CANTOR FITZGERALD (HONG KONG) CAPITAL MARKETS LIMITED 建達(香港)資本市場有限公司

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Activity type: AllAdvising on corporate financeAdvising on futures contractsAdvising on securitiesAsset managementAutomated trading servicesCredit rating servicesDealing in futures contractsDealing in OTC derivative products or advising on OTC derivative productsDealing in securitiesLeveraged foreign exchange tradingProviding client clearing services for OTC derivative transactionsProviding depositary services for relevant CISsSecurities margin financing

SFC licensees

RO=Responsible Officer, Rep=Representative

	Name	Age in 2015	⚥	Role	From	Until
1	Ainslie, Bradford			Rep	2005-01-14	2008-07-22
				RO	2008-07-22	2011-05-30
2	Artus, Alexandre Gerard Ludovic		M	Rep	2013-04-30	2013-05-14
				Rep	2013-11-18	2013-11-22
3	Barroso, Raul Francisco			Rep	2014-09-18	2016-05-16
4	Beavis, Stuart Cameron		M	Rep	2011-10-31	2012-08-02
5	Ben Sadoun, Didier			Rep	2010-10-14	2011-06-04
				RO	2012-12-07	2013-06-26
6	Bensmihen, Jordane			Rep	2010-03-22	2010-08-31
7	Berquist, Eric Craig		M	Rep	2011-02-28	2013-12-13
8	Boyer, Jason Jon	47	M	RO	2004-07-15	2011-05-30
9	Brereton, William Carter		M	Rep	2011-05-19	2012-05-01
10	Bridgeford, Shannon Richard		M	Rep	2007-08-08	2010-01-05
11	Brown, Martyn Roger		M	Rep	2005-04-14	2006-09-29
12	Buckworth, Piers Edward Grainger	33	M	Rep	2011-10-10	2011-12-05
13	Burke, Daniel Christopher		M	Rep	2008-12-29	2009-03-03
14	Butavand, Axelle Victoire			Rep	2011-05-11	2011-09-27
15	Butler, Iain Allan		M	Rep	2011-04-04	2011-11-11
16	Carey, Andre' Lionel		M	Rep	2011-10-20	2012-02-27
17	Carle, Richard Jude		M	Rep	2007-06-12	2008-05-22
18	Cha, Louis Min 車珉		M	Rep	2009-03-19	2010-01-25
19	Champagne, Jean-Marc Beaugrand 向君浩			Rep	2011-11-24	2012-08-06
20	Chan, Chi Hang (SFC:ALH858) 陳志恆	40	M	Rep	2011-12-15	2012-02-27
				RO	2012-02-27	2013-01-19
21	Chan, Chi Kin (SFC:ALQ452) 陳志堅			Rep	2011-11-16	2016-01-08
22	Chan, Kam Kuan			Rep	2008-08-04	2009-03-03
23	Chan, Koon Hung (SFC:ANR762) 陳冠雄			Rep	2010-03-03	2011-03-05
24	Chan, Susan Shu Fun		F	Rep	2009-10-02	2010-06-24
25	Chan, Sze Chung (SFC:AWS037) 陳思聰			Rep	2011-01-26	2011-03-05
26	Chan, Vincent Toi Tung 陳代東		M	Rep	2005-07-18	2009-03-16
				RO	2009-03-16
27	Chang, Ioi Tim 曾銳添			Rep	2009-05-04	2010-11-30
28	Chapps, Lauren Louise		F	Rep	2012-02-06	2014-12-01
29	Chatterjee, Saurav			Rep	2012-06-11	2013-01-17
				RO	2013-01-17	2016-02-29
30	Chin, Cheryl Pi I 秦碧儀			Rep	2007-01-31	2009-03-03
31	Choi, William Jay		M	Rep	2011-06-21	2011-10-17
