HSBC SECURITIES (ASIA) LIMITED
SFC licensees
RO=Responsible Officer, Rep=Representative
| Name | Age in 2006 |
⚥ | Role | From | Until | |
|---|---|---|---|---|---|---|
| 1 | Smith, Jennifer Tai 戴令名 | F | Rep | 2003-04-02 | ||
| 2 | Lu, David Kwok Shing 魯國城 | M | Rep | 2003-04-05 | ||
| 3 | Lee, Ricky Tsz On 李子安 | M | Rep | 2003-04-29 | ||
| 4 | Lau, Mimmi Siu Mei 劉少薇 | Rep | 2003-06-04 | |||
| 5 | Myers, Stephen Grant | M | Rep | 2003-06-05 | ||
| 6 | Yip, David Ting Keung 葉定強 | M | Rep | 2003-06-05 | ||
| 7 | Johnson, Christopher Lind | M | Rep | 2003-07-10 | ||
| 8 | Kan, Alan (SFC:AIR601) 簡兆倫 | M | Rep | 2003-07-10 | ||
| 9 | Lee, Johnny Chi Chung (SFC:ADJ622) 李志璋 | Rep | 2003-07-10 | |||
| 10 | Solway, Paul Simon Herbert | M | Rep | 2003-07-10 | ||
| 11 | Hunt, Christopher Lawrence | M | RO | 2003-08-07 | ||
| 12 | Kwong, Sylvia Wan Man 鄺韻文 | F | Rep | 2003-08-21 | ||
| 13 | Jasani, Nilesh Surendra Rai | M | Rep | 2003-09-11 | ||
| 14 | Png, Hua Teng | Rep | 2003-10-07 | 2003-10-15 | ||
| 15 | Lau, Hwa Jen 劉華仁 | Rep | 2003-07-28 | 2003-10-17 | ||
| 16 | Woo, Art Zen 胡德賢 | Rep | 2003-10-24 | |||
| 17 | Borzi, Anna Marie | F | Rep | 2003-10-27 | ||
| 18 | Wong, Patonia Steiner 黃凱琳 | Rep | 2003-10-27 | |||
| 19 | Heung, Chun Wai 香鎮偉 | Rep | 2003-05-20 | 2003-10-29 | ||
| 20 | Pow, Eddie Shiu Keung 鮑肇強 | M | Rep | 2003-10-30 | ||
| 21 | Yu, Hiu To 余曉濤 | Rep | 2003-11-22 | |||
| 22 | Ng, Agnes Wing Sum 吳詠芯 | F | Rep | 2003-12-04 | ||
| 23 | Chan, Alan Yuk Lun 陳玉倫 | M | Rep | 2003-12-05 | ||
| 24 | Yu, Anthony Sai Yin 余世賢 | M | Rep | 2003-12-09 | ||
| 25 | Wong, Michael Sheh Chung 王錫聰 | M | Rep | 2003-12-16 | ||
| 26 | Cheung, Lai Ping (SFC:ABF741) 張麗萍 | RO | 2004-01-01 | |||
| 27 | Ko, David Young | M | Rep | 2003-09-10 | 2004-01-08 | |
| 28 | Kwan, Wing Lok 關榮樂 | Rep | 2004-01-09 | |||
| 29 | Au Yeung, Tat H 歐陽達顯 | RO | 2004-01-15 | |||
| 30 | Au, Alex Wai Chi 區偉志 | M | Rep | 2004-01-15 | ||
| 31 | Berrisford, Carl Thomas | M | Rep | 2003-05-23 | 2004-01-15 | |
| 32 | Choi, Yoon Hee | Rep | 2003-11-25 | 2004-01-15 | ||
| 33 | Lee, Soon Huat | Rep | 2003-09-10 | 2004-01-15 | ||
| 34 | Lee, Wang Kwong 李泓廣 | Rep | 2004-01-15 | |||
| 35 | Liao, Ming-Cheng 廖明正 | Rep | 2003-11-21 | 2004-01-15 | ||
