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, Jonathan Gentile M AGW280 Rep 2003-05-30 2012-03-08
2 Anderson, Michael James (SFC:ABX611) M ABX611 Rep 2005-03-24
3 Aw, Michael Soon Beng 胡順炳 28 M AGC164 Rep 2003-06-25
4 Basham, Caroline Charlotte F AFU065 Rep 2004-08-17
5 Baur, Markus Peter M AIC327 Rep 2003-06-25
6 Beniwal, Saurabh AHI791 Rep 2003-06-25
7 Bibby, Nicholas Paley M ADB688 Rep 2003-05-30
8 Boland, Frank Joseph M AGT131 Rep 2003-04-23
9 Bradshaw, John (SFC:AHC328) M AHC328 Rep 2005-03-24
10 Brown, Marcus William Ross (SFC:AGH930) M AGH930 Rep 2003-06-25
11 Burnett, Peter William (SFC:ADX522) 43 M ADX522 RO 2003-06-25
12 Chan Yeung, Virginia Mo Bik 陳楊慕碧 ADY936 Rep 2005-03-24
13 Chan, Amy Yuen Han 陳婉嫻 F ADY964 Rep 2005-03-24
14 Chan, Andy Kok Heng AFC953 Rep 2005-03-24
15 Chan, Mark Man Wai 陳孟為 M ABR486 Rep 2003-04-09
16 Chan, Raymond Yiu Yue 陳耀宇 M AHA800 Rep 2003-06-25
17 Chan, Vincent Cheong Wa 陳昌華 M ACA303 Rep 2004-04-29
18 Chan, Winnie (SFC:AFD453) 陳韻妮 F AFD453 Rep 2003-06-25
19 Chang, Walter 陳華德 M ABT445 Rep 2004-04-21
20 Chee, Choon Wee 朱俊偉 AFX097 Rep 2003-06-25
21 Chee, Yuen Leng 朱宛玲 AHK661 Rep 2004-02-01
22 Chen, Xiao (SFC:AHD966) 陳霄 AHD966 Rep 2003-06-25
23 Chenaux-Repond, Lorenz Michael M AES431 Rep 2003-06-25
24 Cheng, James Vincent M AIC014 Rep 2004-04-29
25 Cheng, Jimmy Min Tat 鄭勉達 M ACV741 RO 2005-02-07
26 Cheng, Stephen Kwok Wai 鄭國偉 34 M ADS285 Rep 2005-04-27
27 Cheung, Ka Che 張家熾 AFX502 Rep 2005-07-05
28 Cheung, Ronald Yat Sau 張逸修 M AHJ471 Rep 2005-03-24
29 Chew, Jason Chiat Tsen 周傑昇 M AIN850 Rep 2003-06-25
30 Chia, Tse Ern AFO306 Rep 2004-03-26
31 Chik, Kin Nang 戚健能 AHR162 Rep 2008-03-15
32 Chin, David Hung I 金弘毅 35 M ADT385 RO 2004-07-01
33 Chin, Michael Jaewuk M ACZ609 Rep 2005-03-24
34 Chin, Sara Taechung F AHA555 Rep 2003-06-25
35 Chiu, Leo Yu Yuk 趙汝昱 M AHZ628 Rep 2003-06-25
36 Chiu, Yuk Ha AJD190 Rep 2003-08-19 2007-03-01
37 Chong, Kian Shing 張建成 AGE022 Rep 2003-06-25
38 Chow, Siu Han 周笑嫻 ADX152 Rep 2003-06-25
39 Chu, Danny Wai Kit 朱偉傑 AFV890 Rep 2006-09-02
40 Chu, Pierre Wang Chung 朱宏中 M AGK798 Rep 2003-06-25
41 Chung, Melanie Man Ki 鍾文琦 F AIG158 Rep 2003-06-25
42 Chung, Rex Richard Kyuchang M AEI990 Rep 2003-06-25
43 Chung, Suk Moon 鄭碩紋 AEK432 Rep 2004-06-03