32	Christie, Glen Alexander		M	Rep	2006-09-12	2009-02-20
33	Chu Tsang Kwan, Caroline		F	Rep	2008-08-18	2009-03-03
34	Chu, Joel Jens 朱喬立			Rep	2013-12-19	2014-11-28
35	Chua, Alvin Cheng Hock 蔡清福	57	M	Rep	2009-05-14	2010-03-26
				RO	2010-03-26	2011-12-14
36	Chung, Gia Trien Litte			Rep	2010-06-14	2011-07-12
				RO	2011-07-12	2012-12-14
				Rep	2012-12-14	2014-12-23
37	Conwell, Brian		M	Rep	2010-07-02	2011-08-20
38	Cornaire, Christophe Louis Jacques	47	M	Rep	2006-03-29	2008-09-22
				RO	2008-09-22	2011-03-17
39	Cottis, Graham Stuart		M	Rep	2009-06-01	2009-09-04
40	Cunnington, Guillaume Serge Charles		M	Rep	2011-03-14	2011-10-28
				RO	2011-10-28	2012-02-13
41	Davidson, Duncan Neil		M	Rep	2006-02-06	2015-05-29
42	De Bourayne, Olivier Marie Stephane		M	Rep	2012-02-20	2012-11-01
43	Delrue, Thibault Marc		M	Rep	2006-12-28	2009-10-09
44	Desai, Keemesh (SFC:AUL786)			Rep	2010-01-05	2014-06-01
45	Ding, Yuwen (SFC:AQI394) 丁煜雯			Rep	2008-02-01	2009-03-03
46	Downey, James		M	Rep	2011-12-21	2012-10-31
47	Faidi, Ghazi			Rep	2007-09-21	2011-04-14
48	Falcetti, Emilia			Rep	2012-11-12	2015-03-30
				RO	2015-03-30	2015-09-30
				Rep	2015-09-30	2015-10-28
49	Feeney, Eugene Tomas		M	Rep	2008-03-19	2009-05-18
50	Flores, Nicolas (SFC:AUZ455)		M	Rep	2010-04-01	2010-07-15
51	Foley, Cathal Brendan		M	Rep	2012-02-16	2013-01-14
52	Froissart, Julien Sebastien		M	Rep	2009-09-07	2011-04-13
53	Fung, Wilson Kee Hang 馮紀恆		M	Rep	2010-11-11	2011-09-09
54	Geary, Marc Francis Andrew		M	Rep	2010-08-23	2010-11-09
55	Giraudeau, Sylvain Dimitri		M	Rep	2006-10-18	2007-06-08
56	Grimes, Ryan Mccracken		M	Rep	2006-09-27	2006-10-27
57	Guetta, Yohan Victor Haim		M	Rep	2012-02-20	2013-01-16
58	Ha, Steve Wai Cheung 夏偉祥		M	Rep	2008-09-18	2009-03-03
				Rep	2009-04-14	2013-01-25
59	Hall, Grant Conway Dorian Arthur		M	Rep	2006-02-06
60	Han, Charles June		M	Rep	2012-03-26	2013-05-27
61	Harrison, David Martin (SFC:AKO500)		M	RO	2004-07-16	2006-04-11
62	Hartwell, Benjamin Luke		M	Rep	2011-02-15	2014-04-04
63	Hassam, Shehzad Sikander			Rep	2012-02-29	2012-08-29
64	Hayase, Takahiro			Rep	2009-11-27	2010-11-24
65	He, Vicky Zhancong 何展聰		F	Rep	2011-09-02	2021-04-30
66	Henke Von Parpart, Uwe			Rep	2007-11-01	2009-03-13
				RO	2009-03-13	2011-05-30
67	Herman, Neal Thomson			Rep	2011-11-04	2012-12-01
68	Ho, Anita Hoi Lam 何海琳		F	Rep	2009-04-17	2015-07-09
69	Ho, Miu 何苗			Rep	2011-06-07	2012-10-31
70	Hoegee, Brian Richard		M	Rep	2008-06-27	2012-04-01
71	Hong, Christine Kee Wing 孔基穎		F	Rep	2009-01-20	2010-09-08
72	Houdeye, Cedric Abraham Avi		M	Rep	2010-12-13	2011-11-01