| 36 | Sutherland, Matthew Sebastian | M | Rep | 2004-01-15 | ||
| 37 | To, Christine Oi Yan 杜愛茵 | F | Rep | 2004-01-15 | ||
| 38 | Tulk, Philip W | M | Rep | 2004-01-15 | ||
| 39 | Turnbull, Robert Edward | M | Rep | 2004-01-15 | ||
| 40 | Yeoh, Simone Xenia | Rep | 2003-09-10 | 2004-01-15 | ||
| 41 | Hyland, Peter John | M | Rep | 2004-01-19 | ||
| 42 | Chung, Alden Kam Wah 鍾金華 | M | Rep | 2004-01-28 | ||
| 43 | Mak, Winnie (SFC:ADK738) 麥蔚誼 | F | Rep | 2004-01-28 | ||
| 44 | Moss, Stephen Colin | M | RO | 2004-02-12 | ||
| 45 | Lee, Jeong Ja | Rep | 2003-11-25 | 2004-03-09 | ||
| 46 | Letts, Darren Arthur Bohrsmann | M | Rep | 2004-03-12 | ||
| 47 | Lu, Ying-Chang 呂穎彰 | Rep | 2003-08-20 | 2004-03-19 | ||
| 48 | Jajal, Kartik Chimanlal | Rep | 2004-03-29 | |||
| 49 | Kwok, Chau Wan 郭秋雲 | Rep | 2004-04-02 | |||
| 50 | Tantivorawong, Korawilai | Rep | 2003-10-22 | 2004-04-02 | ||
| 51 | Ling, Anne Kin Shun 林建純 | F | Rep | 2004-04-23 | ||
| 52 | Moss, James Thomas | M | Rep | 2003-08-01 | 2004-04-26 | |
| 53 | Jacobelli Yau, Maurien Oi Man 丘愛敏 | Rep | 2004-04-28 | |||
| 54 | Chan, Ben Wei Beng 陳偉敏 | M | Rep | 2003-08-14 | 2004-05-24 | |
| 55 | Chang, Po-Chi (SFC:AJD292) 張博淇 | Rep | 2003-10-06 | 2004-05-24 | ||
| 56 | Hanson-Lawson, Michael John | M | Rep | 2003-11-10 | 2004-05-24 | |
| 57 | Ng, Kit Wei | Rep | 2003-08-26 | 2004-05-24 | ||
| 58 | Ng, Wai Kwong (SFC:ADJ383) 吳衛剛 | Rep | 2004-05-24 | |||
| 59 | So, Nelson Shing Hing 蘇盛興 | M | Rep | 2004-05-24 | ||
| 60 | Dunn, Adrian Richard Howard | M | Rep | 2003-08-13 | 2004-06-10 | |
| 61 | Gambrill, David Boys | M | Rep | 2003-08-01 | 2004-06-16 | |
| 62 | Raman, Dev | Rep | 2004-04-20 | 2004-06-17 | ||
| 63 | Chua, Siong Kheng 蔡尚慶 | Rep | 2004-07-26 | |||
| 64 | Vaudry, Robert Thomas (SFC:AGN906) | M | Rep | 2004-07-19 | 2004-08-12 | |
| 65 | Chen, Lawrence Yung 鄭勇 | M | Rep | 2004-09-03 | ||
| 66 | McDonald, Graeme Antony | M | Rep | 2004-08-24 | 2004-09-20 | |
| 67 | Myers, Steven William | M | Rep | 2004-06-15 | 2004-09-20 | |
| 68 | Lau, Peter Yim Lam 劉炎霖 | M | Rep | 2003-09-11 | 2004-10-14 | |
| 69 | Chan, Dominic Koon Shing 陳冠成 | M | Rep | 2004-07-27 | 2004-10-18 | |
| 70 | Jasani, Nilesh Surendra Rai | M | RO | 2003-09-11 | 2004-10-25 | |