44 Cin, Chang Sik AHM834 Rep 2005-03-24
45 Clifford, Timothy Edward M AFH048 Rep 2004-08-07
46 Coffeng, John Martinus (SFC:ADJ820) M ADJ820 Rep 2005-03-24
47 Combalot, Laurent Benoit Georges M AHC015 Rep 2005-03-24
48 Cox, Carrie Bigelow F ADR668 Rep 2004-04-15
49 Debow, Sean Herbert 狄寶生 M ACM546 Rep 2005-03-02
50 Ding, Yibing 丁一賓 ADJ647 Rep 2004-07-01
51 Dong, William Chen M AIU737 Rep 2003-05-09 2004-02-24
52 Easterbrook, Trevor Stephen M AGX021 Rep 2004-02-23
53 Fang, Dongming 房東明 AFE991 Rep 2005-03-24
54 Fang, Sean Sung Ho 方頌和 35 M ADS446 Rep 2003-06-25
55 Fisher, Jocelyn Howard M AFB130 Rep 2004-03-15
56 Fok, Glenn 霍經麟 46 M ABN513 Rep 2003-06-25
57 Fok, Ronald King Man 霍敬文 26 M AGE025 Rep 2005-03-24
58 Gaiser, Florian AHY465 Rep 2004-05-17
59 Gaw, Christina 吳燕安 31 F ACS896 Rep 2005-03-24
60 Ghag, Arvinderpal AIB940 Rep 2004-04-27
61 Gooding, Nial Dennis Henry 劉國誠 44 M ABS538 Rep 2005-03-24
62 Gu, Huaiyu 谷懷雨 AGX678 Rep 2003-06-25
63 He, Di (1948) 何迪 55 M AEL657 Rep 2003-06-25
64 Henley, Robert Alexander M AHR011 Rep 2005-01-20
65 Ho, Beatrice Lap Sze 何立思 F ADS141 Rep 2004-04-23
66 Ho, Diana Pui Kwan 何佩君 F ABY481 Rep 2005-03-24
67 Ho, Kwok Chung (SFC:AAB905) 何國仲 AAB905 Rep 2005-03-24
68 Ho, Stanley Yaun 何仁 M AGA624 Rep 2003-06-25
69 Ho, Tat Shing 何達成 AHA554 Rep 2003-05-12
70 Ho, William Wai Yin 何偉賢 M AFE790 Rep 2004-04-14
71 Holland, John Michael Morgan 40 M AFR867 RO 2003-11-11
72 Hoong, Chris Cheong Thard 孔祥達 35 M ACB773 Rep 2003-05-15
73 Hosie, Neil Cameron M AHQ348 Rep 2004-05-28
74 Houssian, Iven ADQ120 Rep 2004-07-06
75 Hsu, Karen Chia Lin 徐嘉琳 F ACO622 Rep 2004-02-23
76 Hui, Alice Suk Fong 許淑芳 F AAK174 Rep 2007-01-25
77 Hung, Gary Lok Ming 熊洛銘 M ADY288 Rep 2003-05-12
78 Hunt, Christopher James Andrews M AHR004 Rep 2005-03-24
79 Jackamo Ii, Thomas Joseph M AFD746 Rep 2003-06-25
80 Jacobson, John Brennan M ACV752 Rep 2003-06-11
81 Jeong, Joseph Chu M AEY997 Rep 2003-07-29
82 Jiang, Shan (SFC:AGE826) 姜山 32 M AGE826 Rep 2003-06-25
83 Johnson, Pekka David (SFC:ADL598) M ADL598 Rep 2005-03-21
84 Johnston, Richard William M AET370 Rep 2003-06-11
85 Kandiah, Sutharshan AHF855 Rep 2003-06-25
86 Kang, Minja AGJ645 Rep 2004-02-02
87 Khoo, Chiew Cheng 邱秋清 AEJ606 Rep 2006-04-21
88 Kim, Su Mi (SFC:AEW312) 金秀美 AEW312 Rep 2003-06-25
