UBS DERIVATIVES HONG KONG LIMITED
SFC licensees
RO=Responsible Officer, Rep=Representative
| Name | Age in 2015 |
⚥ | Role | From | Until | |
|---|---|---|---|---|---|---|
| 1 | Advani, Neil L | M | Rep | 2011-07-12 | 2012-02-08 | |
| 2 | Agarwal, Yash | Rep | 2010-02-01 | 2016-07-05 | ||
| 3 | Arora, Dhruv (SFC:ARG980) | Rep | 2013-06-19 | 2015-04-30 | ||
| 4 | Atkinson, James Anthony Thomas | M | Rep | 2010-05-25 | 2014-04-29 | |
| 5 | Au, Alexander Pak Cheung 區柏祥 | 39 | M | Rep | 2004-05-18 | 2008-03-11 |
| 6 | Audi, Elias | M | Rep | 2013-11-18 | 2016-12-18 | |
| 7 | Balani, Pankaj | Rep | 2007-07-03 | 2008-06-01 | ||
| 8 | Bansal, Navneet Kumar | M | Rep | 2006-08-24 | 2010-03-25 | |
| 9 | Barros Iii, Belmiro Jose | Rep | 2006-10-02 | 2007-03-30 | ||
| 10 | Becchetti, James Patrick | M | Rep | 2015-09-18 | 2015-09-30 | |
| 11 | Beshke, Clarence John | M | RO | 2005-05-20 | ||
| Rep | 2005-05-20 | 2009-03-24 | ||||
| RO | 2009-03-24 | 2009-09-15 | ||||
| Rep | 2009-09-15 | 2013-11-16 | ||||
| 12 | Bessent, Marcel Peter | 45 | M | Rep | 2010-09-02 | 2010-11-20 |
| 13 | Best, David Gareth | M | Rep | 2011-03-22 | 2011-04-15 | |
| Rep | 2013-04-11 | 2016-12-18 | ||||
| 14 | Blackburn, Andrew James (SFC:AJE473) | M | Rep | 2003-09-29 | 2003-12-10 | |
| 15 | Blanchard, Scott Allen | M | Rep | 2013-05-07 | 2016-12-18 | |
| 16 | Boeding, Jacob Francis | M | Rep | 2012-12-07 | 2014-03-03 | |
| 17 | Bordat-Maldonado Parra, Adrien Paul Augustin | M | Rep | 2013-04-18 | 2016-12-18 | |
| 18 | Bradshaw, John (SFC:AHC328) | M | Rep | 2005-03-24 | ||
| 19 | Buffham, Laura Jayne | F | Rep | 2013-07-02 | 2016-12-18 | |
| 20 | Cai, Deyan 蔡德焱 | Rep | 2013-07-23 | 2014-05-03 | ||
| 21 | Cai, Zhibin (SFC:AYC190) 蔡志斌 | Rep | 2011-10-03 | 2016-12-18 | ||
| 22 | Chan, Brian Hon Kei 陳漢基 | M | Rep | 2004-04-15 | 2009-04-22 | |
| 23 | Chan, Chun Yin (SFC:BBK468) 陳俊彥 | Rep | 2015-08-28 | 2016-12-18 | ||
| 24 | Chan, Kristy Ling Tung 陳令彤 | F | Rep | 2015-07-08 | 2016-07-23 | |
| 25 | Chan, Kwan Wah 陳君華 | Rep | 2012-05-07 | 2016-12-18 | ||
| 26 | Chan, Su-Li 陳淑麗 | Rep | 2015-01-20 | 2016-12-18 | ||
| 27 | Chandler, Benjamin Victor Michael | M | Rep | 2011-06-29 | 2012-05-24 | |
| RO | 2012-05-24 | 2016-12-18 | ||||
| 28 | Chen, Boliang 陳柏良 | Rep | 2013-09-05 | 2014-03-13 | ||
| 29 | Chen, Chao (SFC:BDI755) 陳超 | Rep | 2014-04-28 | 2014-10-25 | ||
| 30 | Chen, Dennis Chih Chieh 陳智傑 | M | Rep | 2015-06-19 | 2016-12-18 | |
