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 2016	⚥	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
					Rep	2014-04-07	2014-04-08
					Rep	2015-01-26	2015-01-28
					Rep	2016-01-25	2016-01-26
4	Beveridge, Neil Alexander Stewart		M	ATM595	RO	2011-09-28
5	Bi, Zhongyuan 畢仲圓			BGA703	Rep	2015-08-19	2016-05-28
6	Bian, Lu 邊璐			AWZ273	Rep	2011-10-24	2016-06-27
7	Brackett, Robert Alan		M	BBA483	Rep	2013-03-25	2013-03-28
					Rep	2014-08-21	2014-08-22
					Rep	2015-03-03	2015-03-04
					Rep	2015-08-25	2015-09-02
8	Carney, Laura Emmet Nelson		M	BED795	Rep	2014-12-16	2018-03-09
9	Chan, Benjamin Yu Ki 曾裕基		M	ALW648	Rep	2016-01-25
10	Chan, Jean Ching Lan 陳靜蘭			BBH620	Rep	2013-05-16	2016-04-17
11	Chang, Fu-Ju 章馥如			BCZ295	Rep	2014-02-27	2018-06-06
12	Chen, Mo (SFC:AYI933) 陳默			AYI933	Rep	2011-10-31	2014-02-15
13	Chen, Xue Liang 陈学亮			BBW890	Rep	2013-09-19	2017-01-19
14	Chen, Yen-Fu 陳彥甫			AYE805	Rep	2013-03-13	2014-07-11
15	Cheng, Hua (SFC:AXQ586) 程華			AXQ586	Rep	2011-10-27	2014-05-12
16	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
					Rep	2014-09-15	2014-09-16
					Rep	2015-04-27	2015-04-28
					Rep	2015-10-07	2015-10-14
17	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
					Rep	2013-11-01	2013-11-01
					Rep	2014-02-25	2014-02-27
					Rep	2014-04-23	2014-04-25
					Rep	2014-05-26	2014-05-28
					Rep	2014-08-18	2014-08-20
					Rep	2014-09-15	2014-09-19
					Rep	2014-10-29	2014-10-31
					Rep	2014-11-10	2014-11-11
					Rep	2015-01-21	2015-01-23
					Rep	2015-03-16	2015-03-18
					Rep	2015-04-27	2015-04-29
					Rep	2015-06-08	2015-06-12
					Rep	2015-07-13	2015-07-15
					Rep	2015-10-20	2015-10-24
					Rep	2015-12-07	2015-12-10
					Rep	2016-01-26	2016-01-28
					Rep	2016-02-17	2016-02-19
					Rep	2016-04-11	2016-04-13
18	Chung, Ka Po 鍾家寶			ANN404	Rep	2011-10-24	2022-07-18
19	Clint, Oswald Conan		M	AVH615	Rep	2013-11-28	2013-11-29
20	Cox, Mark Henry 郭馬克		M	ADP699	RO	2011-09-28	2022-03-31
21	Crispin, James Anthony		M	ANU647	Rep	2013-05-13	2018-10-05
22	Dai, Hao (SFC:BAX544) 戴浩			BAX544	Rep	2013-02-20	2020-08-31
23	Dibadj, Ali M			BBA266	Rep	2013-03-25	2013-03-31
24	Feng, Siwei 馮思為			AZZ395	Rep	2012-08-16	2013-06-22
25	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
26	Fraser Jenkins, Inigo Lewis		M	AVZ834	Rep	2016-02-17	2016-02-19
27	Fu, Yuanning 符苑宁			BGR111	Rep	2016-02-01	2018-03-09
28	Gait, Paul Joseph Douglas		M	BCL075	Rep	2013-12-05	2013-12-06
29	Gao, Yawen (SFC:BDU945) 高雅文			BDU945	Rep	2014-07-18	2016-07-30
30	Garcia, Cristobal Antonio		M	ANM682	Rep	2011-10-24	2021-06-30
31	Gordon, Daniel (SFC:AHE138)		M	AHE138	RO	2011-09-28	2024-04-09