89 Kim, Susan Eun F AIB938 Rep 2005-03-03
90 Kuan, Shu Shin 關素馨 AET363 Rep 2004-03-12
91 Kwan, Sing Yuen 關承遠 ABW052 Rep 2005-03-24
92 Kwik, Claudia Hwee Kim F AGK799 Rep 2003-06-25
93 Lai, Paul Wai Tsun 賴維津 M AED148 Rep 2004-07-01
94 Lai, Wing Yi 黎詠儀 AED789 Rep 2003-05-30
95 Lam, Franklin Fan Keung 林奮強 43 M ABG110 Rep 2005-04-27
96 Lam, Hu Yang 林曉陽 ADU633 Rep 2003-05-12
97 Lam, Mo Yee 林慕怡 AGN596 Rep 2003-06-25
98 Lam, Vanessa Yuk Yee 林玉儀 F AID483 Rep 2005-03-24
99 Lau, Marcus Chi Chiu 劉志超 M AAC292 Rep 2005-03-24
100 Lau, Patricia Yan Ki 劉恩琪 24 F AIH455 Rep 2003-06-25
101 Law, Wendy Wing Chi 羅穎芝 F AHS272 Rep 2005-03-24
102 Lee, Chris C AGX022 Rep 2003-07-29
103 Lee, Christopher Fai Man 李輝敏 37 M ACW239 Rep 2005-03-24
104 Lee, Gene Jin-Won AGP540 Rep 2003-06-25
105 Lee, Hyun Jae (SFC:AHN694) 李賢宰 AHN694 Rep 2005-03-24
106 Lee, James (SFC:AHW505) M AHW505 Rep 2003-06-25
107 Lee, Simon Chun Kit 李俊傑 27 M AHA361 Rep 2005-03-24
108 Lee, Won Jong AFU204 Rep 2005-03-24
109 Leong, Vui Ling 梁偉靈 AEB584 Rep 2005-03-24
110 Lepper, David Anthony (SFC:AGJ984) M AGJ984 Rep 2008-07-16
111 Leung, Derek Yuk Lun 梁旭麟 M AGF367 Rep 2003-06-25
112 Leung, Mary Ka Yan 梁家恩 F AEJ838 Rep 2003-06-25
113 Liew, Yew Wah AET878 Rep 2003-04-29
114 Lim, Bryan Patrick Hong Chin M AIC039 Rep 2003-06-25
115 Lim, Meng Phong 林明鳳 AFH049 Rep 2005-03-24
116 Lo, Michael Sai Cheong 盧世昌 M AFR449 Rep 2003-11-25 2004-05-05
117 Look, Andrew 陸東 38 M ACO365 Rep 2007-07-05
118 Louie, Paul Kwok Yi 雷國怡 M AES876 Rep 2005-07-19
119 Lu, Edmund Lingjian 盧淩堅 M AGL936 Rep 2005-03-29
120 Luk, Terence (SFC:AGI503) 陸凱賢 M AGI503 Rep 2005-03-24
121 Ma, Kwun Yea 馬君意 AEF918 Rep 2006-02-28
122 Mackinnon, Charles Harold Hugh M AFX083 Rep 2003-04-10
123 McLennan, Ian Richard James 38 M AFA721 Rep 2004-01-02
124 McQueen, Lee Michael M ACR744 Rep 2003-10-14
125 Melwani, Rajesh Ramesh (SFC:AEU252) M AEU252 Rep 2005-03-24
126 Mizoguchi, Hironori AHL612 Rep 2004-03-12
127 Mou, Newman Siu Bun 繆肇彬 ABL554 Rep 2005-03-24
128 Mukhopadhyay, Ajinkya AHF255 Rep 2003-06-25
129 Ng, Diana Tze Chiew 黃紫秋 F ADX263 Rep 2004-10-20
130 Ng, Hooi Chong 黃慧聰 35 M ADH384 Rep 2003-04-30
131 Ng, Siok Leng (SFC:AFM257) 黃淑玲 AFM257 Rep 2003-10-14 2008-05-14
132 Norris, Richard (SFC:AHG719) M AHG719 Rep 2004-05-18
