UBS SECURITIES ASIA LIMITED

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SFC licensees

RO=Responsible Officer, Rep=Representative

Name Age in
2005
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 30 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) 45 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, Chak Ming (SFC:AJM690) 陳則明 AJM690 Rep 2004-02-25 2004-05-05
16 Chan, Mark Man Wai 陳孟為 M ABR486 Rep 2003-04-09
17 Chan, Raymond Yiu Yue 陳耀宇 M AHA800 Rep 2003-06-25
18 Chan, Vincent Cheong Wa 陳昌華 M ACA303 Rep 2004-04-29
19 Chan, Wing Fu 陳永富 AGB206 Rep 2004-06-07 2004-10-15
20 Chan, Winnie (SFC:AFD453) 陳韻妮 F AFD453 Rep 2003-06-25
21 Chang, Walter 陳華德 M ABT445 Rep 2004-04-21
22 Chee, Choon Wee 朱俊偉 AFX097 Rep 2003-06-25
23 Chee, Yuen Leng 朱宛玲 AHK661 Rep 2004-02-01
24 Chen, Xiao (SFC:AHD966) 陳霄 AHD966 Rep 2003-06-25
25 Chen, Yun (SFC:AKI402) 陳蘊 AKI402 Rep 2004-04-02 2008-04-10
26 Chenaux-Repond, Lorenz Michael M AES431 Rep 2003-06-25
27 Cheng, James Vincent M AIC014 Rep 2004-04-29
28 Cheng, Jimmy Min Tat 鄭勉達 M ACV741 RO 2005-02-07
29 Cheng, Stephen Kwok Wai 鄭國偉 36 M ADS285 Rep 2005-04-27
RO 2005-04-27 2007-01-01
30 Cheung, Ka Che 張家熾 AFX502 Rep 2005-07-05
31 Cheung, Ronald Yat Sau 張逸修 M AHJ471 Rep 2005-03-24
32 Chew, Jason Chiat Tsen 周傑昇 M AIN850 Rep 2003-06-25
33 Chia, Tse Ern AFO306 Rep 2004-03-26
34 Chia, Woon Khien AMJ467 Rep 2005-08-16 2006-03-24
35 Chik, Kin Nang 戚健能 AHR162 Rep 2008-03-15
36 Chin, David Hung I 金弘毅 37 M ADT385 RO 2004-07-01
37 Chin, Michael Jaewuk M ACZ609 Rep 2005-03-24
38 Chin, Sara Taechung F AHA555 Rep 2003-06-25
39 Chiu, Leo Yu Yuk 趙汝昱 M AHZ628 Rep 2003-06-25
40 Chiu, Yuk Ha AJD190 Rep 2003-08-19 2007-03-01
41 Chong, Kian Shing 張建成 AGE022 Rep 2003-06-25
42 Chow, Siu Han 周笑嫻 ADX152 Rep 2003-06-25
43 Chu, Chia Lin 朱家麟 ALZ609 Rep 2005-05-23 2008-06-30
44 Chu, Danny Wai Kit 朱偉傑 AFV890 Rep 2006-09-02
45 Chu, Pierre Wang Chung 朱宏中 M AGK798 Rep 2003-06-25
46 Chum, Grant Kwan Lock 鄭君諾 30 M AMK102 Rep 2005-09-01 2010-10-05
47 Chung, Melanie Man Ki 鍾文琦 F AIG158 Rep 2003-06-25
48 Chung, Rex Richard Kyuchang M AEI990 Rep 2003-06-25
49 Chung, Suk Moon 鄭碩紋 AEK432 Rep 2004-06-03
50 Cin, Chang Sik AHM834 Rep 2005-03-24
51 Clifford, Timothy Edward M AFH048 Rep 2004-08-07
