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

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