| 31 | Cheng, Anthony Roger 陳若嘉 | M | Rep | 2014-02-05 | 2016-12-18 | |
| 32 | Cheng, Jimmy Min Tat 鄭勉達 | M | RO | 2007-04-28 | ||
| 33 | Cheng, Ke (SFC:BDT161) 程珂 | Rep | 2014-07-14 | 2016-06-28 | ||
| 34 | Chiu, Winnie Mo Sze 趙慕詩 | F | Rep | 2009-09-28 | 2010-11-09 | |
| RO | 2010-11-09 | 2012-11-10 | ||||
| 35 | Choi, Iris Heung Kam 蔡香琴 | F | Rep | 2011-10-17 | 2015-11-18 | |
| 36 | Choi, Sheung Ngai 蔡尚毅 | Rep | 2015-05-05 | 2016-12-18 | ||
| 37 | Chu, Peter | M | Rep | 2004-08-06 | 2007-02-23 | |
| 38 | Clifford, Timothy Edward | M | Rep | 2013-07-15 | 2016-12-18 | |
| 39 | Coffeng, John Martinus (SFC:ADJ820) | M | Rep | 2009-06-10 | ||
| RO | 2009-06-10 | 2010-09-06 | ||||
| 40 | Combalot, Laurent Benoit Georges | M | RO | 2005-07-08 | 2005-11-29 | |
| Rep | 2005-11-29 | 2009-05-06 | ||||
| RO | 2009-05-06 | 2016-12-18 | ||||
| 41 | Conley, Richard Adrian | M | Rep | 2011-11-11 | 2016-12-18 | |
| 42 | Constable, Anthony Joseph Peregrine | M | Rep | 2015-08-05 | 2015-08-14 | |
| 43 | Cordonnier, Maxime Nicolas Bruno | M | Rep | 2011-09-19 | 2013-04-18 | |
| 44 | Couki, Mehdi (SFC:BGN225) | Rep | 2015-11-23 | 2015-12-07 | ||
| 45 | Craig-Wood, Christopher John | M | Rep | 2010-05-25 | 2011-01-11 | |
| RO | 2011-01-11 | 2016-03-15 | ||||
| 46 | Currey, Stuart Dalyn | M | Rep | 2011-09-12 | 2014-02-28 | |
| 47 | Davis, Christopher Edward | M | Rep | 2014-05-19 | 2016-12-18 | |
| 48 | De Taffanel De La Jonqviere, Emmanuel Pierre Marie Jean | Rep | 2014-08-21 | 2014-09-02 | ||
| 49 | Delterme, Antoine Pierre Marie | M | Rep | 2010-07-26 | 2011-03-15 | |
| 50 | Dhake, Pankaj Jaysing | Rep | 2013-05-20 | 2016-04-16 | ||
| 51 | Donan, Keith | M | Rep | 2011-05-19 | 2014-03-14 | |
| 52 | Donnelly, Anthony Michael | M | Rep | 2004-07-06 | 2005-06-29 | |
| 53 | Easterbrook, Trevor Stephen | M | Rep | 2004-02-23 | ||
| 54 | Faure, Olivier Pierre | M | Rep | 2011-07-06 | 2013-01-25 | |
| 55 | Fekete, Georgia Kate | F | Rep | 2015-01-23 | 2016-07-08 | |
| 56 | Feschet, Boris Xavier | M | Rep | 2012-04-10 | 2016-01-19 | |
| 57 | Fok, Ronald King Man 霍敬文 | 38 | M | Rep | 2005-03-24 | |
| Rep | 2010-07-22 | 2016-12-18 | ||||
| 58 | French, Bruce Ian | M | Rep | 2013-06-27 | 2016-12-18 | |
| 59 | Gangal, Shrinivas Ravindra | M | Rep | 2013-07-10 | 2016-05-20 | |
| 60 | Goh, Leng Teck | Rep | 2014-05-27 | 2015-02-18 | ||
| Rep | 2015-08-03 | 2015-08-07 | ||||
| Rep | 2015-09-18 | 2015-09-25 | ||||