				Rep	2012-11-23	2013-01-14
73	Huang, Kin Hing 黃建興			Rep	2011-01-26	2011-03-05
74	Hughes, Anthony Michael (SFC:ARG524)		M	Rep	2008-07-02	2009-02-12
				Rep	2011-08-17	2012-02-13
75	Ip, William Wai Lun 葉偉倫	59	M	Rep	2010-04-13	2010-07-22
				RO	2010-07-22	2012-02-18
76	Kang, No Kyung			Rep	2011-04-27	2012-06-16
77	Keum, Howard Chang-Hwan		M	Rep	2011-11-04	2014-10-31
78	Kim, Chanel Siu Wai 金小慧			Rep	2011-06-13	2013-01-14
79	Kim, Jungtae 金正泰			Rep	2011-03-30	2011-12-14
80	Kim, Ki Soo			Rep	2015-12-15	2016-05-31
81	Kimura, Kuniomi			Rep	2009-10-15	2010-05-28
82	Kirley, John Andrew		M	Rep	2008-01-22	2011-11-04
83	Knott, David Barry		M	Rep	2004-07-16	2009-05-31
84	Ko, Kurt C 高翹楚		M	Rep	2007-10-05	2009-03-31
				Rep	2011-03-22	2015-07-17
85	Kong, Kam Fan 江錦帆			Rep	2006-02-03	2016-05-05
86	Koyama, Tomoko 小山朝子			Rep	2012-04-20	2012-10-31
87	Kwan, Angelina Agnes 關蕙	49	F	RO	2008-11-13	2010-09-06
88	Kwok, Ka Chung (SFC:AFG520) 郭家聰			Rep	2006-06-16	2007-05-19
89	La Rocca, Daniel Anthony Jr		M	Rep	2008-01-17	2011-07-05
90	Lahogue, Nicolas Bruno		M	Rep	2009-10-08	2011-04-13
91	Lai, Dennis Sung Yu		M	Rep	2014-06-25	2016-03-15
92	Lam, Karvan Ka Man 林嘉敏			Rep	2005-10-26	2016-06-06
93	Langan, Helen Mary		F	Rep	2005-06-02	2007-03-21
				RO	2007-03-21	2009-02-27
94	Larbier, Patrick		M	Rep	2004-10-15	2005-10-26
95	Lawrence, Nicholas Spencer Parslo		M	Rep	2007-05-02	2008-01-15
				Rep	2008-11-24	2010-02-01
96	Lay, Richard Donovan		M	Rep	2008-05-29	2010-08-31
97	Le-Gallez, Richard Steven		M	Rep	2011-05-25	2011-08-20
98	Lee, Dick Tik Man 李迪文	40	M	RO	2011-06-03	2012-12-10
99	Lee, Paul Wang Tak 李宏德		M	Rep	2009-04-03	2010-03-01
100	Lee, Sungjoon			Rep	2012-12-04	2015-06-30
101	Lee, Wai Kee 李渭琪			Rep	2010-06-04	2011-03-05
102	Leung, Kin Keung (SFC:AFL288) 梁建強		M	Rep	2010-07-21	2011-03-05
103	Leung, Sze Man (SFC:ARG096) 梁思敏			Rep	2008-06-24	2011-03-01
104	Lin, Wen Ching (SFC:APC101) 林汶菁			Rep	2011-11-04	2019-10-14
105	Liu, Wing Sze 廖穎思			Rep	2009-07-14	2011-01-17
106	Liu, Xiaoxi (SFC:BDA505) 劉晓曦			Rep	2014-03-10	2016-03-11
107	Lu, Yilin (SFC:AOG682) 呂禕麟	34	M	Rep	2013-11-18	2013-12-23
				RO	2013-12-23	2015-07-28
108	Ma, Lai Mei 馬麗眉			Rep	2006-06-29	2012-04-23
109	Malhotra, Anish (SFC:AOV242)			Rep	2007-04-19	2007-07-18
110	Manas, Francois Vincent		M	Rep	2007-06-06	2007-12-17
111	Martin, Guillaume Claude Jean-Marie		M	Rep	2008-08-20	2009-01-06
112	Mascolo, Fabiano Hugues Joseph		M	Rep	2006-03-13	2009-01-31
113	Matsuzoe, Kie			Rep	2011-10-13	2012-01-04
114	McFarland Novak, Leni			Rep	2014-08-04	2015-11-13
