵 ALY616 Rep 2005-04-28 2005-11-12
69 Hunt, Christopher Lawrence M AIQ686 RO 2003-08-07
70 Hylan, Adam James M AMB666 Rep 2005-08-04 2005-11-12
71 Hyland, Peter John M AGB754 Rep 2004-01-19
72 Jacobelli Yau, Maurien Oi Man 丘愛敏 ABK611 Rep 2004-04-28
73 Jajal, Kartik Chimanlal AFU801 Rep 2004-03-29
74 Jasani, Nilesh Surendra Rai M AFJ460 Rep 2003-09-11
RO 2003-09-11 2004-10-25
75 Jhaveri, Anish Puspasen AKT426 Rep 2004-06-16 2005-11-14
76 Johnson, Christopher Lind M AGA971 Rep 2003-07-10
77 Kam, Franklin Pak Wah 金百華 M AAD811 Rep 2005-04-07
78 Kam, Tyran 金泰倫 AMG982 Rep 2005-07-25 2005-11-12
79 Kan, Alan (SFC:AIR601) 簡兆倫 M AIR601 Rep 2003-07-10
80 Kim, Hyun Ho (SFC:ACJ079) 金賢鎬 ACJ079 Rep 2005-04-19 2005-11-14
81 Kim, Peter Sin M AFF924 Rep 2005-07-07
82 Ko, David Young M AJD797 Rep 2003-09-10 2004-01-08
83 Ko, Desmond Chin Hung 高展雄 M APH990 Rep 2007-07-26 2008-11-11
Rep 2010-12-22 2014-02-20
84 Kopp, Russell Jerome AFA833 Rep 2004-10-14 2005-11-12
85 Kwan, Wing Lok 關榮樂 ADT427 Rep 2004-01-09
86 Kwok, Chau Wan 郭秋雲 ABF872 Rep 2004-04-02
87 Kwong, Sylvia Wan Man 鄺韻文 F AGE907 Rep 2003-08-21
88 Lam, Sum Sum 林森森 AFY780 Rep 2005-06-30
89 Lau, Che Wah 劉志華 AAB300 Rep 2005-09-27 2005-11-14
90 Lau, Chun Hou 劉俊厚 AAE282 Rep 2005-11-14
91 Lau, Hwa Jen 劉華仁 AJC307 Rep 2003-07-28 2003-10-17
92 Lau, Mimmi Siu Mei 劉少薇 ADE401 Rep 2003-06-04
93 Lau, Peter Yim Lam 劉炎霖 M ABE725 Rep 2003-09-11 2004-10-14
94 Lau, Shek Wing 劉錫榮 AAC254 Rep 2003-09-11 2004-12-09
95 Lau, Wing Shan 劉詠珊 AFE210 Rep 2008-12-19 2010-06-08
96 Lee Shyu, Mei-Lan 徐美蘭 AMJ459 Rep 2005-08-19 2005-11-14
97 Lee, Angela Mei Lan 李美蘭 F ADB609 Rep 2008-11-19 2014-03-05
98 Lee, Ho Cheung (SFC:ADP881) 李浩章 ADP881 Rep 2005-05-10 2005-11-12
99 Lee, Jeong Ja AJG885 Rep 2003-11-25 2004-03-09
100 Lee, Johnny Chi Chung (SFC:ADJ622) 李志璋 ADJ622 Rep 2003-07-10
101 Lee, Louis Pang 李鵬 M APO909 Rep 2007-09-11 2008-11-11
102 Lee, Ricky Tsz On 李子安 M AGA341 Rep 2003-04-29
103 Lee, Sandra Wai Ying 李慧英 F AGE483 Rep 2005-11-14
104 Lee, Seung Hyun AMA939 Rep 2005-06-01 2005-11-12
105 Lee, Soon Huat AJD740 Rep 2003-09-10 2004-01-15
106 Lee, Wang Kwong 李泓廣 AFS914 Rep 2004-01-15
107 Letts, Darren Arthur Bohrsmann M AGC952 Rep 2004-03-12
108 Leung, Kwok Wing (SFC:AAF592) 梁國榮 AAF592 Rep 2003-09-11 2005-11-14
109 Leung, Wai Man (SFC:AGO399) 梁偉民 AGO399 Rep 2005-11-14
110 Leung, Wai Yin (SFC:AGO097) 梁偉賢 AGO097 Rep 2005-11-14
111 Li, Raymond Man Fai 李文輝 M ADT897 Rep 2005-11-14
112 Liao, Ming-Cheng 廖明正 AJG884 Rep 2003-11-21 2004-01-15
113 Ling, Anne Kin Shun 林建純 F ACX120 Rep 2004-04-23
114 Loh, Andrew Der Ming 羅德銘 M AFC950 Rep 2004-12-06 2005-02-16
115 Lu, David Kwok Shing 魯國城 M ADF094 Rep 2003-04-05
116 Lu, Hua (SFC:ALN582) 呂華 ALN582 Rep 2004-12-08 2005-06-30
