UBS SECURITIES ASIA LIMITED

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SFC licensees

RO=Responsible Officer, Rep=Representative

Name Age in
2003
SFC ID Role From Until
1 Anderson, Michael James (SFC:ABX611) M ABX611 Rep 2006-07-01
2 Basham, Caroline Charlotte F AFU065 Rep 2004-08-17
3 Beshke, Clarence John M ADS271 RO 2010-10-15
4 Bradshaw, John (SFC:AHC328) M AHC328 Rep 2012-03-29
5 Brown, Marcus William Ross (SFC:AGH930) M AGH930 Rep 2003-06-25
6 Burnett, Peter William (SFC:ADX522) 43 M ADX522 RO 2003-06-25
7 Chan Yeung, Virginia Mo Bik 陳楊慕碧 ADY936 Rep 2006-05-26
8 Chan, Amy Yuen Han 陳婉嫻 F ADY964 Rep 2008-08-28
9 Chan, Andy Kok Heng AFC953 Rep 2010-05-20
10 Chan, Mark Man Wai 陳孟為 M ABR486 Rep 2003-04-09
11 Chan, Vincent Cheong Wa 陳昌華 M ACA303 Rep 2004-04-29
12 Chan, Winnie (SFC:AFD453) 陳韻妮 F AFD453 Rep 2003-06-25
13 Chang, Walter 陳華德 M ABT445 Rep 2004-04-21
14 Cheng, James Vincent M AIC014 Rep 2004-04-29
15 Cheng, Jimmy Min Tat 鄭勉達 M ACV741 RO 2005-05-20
16 Cheung, Ronald Yat Sau 張逸修 M AHJ471 Rep 2016-07-19
17 Chia, Tse Ern AFO306 Rep 2004-03-26
18 Chin, Michael Jaewuk M ACZ609 Rep 2006-09-04
19 Chow, Siu Han 周笑嫻 ADX152 Rep 2003-06-25
20 Chung, Rex Richard Kyuchang M AEI990 Rep 2003-06-25
21 Chung, Suk Moon 鄭碩紋 AEK432 Rep 2004-06-03
22 Cin, Chang Sik AHM834 Rep 2018-12-29
23 Clifford, Timothy Edward M AFH048 Rep 2004-08-07
24 Coffeng, John Martinus (SFC:ADJ820) M ADJ820 Rep 2010-09-06
25 Combalot, Laurent Benoit Georges M AHC015 Rep 2009-05-06
26 Cox, Carrie Bigelow F ADR668 Rep 2004-04-15
27 Dowie, Mark Peter Louden 42 M ADC078 RO 2004-04-01
28 Easterbrook, Trevor Stephen M AGX021 Rep 2004-02-23
29 Fang, Dongming 房東明 AFE991 Rep 2007-12-08
30 Fisher, Jocelyn Howard M AFB130 Rep 2004-03-15
31 Fok, Ronald King Man 霍敬文 26 M AGE025 Rep 2018-05-04
32 Gaw, Christina 吳燕安 31 F ACS896 Rep 2008-06-14
33 Ghag, Arvinderpal AIB940 Rep 2004-04-27
34 Gooding, Nial Dennis Henry 劉國誠 44 M ABS538 Rep 2010-03-19
35 Henley, Robert Alexander M AHR011 Rep 2006-04-01
36 Ho, Diana Pui Kwan 何佩君 F ABY481 Rep 2011-10-18
37 Ho, Kwok Chung (SFC:AAB905) 何國仲 AAB905 Rep 2008-05-07
38 Ho, Stanley Yaun 何仁 M AGA624 Rep 2003-06-25
39 Ho, Tat Shing 何達成 AHA554 Rep 2003-08-21