| 71 | Hall, Martin David | M | Rep | 2004-03-17 | 2004-11-10 | |
| 72 | Dujari, Vipul | Rep | 2004-08-16 | 2004-11-16 | ||
| 73 | Lau, Shek Wing 劉錫榮 | Rep | 2003-09-11 | 2004-12-09 | ||
| 74 | Waterhouse, Julian Brian | M | Rep | 2004-08-19 | 2004-12-14 | |
| 75 | Masuda, Etsusuke | Rep | 2004-02-27 | 2005-01-04 | ||
| 76 | Alexander, Andrew Bernard 安力德 | M | Rep | 2005-02-01 | 2005-02-16 | |
| 77 | Loh, Andrew Der Ming 羅德銘 | M | Rep | 2004-12-06 | 2005-02-16 | |
| 78 | Dujari, Vipul | Rep | 2004-11-25 | 2005-02-25 | ||
| 79 | Kam, Franklin Pak Wah 金百華 | M | Rep | 2005-04-07 | ||
| 80 | Masuda, Etsusuke | Rep | 2005-03-10 | 2005-04-11 | ||
| 81 | Tse, Darius Yung Che 謝用之 | M | Rep | 2004-10-25 | 2005-04-13 | |
| 82 | Sadler, Simon Peter (SFC:AFJ906) | M | Rep | 2004-07-07 | 2005-05-03 | |
| 83 | Cheung, Yat Ming (1968) 張一鳴 | 38 | M | Rep | 2005-05-04 | |
| 84 | Chan, Andrew Ding Bong 陳定邦 | M | Rep | 2005-06-03 | ||
| 85 | Chappel, Christopher Lee | M | Rep | 2005-04-15 | 2005-06-17 | |
| 86 | Damania, Anish Dinesh | Rep | 2004-07-22 | 2005-06-17 | ||
| 87 | Sutton, Ben (SFC:AKU233) | M | Rep | 2004-06-15 | 2005-06-22 | |
| 88 | Rogers, Neil Colin (SFC:ALS349) | M | Rep | 2005-02-14 | 2005-06-24 | |
| 89 | Lam, Sum Sum 林森森 | Rep | 2005-06-30 | |||
| 90 | Lu, Hua (SFC:ALN582) 呂華 | Rep | 2004-12-08 | 2005-06-30 | ||
| 91 | Onillon, Julien Jean Maurice Francois | M | Rep | 2004-12-09 | 2005-06-30 | |
| 92 | Tang, Chi Kit (SFC:ALC474) 鄧智傑 | Rep | 2004-09-01 | 2005-06-30 | ||
| 93 | Kim, Peter Sin | M | Rep | 2005-07-07 | ||
| 94 | Wong, James Chung Yin 黃頌賢 | M | Rep | 2005-07-07 | ||
| 95 | Wong, Poh Fah 黃保樺 | Rep | 2004-12-23 | 2005-07-07 | ||
| 96 | Macalpin, Kenneth Allan Connolly | M | Rep | 2004-11-15 | 2005-07-19 | |
| 97 | Goh, Daryl Shao Loong 吳少龍 | M | Rep | 2005-08-10 | ||
| 98 | Wong, Edmond | M | Rep | 2005-08-10 | ||
| 99 | Chen, Hsiao Ying (SFC:ALS410) 陳曉瑩 | Rep | 2005-02-16 | 2005-09-01 | ||
| 100 | Tayama, Minoru | Rep | 2005-03-23 | 2005-09-05 | ||
| 101 | Udjang, Charles | M | Rep | 2005-08-05 | 2005-09-07 | |
| 102 | Naseer, Jahanzeb | RO | 2005-09-30 | |||
| 103 | Chung, Tony Ming Lok 鍾明烙 | M | Rep | 2003-09-11 | 2005-10-05 | |
| 104 | Markwick Smith, Jeremy Robin | M | Rep | 2004-12-06 | 2005-10-11 | |