32	Gudzinskaya, Alla			BEF408	Rep	2016-02-17	2016-02-19
33	Gupta, Gaurav (SFC:BAH386)			BAH386	Rep	2012-10-15	2012-10-19
34	Harned, Douglas Stuart		M	AWE188	Rep	2012-10-31	2012-11-05
					Rep	2013-11-01	2013-11-10
					Rep	2014-11-05	2014-11-11
					Rep	2015-11-02	2015-11-07
35	Henderson, Samuel Thomas		M	AVD913	Rep	2011-10-24	2013-06-26
36	Herman, Neal Thomson			AVO978	Rep	2013-01-07	2014-07-14
					Rep	2014-09-17	2014-09-29
37	Ho, Purdy Pin Pin 何翩翩			ASI353	Rep	2013-04-15	2014-01-11
38	Hou, Wei (SFC:BBW930) 侯煒			BBW930	Rep	2013-09-19	2017-07-24
39	Houghton, Edward Luke		M	BEM930	Rep	2014-12-05	2014-12-05
40	Hu, Jinge 胡金戈			BBP879	Rep	2013-07-22	2015-09-26
41	Huang, Jie (SFC:BBF165) 黃頡			BBF165	Rep	2013-04-30	2022-07-21
42	Huang, Yi-Chen 黃苡禎			AXQ007	Rep	2014-11-24	2015-07-21
43	Hulkunte Nagaraj, Ayush			AVV794	Rep	2011-10-24	2019-02-22
44	Hutton, Ian (SFC:ANR984)		M	ANR984	Rep	2014-06-18	2018-10-01
45	Jin, Yueqi 金悦奇			BFJ580	Rep	2015-05-06	2017-10-27
46	Kim, Jaehee 金宰熙			BBQ725	Rep	2013-07-31	2016-03-25
47	Kim, Joshua Taehyun		M	ATL814	Rep	2011-10-24	2012-05-18
48	Kirjner Neto, Carlos		M	BEK847	Rep	2014-11-07	2014-11-12
49	Ko, Raymond 高力文		M	AIL123	Rep	2011-10-24	2012-12-11
50	Koay, Siu Choon 郭修俊			AXX210	Rep	2011-10-27	2013-03-09
51	Koo, Da Wan 丘多完			AXR520	Rep	2012-07-27	2013-12-28
52	Kurz, Clifford Waits 谷力佛		M	BFL540	Rep	2015-05-19	2016-08-27
53	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
					Rep	2013-11-15	2013-11-20
					Rep	2014-01-07	2014-01-10
					Rep	2014-02-04	2014-02-07
					Rep	2014-02-11	2014-02-20
					Rep	2014-04-14	2014-04-17
					Rep	2014-06-16	2014-06-17
					Rep	2014-06-25	2014-06-27
					Rep	2014-07-14	2014-07-16
					Rep	2014-09-03	2014-09-04
					Rep	2014-09-18	2014-09-20
					Rep	2014-11-10	2014-11-12
					Rep	2015-01-05	2015-01-08
					Rep	2015-02-09	2015-02-11
					Rep	2015-03-02	2015-03-04
					Rep	2015-04-27	2015-04-29
					Rep	2015-06-22	2015-06-25
					Rep	2015-07-13	2015-07-16
					Rep	2015-08-04	2015-08-07
					Rep	2015-08-31	2015-09-01
					Rep	2015-09-11	2015-09-15
					Rep	2015-11-16	2015-11-20
					Rep	2015-11-30	2015-12-01
					Rep	2016-01-14	2016-01-15
					Rep	2016-02-22	2016-02-24
					Rep	2016-03-21	2016-03-25
54	Lam, Derek Matthew 林嘉誠		M	AXV404	Rep	2014-11-24	2015-07-30
55	Lane, Christopher Allen		M	BBK862	Rep	2013-07-05	2020-07-31
56	Lau, Johnny Ka Ki 劉家棋		M	AOS269	Rep	2011-10-24	2021-08-27
57	Lau, Vanessa Bik Yun 劉碧茵	44	F	AYW242	Rep	2012-01-27	2015-09-13
58	Leung, Alex Sing Pong 梁承邦			AVI140	Rep	2011-10-24	2015-11-23
59	Li, Hsinlin 李欣霖			AVK469	Rep	2011-10-24