115	McGonegal, Brett Alexander	43	M	Rep	2006-12-13	2008-07-16
				RO	2008-07-16	2011-05-30
116	McKay, Mark Andrew (SFC:ASH863)		M	Rep	2009-01-20	2011-10-17
117	Meenan, Raymond David		M	Rep	2011-08-17	2012-02-10
118	Melka, Alexandre Sebastien		M	Rep	2012-05-11	2013-01-14
119	Mignot, Nicolas Jean-Marie		M	Rep	2011-08-29	2012-08-30
				RO	2012-08-30	2014-11-06
120	Miller, Ryan James		M	Rep	2008-06-20	2008-06-20
121	Mitchell, Patrick Callahan		M	Rep	2010-04-16	2010-12-10
				Rep	2011-01-31	2011-07-05
122	Moeller, Corinna Georgina		F	Rep	2014-08-21	2015-07-24
123	Morvan, Christophe			Rep	2009-11-02	2010-06-30
				Rep	2010-09-08	2011-04-08
124	Mui, Yu Yuk 梅如玉			Rep	2010-07-13	2011-07-23
125	Munden, Susan Jean		F	Rep	2013-04-25	2013-05-09
				Rep	2013-11-15	2013-11-29
126	Narasaki, Shuya 楢崎修也			Rep	2011-06-21	2011-11-22
127	Nasser, Jonathan Colby		M	Rep	2011-11-04	2012-03-13
				RO	2012-03-13	2012-09-19
				Rep	2012-09-19	2014-10-31
128	Nastanski, Neil Adam		M	Rep	2014-02-25	2016-02-25
129	Nema, Naoshi			Rep	2012-11-12	2015-03-31
				Rep	2015-08-26	2016-03-02
130	Ng, Jackfrey Cho Fai 吳祖輝			Rep	2010-05-31	2011-03-05
131	Ng, Ka Yin (SFC:ACQ226) 吳家燕			Rep	2015-07-31	2017-05-04
132	Ng, Kelvin Pak Tao 吳柏濤		M	Rep	2011-12-01	2012-05-14
133	Ngo, Francois		M	Rep	2004-07-23	2011-06-17
134	Nichols, Michael Christian		M	Rep	2008-05-16	2008-09-16
135	Ogata, Marina Miyuki		F	Rep	2010-11-15	2011-03-18
136	Pereira, Kevin Edmond		M	Rep	2014-09-16	2014-10-06
				RO	2014-10-06	2015-08-28
137	Quinn, Francis Ryan		M	Rep	2011-03-14	2013-12-13
138	Rhee, Jae Kyung 李在慶			Rep	2010-03-26	2012-08-31
139	Ricklow, Darryl Michael (SFC:ATW459)		M	Rep	2009-10-02	2011-11-03
140	Ryu, Tantan			Rep	2015-12-09	2016-04-29
141	Sandeman, Stuart Charles		M	Rep	2011-01-25	2011-05-31
142	Seah, Mitchell Yee Yong 謝于榮		M	Rep	2007-01-23	2009-03-02
143	Selig, William Louis		M	Rep	2007-05-08	2011-02-24
144	Sellam, Alexandre Elie		M	Rep	2010-11-01	2013-12-31
145	Servant, Remy Jerome			Rep	2007-05-22	2011-11-02
146	Sheldon, Thomas Geoffrey		M	Rep	2013-04-25	2013-05-09
147	Shiu, Kam Man 邵錦文	40	M	RO	2011-06-03	2012-12-10
				RO	2014-10-17	2019-12-31
148	Shiu, Lai Man 邵禮文			Rep	2010-03-11	2011-03-05
149	Sillam, Jonathan Charles Marc		M	Rep	2009-11-09	2010-02-01
150	Sing, Raymond Pui Choy 成培洲		M	Rep	2005-07-13	2006-02-15
151	Smedhall, Sandra Estelle		F	Rep	2008-11-13	2009-03-03
152	Smith, Clive Anthony (SFC:APW353)		M	Rep	2013-06-03	2013-06-10
153	Stapanavatr, Niphon			Rep	2008-07-22	2009-03-31
154	Stephens, John William		M	Rep	2013-06-11	2013-07-26
				RO	2013-07-26	2013-08-17