| 105 | Guglietta, Joel Stephan | Rep | 2005-03-10 | 2005-10-19 | ||
| 106 | Thareja, Anupam | Rep | 2004-04-21 | 2005-10-25 | ||
| 107 | Bradley, Martin (SFC:ACC190) | M | Rep | 2005-10-27 | ||
| 108 | Chan, Mark Kar Yue 陳嘉裕 | M | Rep | 2005-10-27 | ||
| 109 | Ma, Diana Ka Lai 馬嘉麗 | F | Rep | 2005-10-27 | ||
| 110 | Turley, Francis Bernard | M | Rep | 2005-10-27 | ||
| 111 | Chan, Andrew Shingfun 陳盛勳 | M | Rep | 2005-06-13 | 2005-11-12 | |
| 112 | Chan, Yiu Fai (SFC:AEG477) 陳耀輝 | Rep | 2005-11-12 | |||
| 113 | Cheng, Yee Pun 鄭宜斌 | 31 | M | Rep | 2004-09-27 | 2005-11-12 |
| 114 | Chiang, Venant (SFC:AIB743) 蔣永甯 | Rep | 2005-10-25 | 2005-11-12 | ||
| 115 | Chik, Leon Hak Kan 植克勤 | Rep | 2005-05-23 | 2005-11-12 | ||
| 116 | Choi, Carmen Wai Ching 蔡慧貞 | F | Rep | 2005-08-29 | 2005-11-12 | |
| 117 | Dunivant, Todd Glenn | M | Rep | 2005-04-26 | 2005-11-12 | |
| 118 | Evans, Garry Owen | M | RO | 2003-11-05 | 2005-11-12 | |
| 119 | Fang, Jeffrey Sai Tai 方世泰 | M | Rep | 2005-07-12 | 2005-11-12 | |
| 120 | Foster, Scott Mather | M | Rep | 2005-03-23 | 2005-11-12 | |
| 121 | Fung, Hon Nam 馮漢南 | Rep | 2005-03-24 | 2005-11-12 | ||
| 122 | Ginde, Vidyadhar Vasant | Rep | 2004-07-08 | 2005-11-12 | ||
| 123 | Gupta, Pramod | Rep | 2005-03-29 | 2005-11-12 | ||
| 124 | Haskins, Andrew Robin Alexander | 38 | M | Rep | 2005-05-04 | 2005-11-12 |
| 125 | Hayashi, Douglas Tetsuya | M | Rep | 2005-05-31 | 2005-11-12 | |
| 126 | Ho, Kenneth Kai Chung 何啟忠 | 41 | M | Rep | 2004-11-03 | 2005-11-12 |
| 127 | Hong, Chien Han 洪千涵 | Rep | 2005-04-28 | 2005-11-12 | ||
| 128 | Hylan, Adam James | M | Rep | 2005-08-04 | 2005-11-12 | |
| 129 | Kam, Tyran 金泰倫 | Rep | 2005-07-25 | 2005-11-12 | ||
| 130 | Kopp, Russell Jerome | Rep | 2004-10-14 | 2005-11-12 | ||
| 131 | Lee, Ho Cheung 李浩章 | Rep | 2005-05-10 | 2005-11-12 | ||
| 132 | Lee, Seung Hyun | Rep | 2005-06-01 | 2005-11-12 | ||
| 133 | Marsden, Matthew Owen | M | Rep | 2005-05-30 | 2005-11-12 | |
| 134 | Masuda, Etsusuke | Rep | 2005-10-24 | 2005-11-12 | ||
| 135 | Offer, Richard George Michael | M | Rep | 2005-11-12 | ||
| 136 | Park, Nam Chol | Rep | 2005-11-12 | |||
| 137 | Poon, Carolyn Yeuk Wan 潘若韻 | F | Rep | 2003-07-26 | 2005-11-12 | |
| 138 | Russell, John (SFC:AJL223) | M | Rep | 2004-02-11 | 2005-11-12 | |