133 Oertli, Michael M AFA291 RO 2004-04-22
134 Ollerenshaw, Simon Gerald M AHD912 Rep 2003-06-25
135 Orgill, Bradley Wayne M ACR853 RO 2005-03-24
136 Pang, Kenneth Kwok Kit 彭國傑 M AEO731 Rep 2003-05-12
137 Park, Min AFA670 Rep 2004-05-20
138 Parthasarathy, Raja ADB039 Rep 2003-06-25
139 Patel, Jinesh Kiran AFQ415 Rep 2005-03-24
140 Pecot III, Charles Matthew 43 M AHA548 Rep 2005-03-24
141 Pfatteicher, Peter Alexander M AGO206 Rep 2003-05-02
142 Pickstone, Julian Charles (SFC:AFT961) M AFT961 Rep 2007-09-03
143 Png, Chin Yee AGF416 Rep 2003-06-25
144 Po, Alice Wai Sze 保慧思 F ADU277 Rep 2005-08-18
145 Poon, Ada Ho Yan 潘可欣 F AFQ511 Rep 2004-07-01
146 Poon, Jenny 潘珍妮 F AHR022 Rep 2003-05-24
147 Poon, Ming Pui 潘明培 M AAF320 RO 2005-03-30
148 Price, Edmund Hugh Owain 34 M ADS121 Rep 2003-06-25
149 Qiu, Ruofei 邱若非 AHC003 Rep 2003-06-25
150 Rabinowitz, David M AHW502 Rep 2004-06-02
151 Raha, Arup ACZ725 Rep 2003-04-11
152 Ramanathan, Badrinath AHC211 Rep 2003-06-25
153 Rankin, Robert John 40 M AHA363 Rep 2003-06-25
154 Redbourn, Paul Robert (SFC:AFQ906) M AFQ906 Rep 2003-05-13
155 Robertson, James Hewitt M AIC253 Rep 2003-04-30
156 Robertson, Simon Montague M AGI097 Rep 2005-03-24
157 Rogers, Simon Andrew (SFC:ABF904) M ABF904 Rep 2003-09-05
158 Ross, Timothy Wakefield M AEX691 Rep 2005-05-03
159 Roth, Gunther James M AHC183 Rep 2003-06-25
160 Sanchez, Marlon Mikhail M ADJ822 Rep 2004-11-16
161 Saxvik, Eric Bradley M ACR775 Rep 2005-03-07
162 Shah, Dimple (SFC:AIC117) AIC117 Rep 2003-04-30
163 Shieh, Ingrid AHA547 Rep 2004-04-29
164 Sim, Colin Ching Wern M AGN521 Rep 2005-03-24
165 Sinclair, Andrew Mark (SFC:AGP545) M AGP545 Rep 2004-04-18
166 Siu, Madeline Kor Man 蕭可敏 F AIO031 Rep 2003-06-25
167 Smith, Michael Thomas (SFC:AGL937) M AGL937 Rep 2003-06-25
168 Sohn, Bill Eun-Seok M AHN695 Rep 2007-01-23
169 Spence, James Barclay M AAY347 Rep 2004-04-02
170 Stutsman, Andrea Jean F AGF487 Rep 2005-03-24
171 Suen, Benny Hung Kit 孫雄傑 M AIB797 Rep 2005-03-24
172 Sum, Hing Man 岑慶文 ABW145 Rep 2005-03-24
173 Sun, Steven John 孫常勝 46 M ACR153 Rep 2003-06-25
174 Tan, Lien Seng AFK584 Rep 2003-04-29
175 Tan, Nicholas Chye Seng (1973) 30 M AGP551 Rep 2004-05-31
176 Tan, Yew Boon 陳友文 AFS647 Rep 2003-05-05
177 Tay, Marcus Noel Chien Pheng M AIE131 Rep 2003-06-25