60	Li, Kelman Jun Qiao 李駿翹			ASL017	Rep	2015-12-24	2021-03-12
61	Li, Shuangxing 李双星			BGC184	Rep	2015-08-31	2017-03-05
62	Lian, Ziqi 練子淇			BCK867	Rep	2013-12-04	2016-02-06
63	Liang, Michelle Alison Hing Man 梁馨文		F	AXF635	Rep	2011-10-24	2013-08-31
64	Lim, Marcus Brandon 林克傑		M	BFO649	Rep	2015-06-09	2019-07-05
65	Lin, Jie (SFC:BBI105) 林洁			BBI105	Rep	2013-05-27	2014-09-20
66	Liu, Chong (SFC:BEB923) 劉翀			BEB923	Rep	2014-09-01	2018-03-09
67	Liu, Yang (SFC:BFC549) 劉洋			BFC549	Rep	2015-03-16	2019-06-07
68	Lou, Ying (SFC:AVV243) 樓瑩			AVV243	Rep	2011-10-24	2013-09-08
69	Lu, Hui-Chen 呂慧珍			ARN240	Rep	2011-10-24	2013-02-09
70	Marchesseau, Eric Jacques		M	AUZ419	Rep	2013-05-06	2013-10-10
					RO	2013-10-10
71	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
72	McGranahan, Colin Andrew		M	AWZ587	Rep	2014-10-17	2014-10-24
73	McLeish, Euan Grant		M	BFR706	Rep	2015-06-23	2022-12-31
74	Merriman, Jamie Susan		F	BDO742	Rep	2014-06-17	2014-06-20
75	Miles, Michael Christopher		M	AZT872	Rep	2012-07-03	2016-09-25
76	Moel Modiano, Alberto		M	AVD880	Rep	2011-10-24	2017-06-30
77	Moerdler, Mark L		M	BER580	Rep	2015-01-05	2015-01-05
78	Newman, Mark Christopher (SFC:AVK470)		M	AVK470	Rep	2011-10-24	2021-02-12
79	Ong, Chi Sheng 王其勝			BBJ688	Rep	2013-06-04	2014-06-01
80	Ortelli, Mario Zaccaria Carlo		M	BBJ794	Rep	2013-06-17	2013-06-24
					Rep	2014-02-26	2014-02-27
					Rep	2014-06-17	2014-06-20
					Rep	2015-03-16	2015-03-17
					Rep	2016-04-11	2016-04-13
81	Ou Yang, Yan Ying Jamie		M	BGU785	Rep	2016-01-15	2016-01-15
82	Park, Soo Jin			AUT784	Rep	2014-01-17	2015-02-04
83	Parker, Michael Wade		M	AUR866	Rep	2011-10-24	2016-11-02
84	Prozesky, Paul Martin		M	AUK244	Rep	2012-06-19	2012-06-20
85	Pun, Hoi Ying 潘凱瀛			BGE566	Rep	2015-09-14	2018-03-10
86	Qiu, Wangshu 裘望舒			AVW563	Rep	2011-10-24	2013-08-23
87	Redenius, Jeremy Martin		M	BBG668	Rep	2013-06-03	2013-06-04
88	Ritter, Andrew Jacob		M	AXX603	Rep	2012-04-05	2013-01-04
89	Senatore, Sara Betty Harkavy		F	AVX217	Rep	2015-05-11	2015-05-12
90	Shim, Aidan Taehoon			AYV975	Rep	2012-03-26	2012-08-27
91	Shiu, Yik Hung 蕭奕雄			AEP548	Rep	2013-05-06	2016-07-01
92	Stirling, Joshua C		M	BAZ987	Rep	2013-03-25	2013-03-26
93	Stirling, Trevor John (SFC:AXK433)		M	AXK433	Rep	2012-06-28	2012-06-29
					Rep	2015-09-04	2015-09-04
94	Sun Mattison, Linda Wu		F	BBF677	Rep	2013-05-03	2015-10-16
					Rep	2016-01-18	2016-01-24
					Rep	2016-03-18	2016-03-29
95	Tam, Jeffrey Lap Hang 談立亨		M	AXO947	Rep	2013-06-11	2013-09-02
96	Tan, Toon Leng			BDM837	Rep	2014-06-05	2014-06-08
					Rep	2014-08-25	2014-08-29
					Rep	2015-04-30	2015-05-06
					Rep	2015-11-30	2015-12-04