| 139 | Sandhu, Tejinderjit Singh | Rep | 2003-09-02 | 2005-11-12 | ||
| 140 | Satapathy, Sanjaya Kumar | M | Rep | 2005-09-20 | 2005-11-12 | |
| 141 | Saxena, Manish Jagdish | Rep | 2005-07-12 | 2005-11-12 | ||
| 142 | Shanbhag, Abhay Mukund | Rep | 2004-06-16 | 2005-11-12 | ||
| 143 | Shanbhag, Anand Ramchandra | Rep | 2004-06-26 | 2005-11-12 | ||
| 144 | Siu, Chi Ming (SFC:AFZ476) 蕭智明 | Rep | 2005-11-12 | |||
| 145 | Sugiura, Seiji | Rep | 2004-12-06 | 2005-11-12 | ||
| 146 | Takano, Kimihide | Rep | 2005-09-20 | 2005-11-12 | ||
| 147 | Tan, Choon Ming 陳俊銘 | Rep | 2005-05-31 | 2005-11-12 | ||
| 148 | Van Der Linde, Hendrik Jan Herald | Rep | 2005-05-25 | 2005-11-12 | ||
| 149 | Vaudry, Robert Thomas (SFC:AGN906) | M | RO | 2004-08-12 | 2005-11-12 | |
| 150 | Villamin, Norman Jay | M | Rep | 2004-09-22 | 2005-11-12 | |
| 151 | Webb, Mark Cameron Ross | M | Rep | 2005-11-12 | ||
| 152 | Wee, Roland Kian Jin | M | Rep | 2005-07-26 | 2005-11-12 | |
| 153 | Wong, Valerie Hak Wing 王克穎 | F | Rep | 2004-11-17 | 2005-11-12 | |
| 154 | Youn, Christian Un Sik 尹彥植 | M | Rep | 2005-05-25 | 2005-11-12 | |
| 155 | Zhong, Anna Hua | F | Rep | 2005-08-29 | 2005-11-12 | |
| 156 | Au-Young, Ping 歐陽平 | Rep | 2005-11-14 | |||
| 157 | Barton, Richard Jeremy | M | Rep | 2005-06-22 | 2005-11-14 | |
| 158 | Beattie, Russell William | M | Rep | 2004-10-14 | 2005-11-14 | |
| 159 | Chan, Kerry Mo Yu 陳慕瑜 | Rep | 2005-07-26 | 2005-11-14 | ||
| 160 | Chang, Chao-Kung 張肇恭 | Rep | 2003-11-11 | 2005-11-14 | ||
| 161 | Cheng, Hon Fai 鄭漢輝 | Rep | 2005-11-14 | |||
| 162 | Cheng, Vivinne 鄭慧玄 | Rep | 2005-05-03 | 2005-11-14 | ||
| 163 | Chin, Victoria Vui Luen 陳維倫 | F | Rep | 2005-08-25 | 2005-11-14 | |
| 164 | Chua, Lee Leng | Rep | 2005-06-20 | 2005-11-14 | ||
| 165 | Cooney, Michael James (SFC:AJD244) | M | Rep | 2004-09-07 | 2005-11-14 | |
| 166 | Dickinson, Alexander Edward | M | Rep | 2005-11-14 | ||
| 167 | Doshi, Mihir Vinod | M | Rep | 2004-07-22 | 2005-11-14 | |
| 168 | Garrick, Jonathan | M | Rep | 2004-12-08 | 2005-11-14 | |
| 169 | Jhaveri, Anish Puspasen | Rep | 2004-06-16 | 2005-11-14 | ||
| 170 | Kim, Hyun Ho (SFC:ACJ079) 金賢鎬 | Rep | 2005-04-19 | 2005-11-14 | ||
| 171 | Lau, Che Wah 劉志華 | Rep | 2005-09-27 | 2005-11-14 | ||