52 Coffeng, John Martinus (SFC:ADJ820) M ADJ820 Rep 2005-03-24
53 Combalot, Laurent Benoit Georges M AHC015 Rep 2005-03-24
54 Cox, Carrie Bigelow F ADR668 Rep 2004-04-15
55 Debow, Sean Herbert 狄寶生 M ACM546 Rep 2005-03-02
56 Ding, Yibing 丁一賓 ADJ647 Rep 2004-07-01
57 Dong, Hui (SFC:ALN997) 董慧 ALN997 Rep 2005-07-07 2008-06-30
58 Dong, William Chen M AIU737 Rep 2003-05-09 2004-02-24
59 Easterbrook, Trevor Stephen M AGX021 Rep 2004-02-23
60 Fang, Dongming 房東明 AFE991 Rep 2005-03-24
61 Fang, Sean Sung Ho 方頌和 37 M ADS446 Rep 2003-06-25
62 Feng, Zhe (SFC:AFW435) 馮哲 AFW435 Rep 2004-06-25 2006-06-02
63 Fisher, Jocelyn Howard M AFB130 Rep 2004-03-15
64 Fok, Glenn 霍經麟 48 M ABN513 Rep 2003-06-25
65 Fok, Ronald King Man 霍敬文 28 M AGE025 Rep 2005-03-24
66 Foo, Lyn Leng AMF469 Rep 2005-07-12 2007-05-18
67 Gaiser, Florian AHY465 Rep 2004-05-17
68 Gaw, Christina 吳燕安 33 F ACS896 Rep 2005-03-24
69 Ghag, Arvinderpal AIB940 Rep 2004-04-27
70 Gochet, Bert Johan ALI182 Rep 2004-10-12 2006-04-29
71 Gooding, Nial Dennis Henry 劉國誠 46 M ABS538 Rep 2005-03-24
72 Gu, Huaiyu 谷懷雨 AGX678 Rep 2003-06-25
73 Gunther, Shane Jayson Daniels ALB795 Rep 2004-08-09 2006-07-18
74 He, Di (1948) 何迪 57 M AEL657 Rep 2003-06-25
75 He, Lang AJB993 Rep 2004-02-25 2007-03-29
76 Henley, Robert Alexander M AHR011 Rep 2005-01-20
77 Ho, Beatrice Lap Sze 何立思 F ADS141 Rep 2004-04-23
78 Ho, Diana Pui Kwan 何佩君 F ABY481 Rep 2005-03-24
79 Ho, Henry Hin Hung 何顯鴻 49 M AAB955 Rep 2004-08-17 2007-05-28
80 Ho, Kwok Chung (SFC:AAB905) 何國仲 AAB905 Rep 2005-03-24
81 Ho, Pui Kwan (SFC:AFQ896) 何佩筠 AFQ896 Rep 2004-07-13 2006-03-25
82 Ho, Stanley Yaun 何仁 M AGA624 Rep 2003-06-25
83 Ho, Tat Shing 何達成 AHA554 Rep 2003-05-12
84 Ho, William Wai Yin 何偉賢 M AFE790 Rep 2004-04-14
85 Holland, John Michael Morgan 42 M AFR867 RO 2003-11-11
86 Hoong, Chris Cheong Thard 孔祥達 37 M ACB773 Rep 2003-05-15
87 Horth, Damien John Magellan M AMA051 Rep 2005-05-30 2011-07-27
88 Hosie, Neil Cameron M AHQ348 Rep 2004-05-28
89 Houssian, Iven ADQ120 Rep 2004-07-06
90 Hsu, Karen Chia Lin 徐嘉琳 F ACO622 Rep 2004-02-23
91 Hui, Alice Suk Fong 許淑芳 F AAK174 Rep 2007-01-25
92 Hung, Gary Lok Ming 熊洛銘 M ADY288 Rep 2003-05-12
93 Hunt, Christopher James Andrews M AHR004 Rep 2005-03-24
94 Jackamo Ii, Thomas Joseph M AFD746 Rep 2003-06-25
95 Jacobson, John Brennan M ACV752 Rep 2003-06-11
