Sanford C. Bernstein (Hong Kong) Limited 盛博香港有限公司

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Activity type: AllAdvising on corporate financeAdvising on futures contractsAdvising on securitiesAsset managementAutomated trading servicesClient clearing services for OTC derivative transactionsCredit rating servicesDealing in futures contractsDealing in or advising on OTC derivative productsDealing in securitiesDepositary services for relevant CISsLeveraged foreign exchange tradingSecurities margin financing

SFC licensees

RO=Responsible Officer, Rep=Representative

	Name	Age in 2013	⚥	SFC ID	Role	From	Until
1	Ashworth, William David		M	BBN729	Rep	2013-07-09	2013-07-10
2	Barnard, David (SFC:AVD117)		M	AVD117	Rep	2012-02-28	2012-03-01
					Rep	2012-08-27	2012-08-29
3	Barua, Chirantan (SFC:AZT869)			AZT869	Rep	2012-07-10	2012-07-11
					Rep	2013-01-23	2013-01-24
4	Beveridge, Neil Alexander Stewart		M	ATM595	RO	2011-09-28
5	Bian, Lu 邊璐			AWZ273	Rep	2011-10-24	2016-06-27
6	Brackett, Robert Alan		M	BBA483	Rep	2013-03-25	2013-03-28
7	Chan, Jean Ching Lan 陳靜蘭			BBH620	Rep	2013-05-16	2016-04-17
8	Chen, Mo (SFC:AYI933) 陳默			AYI933	Rep	2011-10-31	2014-02-15
9	Chen, Xue Liang 陈学亮			BBW890	Rep	2013-09-19	2017-01-19
10	Chen, Yen-Fu 陳彥甫			AYE805	Rep	2013-03-13	2014-07-11
11	Cheng, Hua (SFC:AXQ586) 程華			AXQ586	Rep	2011-10-27	2014-05-12
12	Chia, Kiara Kim Szu Shyan			AVT057	Rep	2011-10-24	2013-04-02
					Rep	2013-04-05	2013-04-09
					Rep	2013-10-31	2013-11-01
13	Ching, Yi Edmund 莊毅		M	AKU003	Rep	2012-11-12	2012-11-16
					Rep	2013-04-05	2013-04-09
					Rep	2013-07-22	2013-07-25
					Rep	2013-09-19	2013-09-25
					Rep	2013-10-15	2013-10-16
14	Chung, Ka Po 鍾家寶			ANN404	Rep	2011-10-24	2022-07-18
15	Cox, Mark Henry 郭馬克		M	ADP699	RO	2011-09-28	2022-03-31
16	Crispin, James Anthony		M	ANU647	Rep	2013-05-13	2018-10-05
17	Dai, Hao (SFC:BAX544) 戴浩			BAX544	Rep	2013-02-20	2020-08-31
18	Dibadj, Ali M			BBA266	Rep	2013-03-25	2013-03-31
19	Feng, Siwei 馮思為			AZZ395	Rep	2012-08-16	2013-06-22
20	Ferragu, Pierre Charles Louis Hubert Marie		M	AWJ160	Rep	2012-03-05	2012-03-07
					Rep	2012-03-19	2012-03-20
					Rep	2012-09-05	2012-09-05
21	Garcia, Cristobal Antonio		M	ANM682	Rep	2011-10-24	2021-06-30
22	Gordon, Daniel (SFC:AHE138)		M	AHE138	RO	2011-09-28	2024-04-09
23	Gupta, Gaurav (SFC:BAH386)			BAH386	Rep	2012-10-15	2012-10-19
24	Harned, Douglas Stuart		M	AWE188	Rep	2012-10-31	2012-11-05