					Rep	2016-02-29	2016-03-04
97	Tang, Ernest Yiu Man 鄧耀民		M	ANP309	Rep	2013-03-27	2019-09-06
98	Tiano, Joseph Salvatore		M	AVM432	Rep	2011-10-24	2013-06-29
99	Topouzoglou, Norbert Mihran		M	AZI605	Rep	2012-04-23	2018-05-25
100	Tsang, Kenneth Ky Sung 曾紀崇		M	AZH816	Rep	2012-04-17	2014-01-09
101	Tse, Jaff Ka Wai 謝家威			ADR277	RO	2011-09-28	2018-09-26
102	Tsui, Eva Tsun Ying 徐俊英		F	AZQ388	Rep	2012-06-15	2013-07-08
103	Umansky, Vitaly		M	BDF561	Rep	2014-05-02	2022-09-30
104	Uy, Sharyn Marissa 黃小鈴		F	BEN689	Rep	2014-11-28	2022-05-16
105	Van Brugge, Robert Pieter		M	AUA340	RO	2011-09-28
106	Vyas, Joy (SFC:BBJ069)			BBJ069	Rep	2013-05-30	2013-05-31
					Rep	2013-11-13	2013-11-15
					Rep	2016-01-25	2016-01-26
107	Wang, Fanrong (SFC:BCS752) 王璠鎔			BCS752	Rep	2015-05-18	2015-06-08
108	Wang, Huan (SFC:AWI425) 王歡			AWI425	Rep	2013-03-25	2015-09-20
109	Wang, Lu (SFC:AXX186) 王璐			AXX186	Rep	2011-10-24	2015-02-04
110	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
					Rep	2014-01-07	2014-01-08
					Rep	2014-01-22	2014-01-24
					Rep	2014-03-03	2014-03-04
					Rep	2014-05-19	2014-05-22
					Rep	2014-09-03	2014-09-05
					Rep	2014-11-12	2014-11-14
					Rep	2015-01-21	2015-01-23
					Rep	2015-03-05	2015-03-06
					Rep	2015-05-04	2015-05-08
					Rep	2015-11-13	2015-11-27
111	Welch, David John Jr		M	ASW658	Rep	2016-04-05	2016-09-01
112	Wen, Bo (SFC:BAD547) 文博			BAD547	Rep	2012-09-04	2016-01-30
113	Werner, Michael Joseph		M	AUO124	Rep	2011-10-24	2013-09-11
					Rep	2013-10-28	2013-11-10
					Rep	2013-12-09	2013-12-15
114	Winoker, Steven Eric		M	AUT771	Rep	2013-06-20	2013-06-24
					Rep	2016-02-29	2016-03-01
115	Wong, Christopher Chi Kin (SFC:AXO118) 黃子建		M	AXO118	Rep	2011-10-24	2018-01-28
116	Wood, Andrew Dennis		M	AYM450	Rep	2011-12-08	2011-12-09
					Rep	2013-07-24	2013-07-24
117	Wright, Thomas Rowe		M	AUA323	Rep	2012-04-23	2012-04-27
118	Yeung, Matthew Kam Yan 楊錦恩		M	AXL875	Rep	2016-01-18
119	Yiu, Hung Han 姚虹嫻			BEU963	Rep	2015-01-14	2015-03-13
120	Yu, Paul Bo 于博		M	AXT654	Rep	2015-09-25	2022-01-06
121	Zhang, Jiajun (SFC:BDR531) 张佳駿			BDR531	Rep	2014-08-25	2016-07-09
122	Zhang, Liang (SFC:AVA073)			AVA073	Rep	2011-10-24	2012-02-29
123	Zheng, Zhi (SFC:BBP885) 鄭直			BBP885	Rep	2013-07-22	2014-06-20
124	Zhou, Jing (SFC:BAA703) 周璟			BAA703	Rep	2013-04-05	2016-05-22
125	Zhou, Min (SFC:BDT648) 周敏			BDT648	Rep	2014-07-11	2017-04-28
126	Zhu, Binbin (SFC:AYQ808) 朱璸鑌			AYQ808	Rep	2012-06-07
127	Zhu, Junliang (SFC:BEN145) 朱駿亮			BEN145	Rep	2014-11-27	2015-11-14
128	Zhu, Wenting 朱文婷			BGB195	Rep	2015-08-25	2018-09-14

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