96 Jeong, Joseph Chu M AEY997 Rep 2003-07-29
97 Jiang, Shan (SFC:AGE826) 姜山 34 M AGE826 Rep 2003-06-25
98 Johnson, Pekka David (SFC:ADL598) M ADL598 Rep 2005-03-21
99 Johnston, Richard William M AET370 Rep 2003-06-11
100 Kandiah, Sutharshan AHF855 Rep 2003-06-25
101 Kang, Minja AGJ645 Rep 2004-02-02
102 Khoo, Chiew Cheng 邱秋清 AEJ606 Rep 2006-04-21
103 Kim, Dean Chang-Hun M ALP982 Rep 2005-01-10 2005-08-01
104 Kim, Su Mi (SFC:AEW312) 金秀美 AEW312 Rep 2003-06-25
105 Kim, Susan Eun F AIB938 Rep 2005-03-03
106 Kim, Thomas Sang M AFV517 Rep 2004-09-01 2006-07-29
107 Ko, Leon Chi Yeung 高子揚 M AKY178 Rep 2004-07-16 2006-08-19
108 Kuan, Shu Shin 關素馨 AET363 Rep 2004-03-12
109 Kwan, Sing Yuen 關承遠 ABW052 Rep 2005-03-24
110 Kwan, Wing Kin (SFC:ALI180) 關永健 ALI180 Rep 2004-10-11 2006-05-15
111 Kwik, Claudia Hwee Kim F AGK799 Rep 2003-06-25
112 Lai, Paul Wai Tsun 賴維津 M AED148 Rep 2004-07-01
113 Lai, Wing Yi 黎詠儀 AED789 Rep 2003-05-30
114 Lam, Franklin Fan Keung 林奮強 45 M ABG110 Rep 2005-04-27
RO 2005-04-27 2006-01-09
115 Lam, Hu Yang 林曉陽 ADU633 Rep 2003-05-12
116 Lam, Mo Yee 林慕怡 AGN596 Rep 2003-06-25
117 Lam, Vanessa Yuk Yee 林玉儀 F AID483 Rep 2005-03-24
118 Lau, Marcus Chi Chiu 劉志超 M AAC292 Rep 2005-03-24
119 Lau, Patricia Yan Ki 劉恩琪 26 F AIH455 Rep 2003-06-25
120 Law, Wendy Wing Chi 羅穎芝 F AHS272 Rep 2005-03-24
121 Lee, Chris C AGX022 Rep 2003-07-29
122 Lee, Christopher Fai Man 李輝敏 39 M ACW239 Rep 2005-03-24
123 Lee, Gene Jin-Won AGP540 Rep 2003-06-25
124 Lee, Hyun Jae (SFC:AHN694) 李賢宰 AHN694 Rep 2005-03-24
125 Lee, James (SFC:AHW505) M AHW505 Rep 2003-06-25
126 Lee, Simon Chun Kit 李俊傑 29 M AHA361 Rep 2005-03-24
127 Lee, Won Jong AFU204 Rep 2005-03-24
128 Leong, Vui Ling 梁偉靈 AEB584 Rep 2005-03-24
129 Lepper, David Anthony (SFC:AGJ984) M AGJ984 Rep 2008-07-16
130 Leung, Derek Yuk Lun 梁旭麟 M AGF367 Rep 2003-06-25
131 Leung, Mary Ka Yan 梁家恩 F AEJ838 Rep 2003-06-25
132 Liew, Yew Wah AET878 Rep 2003-04-29
133 Lim, Bryan Patrick Hong Chin M AIC039 Rep 2003-06-25
134 Lim, Meng Phong 林明鳳 AFH049 Rep 2005-03-24
135 Lo, Michael Sai Cheong 盧世昌 M AFR449 Rep 2003-11-25 2004-05-05
136 Look, Andrew 陸東 40 M ACO365 Rep 2007-07-05
137 Louie, Paul Kwok Yi 雷國怡 M AES876 Rep 2005-07-19
138 Lu, Edmund Lingjian 盧淩堅 M AGL936 Rep 2005-03-29