40 Holland, John Michael Morgan 40 M AFR867 RO 2003-11-11
41 Hoong, Chris Cheong Thard 孔祥達 35 M ACB773 Rep 2003-05-15
42 Hosie, Neil Cameron M AHQ348 Rep 2004-05-28
43 Houssian, Iven ADQ120 Rep 2004-07-06
44 Hsu, Karen Chia Lin 徐嘉琳 F ACO622 Rep 2004-02-23
45 Hung, Gary Lok Ming 熊洛銘 M ADY288 Rep 2006-03-04
46 Hunt, Christopher James Andrews M AHR004 Rep 2011-07-27
47 Jacobson, John Brennan M ACV752 Rep 2003-09-02
48 Jeong, Joseph Chu M AEY997 Rep 2003-07-29
49 Johnson, Pekka David (SFC:ADL598) M ADL598 Rep 2005-03-21
50 Johnston, Richard William M AET370 Rep 2004-04-14
51 Khoo, Chiew Cheng 邱秋清 AEJ606 Rep 2005-03-24
52 Kim, Susan Eun F AIB938 Rep 2008-05-07
53 Kuan, Shu Shin 關素馨 AET363 Rep 2004-03-12
54 Kwan, Sing Yuen 關承遠 ABW052 Rep
55 Lai, Paul Wai Tsun 賴維津 M AED148 Rep 2004-07-01
56 Lai, Wing Yi 黎詠儀 AED789 Rep 2003-05-30
57 Lam, Hu Yang 林曉陽 ADU633 Rep 2006-09-16
58 Lam, Vanessa Yuk Yee 林玉儀 F AID483 Rep 2006-08-26
59 Lau, Marcus Chi Chiu 劉志超 M AAC292 Rep 2006-06-08
60 Lau, Patricia Yan Ki 劉恩琪 24 F AIH455 Rep 2003-06-25
61 Law, Wendy Wing Chi 羅穎芝 F AHS272 Rep 2005-06-13
62 Lee, Chris C AGX022 Rep 2003-07-29
63 Lee, Christopher Fai Man 李輝敏 37 M ACW239 Rep 2010-03-22
64 Lee, Hyun Jae (SFC:AHN694) 李賢宰 AHN694 Rep 2007-04-19
65 Lee, Simon Chun Kit 李俊傑 27 M AHA361 Rep 2009-04-22
66 Lee, Won Jong AFU204 Rep 2010-07-05
67 Leong, Vui Ling 梁偉靈 AEB584 Rep 2006-03-01
68 Leung, Mary Ka Yan 梁家恩 F AEJ838 Rep 2003-06-25
69 Liew, Yew Wah AET878 Rep 2004-04-28
70 Lim, Meng Phong 林明鳳 AFH049 Rep 2017-06-28
71 Look, Andrew 陸東 38 M ACO365 Rep 2005-03-24
72 Luk, Terence (SFC:AGI503) 陸凱賢 M AGI503 Rep 2006-01-28
73 Ma, Kwun Yea 馬君意 AEF918 Rep 2005-03-24
74 Mackinnon, Charles Harold Hugh M AFX083 Rep 2003-04-10
75 McQueen, Lee Michael M ACR744 Rep 2004-01-09
76 Melwani, Rajesh Ramesh (SFC:AEU252) M AEU252 Rep 2010-01-26
77 Mizoguchi, Hironori AHL612 Rep 2004-03-12
78 Mou, Newman Siu Bun 繆肇彬 ABL554 Rep 2006-06-15
79 Ng, Diana Tze Chiew 黃紫秋 F ADX263 Rep 2004-10-20
80 Ng, Hooi Chong 黃慧聰 35 M ADH384 Rep 2003-04-30
81 Norris, Richard (SFC:AHG719) M AHG719 Rep 2004-05-18
82 Ollerenshaw, Simon Gerald M AHD912 Rep 2003-06-25
83 Orgill, Bradley Wayne M ACR853 RO 2005-03-24
84 Pang, Kenneth Kwok Kit 彭國傑 M AEO731 Rep 2009-04-08