| 172 | Lau, Chun Hou 劉俊厚 | Rep | 2005-11-14 | |||
| 173 | Lee Shyu, Mei-Lan 徐美蘭 | Rep | 2005-08-19 | 2005-11-14 | ||
| 174 | Lee, Sandra Wai Ying 李慧英 | F | Rep | 2005-11-14 | ||
| 175 | Leung, Kwok Wing (SFC:AAF592) 梁國榮 | Rep | 2003-09-11 | 2005-11-14 | ||
| 176 | Leung, Wai Man (SFC:AGO399) 梁偉民 | Rep | 2005-11-14 | |||
| 177 | Leung, Wai Yin (SFC:AGO097) 梁偉賢 | Rep | 2005-11-14 | |||
| 178 | Li, Raymond Man Fai 李文輝 | M | Rep | 2005-11-14 | ||
| 179 | McGee, Alan Craig | M | Rep | 2005-08-15 | 2005-11-14 | |
| 180 | Ngai, Man Fai 倪文輝 | Rep | 2004-06-17 | 2005-11-14 | ||
| 181 | Patel, Rakesh (SFC:ALI605) | M | Rep | 2004-11-15 | 2005-11-14 | |
| 182 | Ricks, Del John | M | Rep | 2005-06-13 | 2005-11-14 | |
| 183 | Robertson, Craig Anthony | M | Rep | 2005-11-14 | ||
| 184 | Shum, Fei Fei 沈菲菲 | 27 | F | Rep | 2005-02-02 | 2005-11-14 |
| 185 | Solomon, Jesse Michael | M | Rep | 2005-09-01 | 2005-11-14 | |
| 186 | Timblick, Leland Marion Rhee | Rep | 2005-05-17 | 2005-11-14 | ||
| 187 | Wong, Gary Man Kuen 黃文權 | M | Rep | 2005-11-14 | ||
| 188 | Wong, Michael Sheh Chung 王錫聰 | M | Rep | 2005-04-12 | 2005-11-14 | |
| 189 | Wong, Wing Wah (SFC:AEC773) 黃永華 | Rep | 2005-11-14 | |||
| 190 | Wong, Yan (SFC:AMG970) 王欣 | Rep | 2005-07-21 | 2005-11-14 | ||
| 191 | Yetman, Mark Stephen | M | Rep | 2005-01-03 | 2005-11-14 | |
| 192 | Yu, Anthony Sai Yin 余世賢 | M | Rep | 2005-04-12 | 2005-11-14 | |
| 193 | Taesch, Frederic Marcel Georges Marie | M | Rep | 2005-09-08 | 2005-11-24 | |
| 194 | Man, Peter Kum-Chung | M | Rep | 2006-04-01 | ||
| 195 | Heng, Franklin Ching Kuen 幸正權 | 41 | M | RO | 2006-04-14 | |
| 196 | Wallace, Lee Peter | M | Rep | 2005-07-20 | 2006-05-16 | |
| 197 | Chan, Otto Chun Shing 陳鎮成 | 44 | M | RO | 2006-09-07 | |
| 198 | Barker, Ariane Marie | Rep | 2005-05-13 | 2007-07-01 | ||
| 199 | Chan, Rene Hoi Yan 陳海茵 | Rep | 2006-03-29 | 2007-08-06 | ||
| 200 | Wallace, Lee Peter | M | RO | 2006-05-16 | 2008-11-18 | |
| 201 | Hancock, Jonathan Stiles | M | RO | 2009-01-31 | ||
| 202 | Sim, Mong Kwang 沈茂琼 | Rep | 2010-12-20 | |||
| 203 | Ngai, Thomas Kwok Kan 危國根 | M | Rep | 2012-04-03 | ||
| 204 | Patel, Rakesh (SFC:ALI605) | M | RO | 2006-05-16 | 2018-08-31 |
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