139 Luk, Terence (SFC:AGI503) 陸凱賢 M AGI503 Rep 2005-03-24
140 Ma, Kwun Yea 馬君意 AEF918 Rep 2006-02-28
141 Mackinnon, Charles Harold Hugh M AFX083 Rep 2003-04-10
142 McLennan, Ian Richard James 40 M AFA721 Rep 2004-01-02
143 McQueen, Lee Michael M ACR744 Rep 2003-10-14
144 Melwani, Rajesh Ramesh (SFC:AEU252) M AEU252 Rep 2005-03-24
145 Mizoguchi, Hironori AHL612 Rep 2004-03-12
146 Mou, Newman Siu Bun 繆肇彬 ABL554 Rep 2005-03-24
147 Mukhopadhyay, Ajinkya AHF255 Rep 2003-06-25
148 Ng, Diana Tze Chiew 黃紫秋 F ADX263 Rep 2004-10-20
149 Ng, Hooi Chong 黃慧聰 37 M ADH384 Rep 2003-04-30
150 Ng, Siok Leng (SFC:AFM257) 黃淑玲 AFM257 Rep 2003-10-14 2008-05-14
151 Norris, Richard (SFC:AHG719) M AHG719 Rep 2004-05-18
152 Oertli, Michael M AFA291 RO 2004-04-22
153 Ollerenshaw, Simon Gerald M AHD912 Rep 2003-06-25
154 Orgill, Bradley Wayne M ACR853 RO 2005-03-24
155 Pai, Jo-Shan 白若善 ALN044 Rep 2004-11-26 2005-06-15
156 Pang, Alwyn See Kit 彭思杰 M ACJ317 Rep 2005-05-12 2008-02-25
157 Pang, Kenneth Kwok Kit 彭國傑 M AEO731 Rep 2003-05-12
158 Park, Min AFA670 Rep 2004-05-20
159 Parker, Lachlan Mckay ALK809 Rep 2004-12-02 2005-09-06
160 Parthasarathy, Raja ADB039 Rep 2003-06-25
161 Patel, Jinesh Kiran AFQ415 Rep 2005-03-24
162 Pecot III, Charles Matthew 45 M AHA548 Rep 2005-03-24
163 Pfatteicher, Peter Alexander M AGO206 Rep 2003-05-02
164 Pickstone, Julian Charles (SFC:AFT961) M AFT961 Rep 2007-09-03
165 Pink, Nicholas Alexander M AJX095 Rep 2004-03-31 2004-07-08
RO 2004-07-08 2007-09-14
166 Png, Chin Yee AGF416 Rep 2003-06-25
167 Po, Alice Wai Sze 保慧思 F ADU277 Rep 2005-08-18
168 Poon, Ada Ho Yan 潘可欣 F AFQ511 Rep 2004-07-01
169 Poon, Jenny 潘珍妮 F AHR022 Rep 2003-05-24
170 Poon, Ming Pui 潘明培 M AAF320 RO 2005-03-30
171 Por, Yong Liang 傅永量 ALW307 Rep 2005-04-01 2006-04-21
172 Price, Edmund Hugh Owain 36 M ADS121 Rep 2003-06-25
173 Qiu, Ruofei 邱若非 AHC003 Rep 2003-06-25
174 Rabinowitz, David M AHW502 Rep 2004-06-02
175 Raha, Arup ACZ725 Rep 2003-04-11
176 Ramanathan, Badrinath AHC211 Rep 2003-06-25
177 Rankin, Robert John 42 M AHA363 Rep 2003-06-25
178 Redbourn, Paul Robert (SFC:AFQ906) M AFQ906 Rep 2003-05-13
179 Robertson, James Hewitt M AIC253 Rep 2003-04-30
180 Robertson, Simon Montague M AGI097 Rep 2005-03-24
181 Rogers, Simon Andrew (SFC:ABF904) M ABF904 Rep 2003-09-05