178 Taylor, Christopher Michael (SFC:AEC940) M AEC940 Rep 2003-04-15
179 Teh, Kihui AGC161 Rep 2003-06-25
180 Thomas, Rebecca Judith F AHC210 Rep 2004-05-13
181 Tinker, Dylan Carlo 35 M ACC173 Rep 2005-04-11
182 Tse, Jaff Ka Wai 謝家威 ADR277 Rep 2003-04-10
183 Tse, Shirley Sze Wan 謝詩韻 F AFU564 Rep 2009-11-30
184 Tsui, Charles King 徐勁 M AGB114 Rep 2003-06-11
185 Villanueva, Bryan Uy 蘇龍 M AFJ228 Rep 2003-06-25
186 Volet, Raphael M AGS546 Rep 2004-04-02
187 Wadle, John Allen M AGS454 Rep 2009-04-07
188 Wan, Li (SFC:AHD514) 萬里 AHD514 Rep 2004-03-08
189 Wan, Ming Sun 尹明山 30 M AGW059 Rep 2004-02-26
190 Wang, Ren (SFC:AIB127) 汪韌 31 M AIB127 Rep 2003-06-25
191 Ward, Rodney Gordon 賀利華 59 M ACD837 RO 2003-06-25
192 Wee, Liang Sin AHK048 Rep 2003-05-30
193 Wei, Amy Mei 魏薇 F AFW953 Rep 2003-06-25
194 West, Colin Thomas M AFZ863 RO 2003-06-25
195 Williams, Mark Fraser M AGJ433 Rep 2003-06-25
196 Williams, Sian Elizabeth (SFC:ADT132) F ADT132 Rep 2004-05-28
197 Wong, Constance 黃子欣 F ABR876 Rep 2005-03-24
198 Wong, Eric Chun Yu 王震宇 M AEU432 Rep 2011-03-10
199 Wong, Jenny Chieh Lu 王潔如 F AGL441 Rep 2006-06-17
200 Wong, Kenneth Hong Kit 黃匡傑 M AGA146 Rep 2003-06-25
201 Wong, Ronald Kwok Kit 黃國傑 M AEW968 Rep 2003-06-18
202 Wong, Steven Siu Kee 黃紹基 M AGC687 Rep 2003-06-25
203 Wooldridge, Duncan Samuel M AEU633 Rep 2003-06-27 2017-06-10
204 Wu, Chi Wai (SFC:AIQ683) 胡志威 AIQ683 Rep 2005-03-24
205 Wu, James Yun M AGN747 Rep 2005-03-24
206 Wu, Samuel Shung Shan 鄔崇山 M AIG147 Rep 2003-06-25
207 Xiao, Qing (SFC:AFE509) 肖清 AFE509 Rep 2003-06-25
208 Yang, Kai (SFC:ADW509) 楊凱 ADW509 Rep 2004-07-01
209 Yang, Yaqi (SFC:AHZ627) 楊亞琦 AHZ627 Rep 2003-06-25
210 Yip, Shuk Ling 葉淑玲 AEA526 Rep 2003-04-29
211 Yoon, Benjamin Hyung M AGV233 Rep 2003-04-16
212 Yoon, Chi Won ACN181 Rep 2003-06-11
213 Yu, Jason Wah Chiu 余華超 M AAD859 RO 2005-03-24
214 Yu, Kok Leung 余國良 AGI779 Rep 2006-03-12
215 Yu, Ming Lai 余明麗 AFU845 Rep 2003-06-02
216 Yuen, Nicole Shuk Kam 袁淑琴 41 F ACH708 RO 2005-03-24
217 Yung, Tak Man (SFC:AHK660) 翁德敏 AHK660 Rep 2005-03-24
218 Zhang, Joe Hua Qiao 張化橋 40 M ACY687 Rep 2006-03-23
219 Zhang, Ning (SFC:AGD246) 張宁 35 M AGD246 Rep 2003-05-13
220 Zhu, Wenqian (SFC:AHD643) 朱文倩 AHD643 Rep 2003-06-25

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