117 Lu, Ying-Chang 呂穎彰 AJD396 Rep 2003-08-20 2004-03-19
118 Ma, Diana Ka Lai 馬嘉麗 F AHN555 Rep 2005-10-27
119 Macalpin, Kenneth Allan Connolly M AAW833 Rep 2004-11-15 2005-07-19
120 Mak, Winnie (SFC:ADK738) 麥蔚誼 F ADK738 Rep 2004-01-28
121 Man, Peter Kum-Chung M AFD980 Rep 2006-04-01
122 Markwick Smith, Jeremy Robin M ALN455 Rep 2004-12-06 2005-10-11
123 Marsden, Matthew Owen M AMA934 Rep 2005-05-30 2005-11-12
124 Masuda, Etsusuke AJM779 Rep 2004-02-27 2005-01-04
Rep 2005-03-10 2005-04-11
Rep 2005-10-24 2005-11-12
125 McDonald, Graeme Antony M ALA712 Rep 2004-08-24 2004-09-20
126 McGee, Alan Craig M AMJ457 Rep 2005-08-15 2005-11-14
127 Moss, James Thomas M AJC737 Rep 2003-08-01 2004-04-26
128 Moss, Stephen Colin M AFD726 RO 2004-02-12
129 Myers, Stephen Grant M AGH563 Rep 2003-06-05
130 Myers, Steven William M ACD746 Rep 2004-06-15 2004-09-20
131 Naseer, Jahanzeb AFR296 RO 2005-09-30
132 Ng, Agnes Wing Sum 吳詠芯 F AGK088 Rep 2003-12-04
133 Ng, Chi Hung (SFC:APM137) 吳志雄 APM137 Rep 2007-08-27 2008-11-11
134 Ng, Kit Wei AJD507 Rep 2003-08-26 2004-05-24
135 Ng, Sze Man (SFC:AOT397) 吳詩敏 AOT397 Rep 2007-03-30 2007-06-23
136 Ng, Wai Kwong (SFC:ADJ383) 吳衛剛 ADJ383 Rep 2004-05-24
137 Ngai, Man Fai 倪文輝 AEE761 Rep 2004-06-17 2005-11-14
138 Ngai, Thomas Kwok Kan 危國根 M ACP700 Rep 2012-04-03
139 Offer, Richard George Michael M AEH723 Rep 2005-11-12
140 Onillon, Julien Jean Maurice Francois M ALN583 Rep 2004-12-09 2005-06-30
141 Pablo, Gerardo Gonzalez 巴布羅 M AFZ873 RO 2010-11-11 2018-08-31
142 Park, Nam Chol ADQ002 Rep 2005-11-12
143 Patel, Rakesh (SFC:ALI605) M ALI605 Rep 2004-11-15 2005-11-14
RO 2006-05-16 2018-08-31
144 Png, Hua Teng AJE605 Rep 2003-10-07 2003-10-15
145 Poon, Carolyn Yeuk Wan 潘若韻 F AHT395 Rep 2003-07-26 2005-11-12
146 Pow, Eddie Shiu Keung 鮑肇強 M AEU615 Rep 2003-10-30
147 Raman, Dev AKI714 Rep 2004-04-20 2004-06-17
148 Ricks, Del John M AMC374 Rep 2005-06-13 2005-11-14
149 Robertson, Craig Anthony M AEP696 Rep 2005-11-14
150 Rogers, Neil Colin (SFC:ALS349) M ALS349 Rep 2005-02-14 2005-06-24
151 Russell, John (SFC:AJL223) M AJL223 Rep 2004-02-11 2005-11-12
152 Sadler, Simon Peter 47 M AFJ906 Rep 2004-07-07 2005-05-03
153 Sandhu, Tejinderjit Singh AJD599 Rep 2003-09-02 2005-11-12
154 Satapathy, Sanjaya Kumar M AML911 Rep 2005-09-20 2005-11-12
155 Saunders, Jefferson ASL881 RO 2009-03-31 2016-01-30
156 Saxena, Manish Jagdish AMF540 Rep 2005-07-12 2005-11-12
157 Shanbhag, Abhay Mukund AKT429 Rep 2004-06-16 2005-11-12
158 Shanbhag, Anand Ramchandra AKV346 Rep 2004-06-26 2005-11-12
159 Shum, Fei Fei 沈菲菲 37 F ALR570 Rep 2005-02-02 2005-11-14
160 Sim, Mong Kwang 沈茂琼 ADJ827 Rep 2010-12-20
161 Siu, Chi Ming (SFC:AFZ476) 蕭智明 AFZ476 Rep 2005-11-12