25	Henderson, Samuel Thomas		M	AVD913	Rep	2011-10-24	2013-06-26
26	Herman, Neal Thomson			AVO978	Rep	2013-01-07	2014-07-14
27	Ho, Purdy Pin Pin 何翩翩			ASI353	Rep	2013-04-15	2014-01-11
28	Hou, Wei (SFC:BBW930) 侯煒			BBW930	Rep	2013-09-19	2017-07-24
29	Hu, Jinge 胡金戈			BBP879	Rep	2013-07-22	2015-09-26
30	Huang, Jie (SFC:BBF165) 黃頡			BBF165	Rep	2013-04-30	2022-07-21
31	Hulkunte Nagaraj, Ayush			AVV794	Rep	2011-10-24	2019-02-22
32	Kim, Jaehee 金宰熙			BBQ725	Rep	2013-07-31	2016-03-25
33	Kim, Joshua Taehyun		M	ATL814	Rep	2011-10-24	2012-05-18
34	Ko, Raymond 高力文		M	AIL123	Rep	2011-10-24	2012-12-11
35	Koay, Siu Choon 郭修俊			AXX210	Rep	2011-10-27	2013-03-09
36	Koo, Da Wan 丘多完			AXR520	Rep	2012-07-27	2013-12-28
37	Kwek, Kevin Siew Beng		M	AZN097	Rep	2012-05-24	2012-05-25
					Rep	2012-06-04	2012-06-06
					Rep	2012-06-14	2012-06-14
					Rep	2012-08-02	2012-08-03
					Rep	2012-09-11	2012-09-14
					Rep	2012-10-10	2012-10-12
					Rep	2012-11-13	2012-11-16
					Rep	2012-12-17	2012-12-19
					Rep	2013-02-20	2013-02-21
					Rep	2013-03-06	2013-03-08
					Rep	2013-05-15	2013-05-16
					Rep	2013-07-02	2013-07-04
					Rep	2013-07-31	2013-08-05
					Rep	2013-08-15	2013-08-16
					Rep	2013-09-10	2013-09-13
					Rep	2013-10-09	2013-10-11
38	Lane, Christopher Allen		M	BBK862	Rep	2013-07-05	2020-07-31
39	Lau, Johnny Ka Ki 劉家棋		M	AOS269	Rep	2011-10-24	2021-08-27
40	Lau, Vanessa Bik Yun 劉碧茵	41	F	AYW242	Rep	2012-01-27	2015-09-13
41	Leung, Alex Sing Pong 梁承邦			AVI140	Rep	2011-10-24	2015-11-23
42	Li, Hsinlin 李欣霖			AVK469	Rep	2011-10-24
43	Liang, Michelle Alison Hing Man 梁馨文		F	AXF635	Rep	2011-10-24	2013-08-31
44	Lin, Jie (SFC:BBI105) 林洁			BBI105	Rep	2013-05-27	2014-09-20
45	Lou, Ying (SFC:AVV243) 樓瑩			AVV243	Rep	2011-10-24	2013-09-08
46	Lu, Hui-Chen 呂慧珍			ARN240	Rep	2011-10-24	2013-02-09
47	Marchesseau, Eric Jacques		M	AUZ419	Rep	2013-05-06	2013-10-10
					RO	2013-10-10
48	Mareschal De Charentenay, Ghislain Baptiste Marie (SFC:AXW260)		F	AXW260	Rep	2011-11-23	2011-11-25
					Rep	2012-01-16	2012-01-17
					Rep	2012-02-27	2012-02-28
					Rep	2012-05-02	2012-05-04
					Rep	2012-07-09	2012-07-10
					Rep	2012-08-20	2012-08-21
					Rep	2012-09-24	2012-10-10
					RO	2012-10-10	2016-07-30
49	Miles, Michael Christopher		M	AZT872	Rep	2012-07-03	2016-09-25
50	Moel Modiano, Alberto		M	AVD880	Rep	2011-10-24	2017-06-30
51	Newman, Mark Christopher (SFC:AVK470)		M	AVK470	Rep	2011-10-24	2021-02-12
52	Ong, Chi Sheng 王其勝			BBJ688	Rep	2013-06-04	2014-06-01