| 61 | Goraieb, Amine | Rep | 2011-03-28 | 2013-05-25 | ||
| 62 | Gou, Wenhui 勾文慧 | Rep | 2015-06-22 | 2015-09-12 | ||
| 63 | Gray, David Paul | M | RO | 2010-06-22 | 2011-07-18 | |
| 64 | Guan, Bo 關博 | Rep | 2013-09-18 | 2015-06-06 | ||
| 65 | Guez, Ilane Yonathan Pierre | M | Rep | 2015-08-03 | 2016-12-18 | |
| 66 | Gupta, Puneet (SFC:AXF254) | Rep | 2011-05-03 | 2014-06-14 | ||
| 67 | Gupta, Shivam (SFC:APC574) | Rep | 2007-06-18 | 2011-04-02 | ||
| 68 | Guy, Stephane Edouard Andre | M | Rep | 2011-05-05 | 2012-10-25 | |
| 69 | Han, Chia Lei 韓嘉蕾 | Rep | 2010-03-19 | 2016-12-18 | ||
| 70 | Hayek, Rami Gebran | Rep | 2011-02-14 | 2012-09-01 | ||
| 71 | Herbert, Thomas William (SFC:BAI196) | M | Rep | 2012-11-01 | 2016-12-18 | |
| 72 | Ho-Hio-Hen, Christelle Nga Sok | Rep | 2010-08-09 | 2011-09-01 | ||
| 73 | Ho, Tsz Leung 何子樑 | Rep | 2003-09-02 | 2016-12-18 | ||
| 74 | Holmewood, Philip James | M | Rep | 2010-11-01 | 2014-03-14 | |
| 75 | Holroyd, Alistair Hugo | M | Rep | 2015-11-25 | 2016-12-18 | |
| 76 | Hong, Shaw-Shiun 洪紹勛 | Rep | 2004-08-20 | 2009-04-22 | ||
| 77 | Horiuchi, Shinichiro 堀内伸一郎 | Rep | 2013-07-18 | 2014-05-10 | ||
| 78 | Hu, Jing (SFC:BDI053) 胡靜 | Rep | 2014-04-28 | 2016-12-18 | ||
| 79 | Hu, Xisha 胡錫莎 | Rep | 2008-05-14 | 2008-08-16 | ||
| 80 | Innerdale, David James | M | RO | 2011-06-23 | 2016-12-18 | |
| 81 | Israel, Adrien Jacob | M | Rep | 2013-10-03 | 2016-05-20 | |
| 82 | Jeon, Woonki 全沄基 | Rep | 2015-07-10 | 2016-11-03 | ||
| 83 | Jonker, Hendrik (SFC:AXB227) | Rep | 2011-03-22 | 2011-06-01 | ||
| 84 | Joseph Pulpel, Savio | M | Rep | 2011-05-03 | 2016-12-18 | |
| 85 | Joshi, Deepak (SFC:AZI921) | M | Rep | 2014-03-05 | 2016-05-20 | |
| 86 | Kansal, Mohit (SFC:ATX900) | Rep | 2009-10-21 | 2012-03-31 | ||
| 87 | Kengeter, Carsten Norbert (SFC:ANM959) | Rep | 2009-02-09 | 2013-06-01 | ||
| 88 | Keung, Jun Chao 姜駿超 | Rep | 2015-08-14 | 2016-12-18 | ||
| 89 | Kim, Yoon Seung | Rep | 2007-01-25 | 2008-05-07 | ||
| 90 | Kraska, Benjamin Niklas | M | Rep | 2012-12-13 | 2013-02-28 | |
| 91 | Kudalkar, Samarth | Rep | 2015-05-08 | 2016-12-18 | ||
| 92 | Kushal, Avanish Mira | Rep | 2007-07-04 | 2009-08-15 | ||
| 93 | Lai, Johnson Kai Tsun 黎啟進 | M | Rep | 2008-07-02 | 2009-07-10 | |
| 94 | Lam, Eric Christopher | M | Rep | 2007-11-26 | 2008-02-24 | |
| Rep | 2008-02-28 | 2008-12-18 | ||||
| 95 | Langner, Gilbert Fred | M | Rep | 2010-10-14 | 2012-10-25 | |
| 96 | Lau, Homan 劉浩文 | Rep | 2013-07-12 | 2015-05-24 | ||