182 Ross, Timothy Wakefield M AEX691 Rep 2005-05-03
183 Roth, Gunther James M AHC183 Rep 2003-06-25
184 Sanchez, Marlon Mikhail M ADJ822 Rep 2004-11-16
185 Saxvik, Eric Bradley M ACR775 Rep 2005-03-07
186 Shah, Dimple (SFC:AIC117) AIC117 Rep 2003-04-30
187 Shan, Wai Lun 盛煒麟 AGA131 Rep 2005-04-12 2007-11-17
188 Shieh, Ingrid AHA547 Rep 2004-04-29
189 Sia, Selina Lim 謝琳 F ACO266 Rep 2004-07-12 2007-03-10
190 Sim, Colin Ching Wern M AGN521 Rep 2005-03-24
191 Sinclair, Andrew Mark (SFC:AGP545) M AGP545 Rep 2004-04-18
192 Siu, Madeline Kor Man 蕭可敏 F AIO031 Rep 2003-06-25
193 Smith, Michael Thomas (SFC:AGL937) M AGL937 Rep 2003-06-25
194 So, Tik Hong 蘇迪航 ALN638 Rep 2004-12-10 2005-08-15
195 Sohn, Bill Eun-Seok M AHN695 Rep 2007-01-23
196 Spence, James Barclay M AAY347 Rep 2004-04-02
197 Stutsman, Andrea Jean F AGF487 Rep 2005-03-24
198 Suen, Benny Hung Kit 孫雄傑 M AIB797 Rep 2005-03-24
199 Sum, Hing Man 岑慶文 ABW145 Rep 2005-03-24
200 Sun, Steven John 孫常勝 48 M ACR153 Rep 2003-06-25
201 Tan, Lien Seng AFK584 Rep 2003-04-29
202 Tan, Nicholas Chye Seng (1973) 32 M AGP551 Rep 2004-05-31
203 Tan, Yew Boon 陳友文 AFS647 Rep 2003-05-05
204 Tang, Wai Kwan (SFC:ALZ222) 鄧惠君 ALZ222 Rep 2005-06-30 2017-02-11
205 Tay, Marcus Noel Chien Pheng M AIE131 Rep 2003-06-25
206 Taylor, Christopher Michael (SFC:AEC940) M AEC940 Rep 2003-04-15
207 Teh, Kihui AGC161 Rep 2003-06-25
208 Tetzlaff, Juergen AJL557 Rep 2004-02-12 2005-11-26
209 Thomas, Rebecca Judith F AHC210 Rep 2004-05-13
210 Tinker, Dylan Carlo 37 M ACC173 Rep 2005-04-11
211 Tse, Jaff Ka Wai 謝家威 ADR277 Rep 2003-04-10
212 Tse, Shirley Sze Wan 謝詩韻 F AFU564 Rep 2009-11-30
213 Tsea, Po Kwan 謝寶君 AFT942 Rep 2004-07-22 2006-01-03
214 Tsui, Charles King 徐勁 M AGB114 Rep 2003-06-11
215 Villanueva, Bryan Uy 蘇龍 M AFJ228 Rep 2003-06-25
216 Volet, Raphael M AGS546 Rep 2004-04-02
217 Wadle, John Allen M AGS454 Rep 2009-04-07
218 Wan, Li (SFC:AHD514) 萬里 AHD514 Rep 2004-03-08
219 Wan, Ming Sun 尹明山 32 M AGW059 Rep 2004-02-26
220 Wang, Amanda Chia-hui 王家慧 F AJC822 Rep 2005-09-15 2007-03-21
221 Wang, Jinjin (SFC:AGP733) 王進璡 AGP733 Rep 2005-07-04 2018-06-26
222 Wang, Peng (SFC:AJM687) 王鵬 AJM687 Rep 2004-02-25 2004-12-14
223 Wang, Qi (SFC:ALB737) 王崎 ALB737 Rep 2004-08-09 2007-03-21
224 Wang, Ren (SFC:AIB127) 汪韌 33 M AIB127 Rep 2003-06-25