155	Suissa, Daniel Adam		M	Rep	2011-03-09	2012-05-31
				RO	2012-05-31	2012-12-11
				Rep	2012-12-11	2013-03-08
156	Sultan, Asad Turab			Rep	2007-03-08	2008-09-16
157	Tan, Yong Seng			Rep	2015-04-10	2016-10-07
158	Taylor, Stuart Andrew (SFC:AWX936)		M	Rep	2011-03-08	2011-07-29
159	Tin, Yuk 田旭			Rep	2009-01-21	2009-04-28
160	Tsuen, Gloria Kai 全佳		F	Rep	2013-05-09	2014-10-20
161	Tsui, Wai Chi 徐偉智			Rep	2009-01-20	2011-03-05
162	Tudoran, Anamaria			Rep	2013-11-06	2014-09-24
163	Tuthill, David Theodore		M	Rep	2007-10-17	2008-08-30
164	Uchida, Kikuko 內田喜久子			Rep	2009-12-01	2010-07-14
165	Vendt, Erik Karl		M	Rep	2011-11-17	2012-04-18
166	Wan, Vivian 王曉昱		F	Rep	2013-09-16	2015-06-30
167	Wang, Chih Hsiang 王致翔			Rep	2011-03-07	2011-06-13
				RO	2011-06-13	2012-02-26
168	Watts, Nigel Owen		M	Rep	2009-01-20	2011-10-31
				RO	2011-10-31	2012-04-30
				Rep	2012-05-09	2013-04-04
169	Weil, Daniel Scott		M	Rep	2006-09-04	2006-12-03
				Rep	2007-04-26	2007-07-27
				Rep	2007-11-12	2009-06-15
170	White, Brian John (SFC:BDE457)		M	Rep	2014-04-01	2014-07-01
171	Wong, Jackie Kin Fung 黃建峰			Rep	2009-05-04	2011-07-29
172	Wong, Kwun Hung 王冠雄			Rep	2007-10-17	2009-05-04
173	Wong, Rebecca Shuk Ping 黃家蔚		F	Rep	2010-09-10	2011-03-05
174	Wong, Wah Lam 黃華林			Rep	2007-05-10	2007-09-22
175	Wong, Wai Hin 黃偉軒			Rep	2011-01-24	2013-04-11
176	Wong, Wai Yan (SFC:AWY281) 黃蔚茵			Rep	2011-03-14	2014-10-17
177	Wong, Yiu Ming (SFC:ACK380) 黃耀明			Rep	2010-03-03	2010-04-22
				RO	2010-04-22	2011-03-05
178	Work, David Lyall		M	RO	2004-07-15	2008-07-23
179	Yang, Chung-chih 楊重志			Rep	2011-03-22	2011-12-14
180	Yang, Seungju			Rep	2015-07-27	2016-01-15
181	Yen, Chanan 霍震南	36	M	Rep	2011-01-24	2011-12-16
182	Yeung, Suen Leong 楊孫亮			Rep	2010-08-30	2011-02-25
183	Yi, Jiaru 易珈如			Rep	2012-08-31	2013-01-19
184	Yi, Kang Woo			Rep	2011-09-26	2011-10-26
185	Yip, Anthony Wing Kai 葉永楷		M	Rep	2010-03-03	2010-03-23
				RO	2010-03-23	2011-03-05
186	Yong, Fen Choong			Rep	2011-01-06	2011-10-11
187	Yoon, Yong Jin			Rep	2012-07-06	2018-05-14
188	Yoshikawa, Kanae 吉川佳苗			Rep	2015-11-02	2016-03-18
189	Young, Timothy James		M	Rep	2007-05-16	2010-05-31
190	Yuen, Lai Ling 袁麗鈴			Rep	2013-10-07	2014-10-23
191	Zhang, Chulong 张楚泷			Rep	2014-07-31
192	Zhang, Heather Heqian		F	Rep	2013-09-16	2014-01-10
193	Zhang, Jingshao 張靜韶			Rep	2011-01-28	2011-03-05
194	Zhang, Wei (SFC:AQD327) 張威			Rep	2007-12-12	2008-08-21
195	Zhou, Yun (SFC:BCS988) 周芸			Rep	2014-08-13	2016-02-22
196	Zhu, Kai (SFC:AHC311) 朱凱			Rep	2009-04-06	2015-06-04

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