| 97 | Law, Ka Fai (SFC:APH953) 羅家輝 | Rep | 2011-04-13 | 2013-02-01 | ||
| 98 | Lee, Hyun Jae (SFC:AHN694) 李賢宰 | Rep | 2007-04-19 | |||
| Rep | 2010-09-27 | 2016-06-11 | ||||
| 99 | Lee, Michel Kai Tai 李啟泰 | M | Rep | 2013-06-20 | 2016-12-18 | |
| 100 | Lee, Samuel Man Fat 李萬發 | 46 | M | Rep | 2004-12-03 | 2009-09-05 |
| 101 | Lee, Simon Chun Kit 李俊傑 | 39 | M | Rep | 2009-04-22 | |
| 102 | Lent, Nicholas Alexander | M | Rep | 2009-11-19 | 2011-06-28 | |
| 103 | Leung, Wing Yan (SFC:AUW488) 梁穎恩 | Rep | 2010-03-12 | 2014-07-22 | ||
| 104 | Li, Chun Wai (SFC:AOL205) 李俊蔚 | Rep | 2009-08-28 | 2016-06-21 | ||
| 105 | Li, Jingshu 李京書 | Rep | 2014-08-05 | 2016-12-18 | ||
| 106 | Li, Man Wing 李文穎 | Rep | 2005-05-24 | 2014-10-01 | ||
| 107 | Li, Mavis Qiwen 李綺雯 | F | Rep | 2012-05-10 | 2016-12-18 | |
| 108 | Lim, Pek Kueen | Rep | 2014-05-26 | 2016-12-18 | ||
| 109 | Lo, Shui Wah 盧萃樺 | Rep | 2010-07-27 | 2014-02-11 | ||
| 110 | Lock, Timothy James | M | Rep | 2011-07-18 | 2016-12-18 | |
| 111 | Lu, Hao Feng 呂豪鋒 | Rep | 2008-07-21 | 2012-11-15 | ||
| 112 | Lu, Qing (SFC:BEZ264) 盧青 | Rep | 2015-02-23 | 2016-12-18 | ||
| 113 | Lynch, Simon James | M | Rep | 2007-08-01 | 2009-05-13 | |
| 114 | Maguire, Raymond | M | Rep | 2006-09-29 | 2008-10-18 | |
| 115 | Mak, Hin Chun 麥顯俊 | Rep | 2013-08-05 | 2016-12-18 | ||
| 116 | Man, Kam Chiu 文錦超 | Rep | 2006-10-02 | 2008-04-17 | ||
| 117 | Matsumoto, Jun 松本淳 | Rep | 2013-04-05 | 2016-12-18 | ||
| 118 | McCormick, Neil John | M | Rep | 2009-11-11 | 2010-06-21 | |
| 119 | McNulty, Peter Richard | M | Rep | 2013-08-12 | 2016-12-18 | |
| 120 | Melwani, Rajesh Ramesh (SFC:AEU252) | M | Rep | 2009-03-13 | ||
| RO | 2009-03-13 | 2010-01-26 | ||||
| 121 | Mok, Hoi Chung 莫海忠 | Rep | 2010-03-02 | 2011-05-03 | ||
| 122 | Mok, Kwan Ho (SFC:AXS235) 莫君豪 | Rep | 2014-03-05 | 2016-12-18 | ||
| 123 | Moon, Jae Wook 文裁煜 | Rep | 2007-07-23 | 2014-05-08 | ||
| 124 | Morris, Robert (SFC:AZM831) 銘陽 | M | Rep | 2012-05-31 | 2016-10-12 | |
| 125 | Motwani, Natasha Murli | F | Rep | 2010-02-09 | 2016-12-18 | |
| 126 | Nakada, Masakatsu | Rep | 2015-11-12 | 2016-11-09 | ||
| 127 | Nelson, Ryan Wesley (SFC:AQX958) | M | Rep | 2011-09-30 | 2016-05-20 | |
| 128 | Ng, Chun Wai (SFC:AMF277) 吳俊威 | Rep | 2007-06-07 | 2009-07-10 | ||
| 129 | Ng, Kwong Man 吳光民 | Rep | 2005-07-04 | 2008-03-15 | ||
| 130 | Ng, Pui Ying (SFC:BBP903) 吳珮瑩 | Rep | 2013-07-25 | 2015-07-25 | ||