53	Ortelli, Mario Zaccaria Carlo		M	BBJ794	Rep	2013-06-17	2013-06-24
54	Parker, Michael Wade		M	AUR866	Rep	2011-10-24	2016-11-02
55	Prozesky, Paul Martin		M	AUK244	Rep	2012-06-19	2012-06-20
56	Qiu, Wangshu 裘望舒			AVW563	Rep	2011-10-24	2013-08-23
57	Redenius, Jeremy Martin		M	BBG668	Rep	2013-06-03	2013-06-04
58	Ritter, Andrew Jacob		M	AXX603	Rep	2012-04-05	2013-01-04
59	Shim, Aidan Taehoon			AYV975	Rep	2012-03-26	2012-08-27
60	Shiu, Yik Hung 蕭奕雄			AEP548	Rep	2013-05-06	2016-07-01
61	Stirling, Joshua C		M	BAZ987	Rep	2013-03-25	2013-03-26
62	Stirling, Trevor John (SFC:AXK433)		M	AXK433	Rep	2012-06-28	2012-06-29
63	Sun Mattison, Linda Wu		F	BBF677	Rep	2013-05-03	2015-10-16
64	Tam, Jeffrey Lap Hang 談立亨		M	AXO947	Rep	2013-06-11	2013-09-02
65	Tang, Ernest Yiu Man 鄧耀民		M	ANP309	Rep	2013-03-27	2019-09-06
66	Tiano, Joseph Salvatore		M	AVM432	Rep	2011-10-24	2013-06-29
67	Topouzoglou, Norbert Mihran		M	AZI605	Rep	2012-04-23	2018-05-25
68	Tsang, Kenneth Ky Sung 曾紀崇		M	AZH816	Rep	2012-04-17	2014-01-09
69	Tse, Jaff Ka Wai 謝家威			ADR277	RO	2011-09-28	2018-09-26
70	Tsui, Eva Tsun Ying 徐俊英		F	AZQ388	Rep	2012-06-15	2013-07-08
71	Van Brugge, Robert Pieter		M	AUA340	RO	2011-09-28
72	Vyas, Joy (SFC:BBJ069)			BBJ069	Rep	2013-05-30	2013-05-31
73	Wang, Huan (SFC:AWI425) 王歡			AWI425	Rep	2013-03-25	2015-09-20
74	Wang, Lu (SFC:AXX186) 王璐			AXX186	Rep	2011-10-24	2015-02-04
75	Warburton, Max Eliot Adair			AVD908	Rep	2012-04-26	2012-04-27
					Rep	2012-08-21	2012-08-31
					Rep	2012-09-25	2012-09-26
					Rep	2013-02-19	2013-02-21
					Rep	2013-03-20	2013-03-21
					Rep	2013-04-08	2013-04-11
					Rep	2013-06-24	2013-06-27
					Rep	2013-09-09	2013-09-11
					Rep	2013-10-30	2013-11-01
76	Wen, Bo (SFC:BAD547) 文博			BAD547	Rep	2012-09-04	2016-01-30
77	Werner, Michael Joseph		M	AUO124	Rep	2011-10-24	2013-09-11
					Rep	2013-10-28	2013-11-10
78	Winoker, Steven Eric		M	AUT771	Rep	2013-06-20	2013-06-24
79	Wong, Christopher Chi Kin (SFC:AXO118) 黃子建		M	AXO118	Rep	2011-10-24	2018-01-28
80	Wood, Andrew Dennis		M	AYM450	Rep	2011-12-08	2011-12-09
					Rep	2013-07-24	2013-07-24
81	Wright, Thomas Rowe		M	AUA323	Rep	2012-04-23	2012-04-27
82	Zhang, Liang (SFC:AVA073)			AVA073	Rep	2011-10-24	2012-02-29
83	Zheng, Zhi (SFC:BBP885) 鄭直			BBP885	Rep	2013-07-22	2014-06-20
84	Zhou, Jing (SFC:BAA703) 周璟			BAA703	Rep	2013-04-05	2016-05-22
85	Zhu, Binbin (SFC:AYQ808) 朱璸鑌			AYQ808	Rep	2012-06-07

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