162 Smith, Jennifer Tai 戴令名 F AEI589 Rep 2003-04-02
163 So, Nelson Shing Hing 蘇盛興 M ACH779 Rep 2004-05-24
164 Solomon, Jesse Michael M AML158 Rep 2005-09-01 2005-11-14
165 Solway, Paul Simon Herbert M AFU460 Rep 2003-07-10
166 Sugiura, Seiji ALN453 Rep 2004-12-06 2005-11-12
167 Sutherland, Matthew Sebastian M AGZ498 Rep 2004-01-15
168 Sutton, Ben (SFC:AKU233) M AKU233 Rep 2004-06-15 2005-06-22
169 Taesch, Frederic Marcel Georges Marie M AML240 Rep 2005-09-08 2005-11-24
170 Takano, Kimihide AML890 Rep 2005-09-20 2005-11-12
171 Tan, Choon Ming 陳俊銘 AMA932 Rep 2005-05-31 2005-11-12
172 Tang, Chi Kit (SFC:ALC474) 鄧智傑 ALC474 Rep 2004-09-01 2005-06-30
173 Tantivorawong, Korawilai AJD243 Rep 2003-10-22 2004-04-02
174 Tayama, Minoru AAY275 Rep 2005-03-23 2005-09-05
175 Thareja, Anupam AKI713 Rep 2004-04-21 2005-10-25
176 Timblick, Leland Marion Rhee AFB429 Rep 2005-05-17 2005-11-14
177 To, Christine Oi Yan 杜愛茵 F ADQ669 Rep 2004-01-15
178 Tse, Darius Yung Che 謝用之 M AHC352 Rep 2004-10-25 2005-04-13
179 Tulk, Philip W M ADZ105 Rep 2004-01-15
180 Turley, Francis Bernard M AIL649 Rep 2005-10-27
181 Turnbull, Robert Edward M ADA657 Rep 2004-01-15
182 Udjang, Charles M AMI595 Rep 2005-08-05 2005-09-07
183 Van Der Linde, Hendrik Jan Herald ALZ931 Rep 2005-05-25 2005-11-12
184 Vaudry, Robert Thomas (SFC:AGN906) M AGN906 Rep 2004-07-19 2004-08-12
RO 2004-08-12 2005-11-12
185 Villamin, Norman Jay M AEU226 Rep 2004-09-22 2005-11-12
186 Wallace, Lee Peter M ADM554 Rep 2005-07-20 2006-05-16
RO 2006-05-16 2008-11-18
187 Waterhouse, Julian Brian M ALB052 Rep 2004-08-19 2004-12-14
188 Webb, Mark Cameron Ross M AEJ064 Rep 2005-11-12
189 Wee, Roland Kian Jin M AMH297 Rep 2005-07-26 2005-11-12
190 Wong, Edmond M ACD920 Rep 2005-08-10
191 Wong, Gary Man Kuen 黃文權 M AGO032 Rep 2005-11-14
192 Wong, James Chung Yin 黃頌賢 M ADT900 Rep 2005-07-07
193 Wong, Michael Sheh Chung 王錫聰 M AFY781 Rep 2003-12-16
Rep 2005-04-12 2005-11-14
194 Wong, Patonia Steiner 黃凱琳 AGG754 Rep 2003-10-27
195 Wong, Poh Fah 黃保樺 AHQ093 Rep 2004-12-23 2005-07-07
196 Wong, Valerie Hak Wing 王克穎 F ALL103 Rep 2004-11-17 2005-11-12
197 Wong, Wing Wah (SFC:AEC773) 黃永華 AEC773 Rep 2005-11-14
198 Wong, Yan (SFC:AMG970) 王欣 AMG970 Rep 2005-07-21 2005-11-14
199 Woo, Art Zen 胡德賢 AEP855 Rep 2003-10-24
200 Yeoh, Simone Xenia AJD739 Rep 2003-09-10 2004-01-15
201 Yetman, Mark Stephen M ACT009 Rep 2005-01-03 2005-11-14
202 Yip, David Ting Keung 葉定強 M ADU278 Rep 2003-06-05
203 Youn, Christian Un Sik 尹彥植 M ALV179 Rep 2005-05-25 2005-11-12
204 Yu, Anthony Sai Yin 余世賢 M ACM394 Rep 2003-12-09
Rep 2005-04-12 2005-11-14
205 Yu, Hiu To 余曉濤 AGM902 Rep 2003-11-22
206 Zhong, Anna Hua F AJI712 Rep 2005-08-29 2005-11-12

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