| 131 | Ng, Wai Kwong (SFC:ADJ383) 吳衛剛 | Rep | 2006-10-02 | 2008-04-17 | ||
| 132 | Nguyen, The-Xuan-Dieu | Rep | 2014-01-29 | 2014-03-08 | ||
| 133 | Ning, Feng Tao | Rep | 2008-05-05 | 2009-05-02 | ||
| Rep | 2009-07-30 | 2012-03-17 | ||||
| 134 | Novak, Alexander Stanley | M | Rep | 2009-07-20 | 2016-12-18 | |
| 135 | O'Meara, Christopher James Sidney | M | Rep | 2010-07-06 | 2010-10-27 | |
| RO | 2010-10-27 | 2014-04-10 | ||||
| 136 | Pal, Andrew Leslie | M | Rep | 2004-06-24 | 2014-04-12 | |
| 137 | Pan, Gaowa 潘高娃 | Rep | 2013-03-28 | 2014-05-09 | ||
| 138 | Pang, Kenneth Kwok Kit 彭國傑 | M | RO | 2005-05-19 | 2009-04-08 | |
| 139 | Parakh, Archit | Rep | 2013-08-30 | 2016-12-18 | ||
| 140 | Park, Min | RO | 2004-07-29 | 2009-04-15 | ||
| 141 | Ping, Lanphie Chi-Wen | Rep | 2012-07-09 | 2014-03-13 | ||
| 142 | Pitts, Greenfield Spenceley | Rep | 2006-06-29 | 2007-02-01 | ||
| 143 | Rachit, Raj | M | Rep | 2015-08-24 | 2016-12-18 | |
| 144 | Raskin, Iain Alexander (SFC:BAX616) | M | Rep | 2014-09-03 | 2016-12-18 | |
| 145 | Scott, Christopher (SFC:ATO855) | M | Rep | 2012-11-27 | 2013-08-22 | |
| RO | 2013-08-22 | 2016-06-25 | ||||
| 146 | Shen, Allan Hung Yat 沈鴻逸 | M | Rep | 2006-10-02 | 2007-06-30 | |
| 147 | Shen, Jiawen (SFC:ANQ097) 沈佳雯 | Rep | 2014-05-26 | 2016-12-18 | ||
| 148 | Shu, Hon Tak 徐漢德 | Rep | 2012-11-27 | 2014-02-24 | ||
| 149 | Sillam, Jonathan Charles Marc | M | Rep | 2010-02-09 | 2014-04-11 | |
| 150 | Slaoui, Mohammed Saad | M | Rep | 2011-09-20 | 2016-12-18 | |
| 151 | Smith, Paul Savile | M | Rep | 2014-05-19 | 2016-12-18 | |
| 152 | So, Nelson Shing Hing 蘇盛興 | M | Rep | 2006-10-02 | 2008-04-17 | |
| 153 | Song, Chaoran 宋超然 | Rep | 2014-05-19 | 2016-12-18 | ||
| 154 | Soo, Joon Shern 蘇駿昇 | Rep | 2015-10-02 | 2016-12-18 | ||
| 155 | Spielhofer, Philippe Marc | M | Rep | 2011-05-17 | 2015-09-01 | |
| 156 | Stead, David Andrew (SFC:AQT298) | M | Rep | 2008-04-07 | 2013-06-29 | |
| Rep | 2014-09-22 | 2016-12-18 | ||||
| 157 | Steele, Patrick James | M | Rep | 2014-03-03 | 2016-12-18 | |
| 158 | Strachan, David Lyall | M | Rep | 2013-10-15 | 2016-12-18 | |
| 159 | Subramaniam, Mohan (SFC:ADD198) | Rep | 2006-10-02 | 2007-05-22 | ||
| RO | 2007-05-22 | 2008-11-06 | ||||
| 160 | Suen, Kin Dick 孫堅迪 | Rep | 2010-07-13 | 2016-12-18 | ||
| 161 | Sum, Hing Man 岑慶文 | Rep | 2014-04-11 | |||
| 162 | Sun, Yiqian (SFC:ATV809) 孫逸潜 | Rep | 2009-10-05 | 2011-04-13 | ||
| 163 | Sung, Yoon Kyu | Rep | 2013-07-24 | 2016-12-18 | ||