85 Park, Min AFA670 Rep 2004-07-29
86 Patel, Jinesh Kiran AFQ415 Rep 2006-06-24
87 Pecot III, Charles Matthew 43 M AHA548 Rep 2005-04-27
88 Pickstone, Julian Charles (SFC:AFT961) M AFT961 Rep 2008-01-25
89 Po, Alice Wai Sze 保慧思 F ADU277 Rep 2005-03-24
90 Poon, Jenny 潘珍妮 F AHR022 Rep 2003-05-24
91 Poon, Ming Pui 潘明培 M AAF320 RO 2005-03-30
92 Redbourn, Paul Robert (SFC:AFQ906) M AFQ906 Rep 2010-10-15
93 Robertson, Simon Montague M AGI097 Rep 2010-04-09
94 Sanchez, Marlon Mikhail M ADJ822 Rep 2006-05-16
95 Saunders, Scott Antony M ADC081 RO 2005-05-20
96 Saxvik, Eric Bradley M ACR775 Rep 2012-04-13
97 Shieh, Ingrid AHA547 Rep 2004-04-29
98 Sim, Colin Ching Wern M AGN521 Rep 2007-06-14
99 Sinclair, Andrew Mark (SFC:AGP545) M AGP545 Rep 2004-04-18
100 Stutsman, Andrea Jean F AGF487 Rep 2006-05-01
101 Suen, Benny Hung Kit 孫雄傑 M AIB797 Rep 2009-04-22
102 Sum, Hing Man 岑慶文 ABW145 Rep 2014-04-11
103 Sun, Steven John 孫常勝 46 M ACR153 Rep 2003-06-25
104 Tan, Lien Seng AFK584 Rep 2005-03-21
105 Tan, Yew Boon 陳友文 AFS647 Rep 2004-05-04
106 Taylor, Christopher Michael (SFC:AEC940) M AEC940 Rep 2003-04-15
107 Thomas, Rebecca Judith F AHC210 Rep 2004-05-13
108 Tse, Jaff Ka Wai 謝家威 ADR277 Rep 2003-04-10
109 Tse, Shirley Sze Wan 謝詩韻 F AFU564 Rep 2005-03-24
110 Tsui, Charles King 徐勁 M AGB114 Rep 2003-11-04
111 Wan, Li (SFC:AHD514) 萬里 AHD514 Rep 2004-03-08
112 Wan, Ming Sun 尹明山 30 M AGW059 Rep 2004-02-26
113 Wee, Liang Sin AHK048 Rep 2003-05-30
114 West, Colin Thomas M AFZ863 RO 2003-06-25
115 Williams, Mark Fraser M AGJ433 Rep 2003-06-25
116 Williams, Sian Elizabeth (SFC:ADT132) F ADT132 Rep 2004-05-28
117 Wong, Constance 黃子欣 F ABR876 Rep 2008-05-24
118 Wong, Ronald Kwok Kit 黃國傑 M AEW968 Rep 2003-06-18
119 Wu, Chi Wai (SFC:AIQ683) 胡志威 AIQ683 Rep 2011-10-24
120 Wu, James Yun M AGN747 Rep 2009-05-13
121 Xiao, Qing (SFC:AFE509) 肖清 AFE509 Rep 2003-06-25
122 Yip, Shuk Ling 葉淑玲 AEA526 Rep 2009-12-03
123 Yoon, Chi Won ACN181 Rep 2003-09-15
124 Yu, Jason Wah Chiu 余華超 M AAD859 RO 2005-03-24
125 Yuen, Nicole Shuk Kam 袁淑琴 41 F ACH708 RO 2005-03-24
126 Yung, Tak Man (SFC:AHK660) 翁德敏 AHK660 Rep 2014-06-10
127 Zhang, Ning (SFC:AGD246) 張宁 35 M AGD246 Rep 2004-03-11

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