225 Wang, Yaoping (SFC:ALE841) 王瑤平 ALE841 Rep 2004-09-06 2010-03-08
226 Ward, Rodney Gordon 賀利華 61 M ACD837 RO 2003-06-25
227 Wareham, Olivia Louise F AJM694 Rep 2004-02-25 2004-07-06
228 Wee, Liang Sin AHK048 Rep 2003-05-30
229 Wei, Amy Mei 魏薇 F AFW953 Rep 2003-06-25
230 Wei, Ying (SFC:AJM685) 魏莹 AJM685 Rep 2004-02-25 2007-06-16
231 Wen, Tianli 溫天力 ALB748 Rep 2004-08-09 2005-04-11
232 Werkun, Erica Poon 潘嘉怡 F AGN915 Rep 2004-08-12 2019-06-29
233 West, Colin Thomas M AFZ863 RO 2003-06-25
234 Williams, Mark Fraser M AGJ433 Rep 2003-06-25
235 Williams, Sian Elizabeth (SFC:ADT132) F ADT132 Rep 2004-05-28
236 Wong, Constance 黃子欣 F ABR876 Rep 2005-03-24
237 Wong, Eric Chun Yu 王震宇 M AEU432 Rep 2011-03-10
238 Wong, Jenny Chieh Lu 王潔如 F AGL441 Rep 2006-06-17
239 Wong, Kenneth Hong Kit 黃匡傑 M AGA146 Rep 2003-06-25
240 Wong, Pak Yan 黃栢仁 AMU238 Rep 2005-12-06 2007-06-12
241 Wong, Ronald Kwok Kit 黃國傑 M AEW968 Rep 2003-06-18
242 Wong, Steven Siu Kee 黃紹基 M AGC687 Rep 2003-06-25
243 Wooldridge, Duncan Samuel M AEU633 Rep 2003-06-27 2017-06-10
244 Wu, Chi Wai (SFC:AIQ683) 胡志威 AIQ683 Rep 2005-03-24
245 Wu, Hai Feng (SFC:ADI733) 吳海鋒 ADI733 Rep 2004-03-01 2009-01-10
246 Wu, James Yun M AGN747 Rep 2005-03-24
247 Wu, Samuel Shung Shan 鄔崇山 M AIG147 Rep 2003-06-25
248 Wyatt, Philip Thomas 韋輝廉 M ABN648 Rep 2004-10-04 2005-05-06
249 Xiao, Qing (SFC:AFE509) 肖清 AFE509 Rep 2003-06-25
250 Yang, Kai (SFC:ADW509) 楊凱 ADW509 Rep 2004-07-01
251 Yang, Yaqi (SFC:AHZ627) 楊亞琦 AHZ627 Rep 2003-06-25
252 Yin, He 尹賀 AJM689 Rep 2004-02-25 2007-06-16
253 Yip, Shuk Ling 葉淑玲 AEA526 Rep 2003-04-29
254 Yoon, Benjamin Hyung M AGV233 Rep 2003-04-16
255 Yoon, Chi Won ACN181 Rep 2003-06-11
RO 2004-10-05 2005-06-09
Rep 2005-06-09 2016-07-25
256 Yu, Jason Wah Chiu 余華超 M AAD859 RO 2005-03-24
257 Yu, Kok Leung 余國良 AGI779 Rep 2006-03-12
258 Yu, Ming Lai 余明麗 AFU845 Rep 2003-06-02
259 Yuen, Nicole Shuk Kam 袁淑琴 43 F ACH708 RO 2005-03-24
260 Yung, Tak Man (SFC:AHK660) 翁德敏 AHK660 Rep 2005-03-24
261 Zhang, Joe Hua Qiao 張化橋 42 M ACY687 Rep 2006-03-23
262 Zhang, Ning (SFC:AGD246) 張宁 37 M AGD246 Rep 2003-05-13
263 Zhang, Yi (SFC:AJN700) 張毅 AJN700 Rep 2004-03-11 2005-05-03
264 Zhu, Wenqian (SFC:AHD643) 朱文倩 AHD643 Rep 2003-06-25

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