| 164 | Takahashi, Taichi 高橋太一 | Rep | 2012-08-17 | 2013-04-18 | ||
| RO | 2013-04-18 | 2013-11-18 | ||||
| Rep | 2013-11-18 | 2015-07-18 | ||||
| 165 | Tan, Freddie Kuok Lin | Rep | 2009-03-27 | 2015-11-24 | ||
| RO | 2015-11-24 | 2016-12-18 | ||||
| 166 | Tang, Ming Wai (SFC:AIH670) 鄧明緯 | Rep | 2005-04-07 | 2009-04-06 | ||
| 167 | Tang, Minyi 唐敏毅 | Rep | 2011-01-28 | 2015-04-15 | ||
| 168 | Tong, David Doe-hung 湯道鴻 | M | Rep | 2011-05-19 | 2014-01-09 | |
| 169 | Tropper, Giselle Natalia | Rep | 2014-03-13 | 2016-12-18 | ||
| 170 | Walkom, Adam Glen | M | Rep | 2007-07-09 | 2007-08-09 | |
| 171 | Wan, Yew Chye 范有財 | Rep | 2006-10-02 | 2012-02-07 | ||
| 172 | Wang, Xiaolei (SFC:APP106) 王小磊 | F | Rep | 2007-09-21 | 2009-08-15 | |
| 173 | Wannenmacher, Tim | M | Rep | 2011-05-12 | 2014-01-07 | |
| RO | 2014-01-07 | 2016-12-18 | ||||
| 174 | Werrmann, Alf | Rep | 2011-01-31 | 2012-10-25 | ||
| 175 | Wong, Donald Ho Lun 黃浩麟 | M | Rep | 2007-07-19 | 2016-12-18 | |
| 176 | Wong, Gary Hiu-Gar 黃曉嘉 | M | Rep | 2013-09-13 | 2016-01-16 | |
| 177 | Wong, Kelman Kai Man 王啟民 | Rep | 2014-08-13 | 2016-12-18 | ||
| 178 | Wong, Schenken 黃尚勤 | Rep | 2008-03-28 | 2010-03-15 | ||
| 179 | Wong, Stephen (SFC:AJO207) 黃錦豪 | M | Rep | 2004-03-19 | 2008-04-30 | |
| 180 | Wu, Bun Lerd Bernard 胡斌畧 | Rep | 2010-10-05 | 2016-12-18 | ||
| 181 | Xi, Jiahe 郗加河 | Rep | 2014-06-05 | 2015-03-28 | ||
| 182 | Xiong, Chaoyu 熊超宇 | Rep | 2014-04-07 | 2015-07-08 | ||
| 183 | Xu, Huifang 徐惠芳 | Rep | 2015-09-02 | 2016-12-18 | ||
| 184 | Xu, PeiLai 徐沛來 | Rep | 2014-07-07 | 2016-12-18 | ||
| 185 | Yanez Hinojosa, Anibal David | M | Rep | 2015-01-16 | 2016-08-27 | |
| 186 | Yang, Feng (SFC:BEZ148) 楊風 | Rep | 2015-02-16 | 2016-12-18 | ||
| 187 | Yen, Anna 嚴立恬 | F | Rep | 2010-06-28 | 2013-01-23 | |
| 188 | Yoon, Chi Won | RO | 2003-09-15 | 2005-06-09 | ||
| Rep | 2005-06-09 | 2016-07-25 | ||||
| 189 | Yuan, Qian (SFC:BBK056) 袁倩 | Rep | 2013-07-02 | 2016-12-18 | ||
| 190 | Yun, Heekyu | Rep | 2009-07-22 | 2010-03-07 | ||
| Rep | 2011-07-21 | 2016-12-18 | ||||
| 191 | Zalaket, Michael J | M | Rep | 2009-12-08 | 2010-01-19 | |
| 192 | Zhang, Shao Ying 張少英 | Rep | 2007-12-21 | 2009-07-10 | ||
| 193 | Zhao, Jingwen (SFC:BGA355) 趙婧文 | Rep | 2015-08-17 | 2015-08-30 | ||
| 194 | Zhu, Liping (SFC:ANT815) 朱力平 | Rep | 2008-02-25 | 2013-04-06 | ||
| 195 | Zhu, Weiqi 朱偉奇 | Rep | 2015-08-03 | 2016-12-18 |
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