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 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 2013	⚥	Role	From	Until
1	Ashworth, William David		M	Rep	2013-07-09	2013-07-10
2	Barnard, David (SFC:AVD117)		M	Rep	2012-02-28	2012-03-01
				Rep	2012-08-27	2012-08-29
3	Barua, Chirantan (SFC:AZT869)			Rep	2012-07-10	2012-07-11
				Rep	2013-01-23	2013-01-24
4	Beveridge, Neil Alexander Stewart		M	RO	2011-09-28
5	Bian, Lu 邊璐			Rep	2011-10-24	2016-06-27
6	Brackett, Robert Alan		M	Rep	2013-03-25	2013-03-28
7	Chan, Jean Ching Lan 陳靜蘭			Rep	2013-05-16	2016-04-17
8	Chen, Mo (SFC:AYI933) 陳默			Rep	2011-10-31	2014-02-15
9	Chen, Xue Liang 陈学亮			Rep	2013-09-19	2017-01-19
10	Chen, Yen-Fu 陳彥甫			Rep	2013-03-13	2014-07-11
11	Cheng, Hua (SFC:AXQ586) 程華			Rep	2011-10-27	2014-05-12
12	Chia, Kiara Kim Szu Shyan			Rep	2011-10-24	2013-04-02
				Rep	2013-04-05	2013-04-09
				Rep	2013-10-31	2013-11-01
13	Ching, Yi Edmund		M	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
14	Chung, Ka Po 鍾家寶			Rep	2011-10-24	2022-07-18
15	Clint, Oswald Conan		M	Rep	2013-11-28	2013-11-29
16	Cox, Mark Henry 郭馬克		M	RO	2011-09-28	2022-03-31
17	Crispin, James Anthony		M	Rep	2013-05-13	2018-10-05
18	Dai, Hao (SFC:BAX544) 戴浩			Rep	2013-02-20	2020-08-31
19	Dibadj, Ali M			Rep	2013-03-25	2013-03-31
20	Feng, Siwei 馮思為			Rep	2012-08-16	2013-06-22
21	Ferragu, Pierre Charles Louis Hubert Marie		M	Rep	2012-03-05	2012-03-07
				Rep	2012-03-19	2012-03-20
				Rep	2012-09-05	2012-09-05
22	Gait, Paul Joseph Douglas		M	Rep	2013-12-05	2013-12-06
23	Garcia, Cristobal Antonio		M	Rep	2011-10-24	2021-06-30
24	Gordon, Daniel (SFC:AHE138)		M	RO	2011-09-28	2024-04-09
25	Gupta, Gaurav (SFC:BAH386)			Rep	2012-10-15	2012-10-19
26	Harned, Douglas Stuart		M	Rep	2012-10-31	2012-11-05
				Rep	2013-11-01	2013-11-10
27	Henderson, Samuel Thomas		M	Rep	2011-10-24	2013-06-26
28	Herman, Neal Thomson			Rep	2013-01-07	2014-07-14
29	Ho, Purdy Pin Pin 何翩翩			Rep	2013-04-15	2014-01-11
30	Hou, Wei (SFC:BBW930) 侯煒			Rep	2013-09-19	2017-07-24
31	Hu, Jinge 胡金戈			Rep	2013-07-22	2015-09-26
32	Huang, Jie (SFC:BBF165) 黃頡			Rep	2013-04-30	2022-07-21
33	Hulkunte Nagaraj, Ayush			Rep	2011-10-24	2019-02-22
34	Kim, Jaehee 金宰熙			Rep	2013-07-31	2016-03-25
35	Kim, Joshua Taehyun		M	Rep	2011-10-24	2012-05-18
36	Ko, Raymond 高力文		M	Rep	2011-10-24	2012-12-11
37	Koay, Siu Choon 郭修俊			Rep	2011-10-27	2013-03-09
38	Koo, Da Wan 丘多完			Rep	2012-07-27	2013-12-28
39	Kwek, Kevin Siew Beng		M	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
40	Lane, Christopher Allen		M	Rep	2013-07-05	2020-07-31
41	Lau, Gilbert Kin Chi 劉健智			Rep	2011-10-24	2011-12-28
42	Lau, Johnny Ka Ki 劉家棋		M	Rep	2011-10-24	2021-08-27
43	Lau, Vanessa Bik Yun 劉碧茵	41	F	Rep	2012-01-27	2015-09-13
44	Leung, Alex Sing Pong 梁承邦			Rep	2011-10-24	2015-11-23
45	Li, Hsinlin 李欣霖			Rep	2011-10-24
46	Lian, Ziqi 練子淇			Rep	2013-12-04	2016-02-06
47	Liang, Michelle Alison Hing Man 梁馨文		F	Rep	2011-10-24	2013-08-31
48	Lin, Jie (SFC:BBI105) 林洁			Rep	2013-05-27	2014-09-20
49	Lou, Ying (SFC:AVV243) 樓瑩			Rep	2011-10-24	2013-09-08
50	Lu, Hui-Chen 呂慧珍			Rep	2011-10-24	2013-02-09
51	Marchesseau, Eric Jacques		M	Rep	2013-05-06	2013-10-10
				RO	2013-10-10
52	Mareschal De Charentenay, Ghislain Baptiste Marie (SFC:AXW260)		F	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
53	Miles, Michael Christopher		M	Rep	2012-07-03	2016-09-25
54	Moel Modiano, Alberto		M	Rep	2011-10-24	2017-06-30
55	Newman, Mark Christopher (SFC:AVK470)		M	Rep	2011-10-24	2021-02-12
56	Ong, Chi Sheng 王其勝			Rep	2013-06-04	2014-06-01
57	Ortelli, Mario Zaccaria Carlo		M	Rep	2013-06-17	2013-06-24
58	Parker, Michael Wade		M	Rep	2011-10-24	2016-11-02
59	Prozesky, Paul Martin		M	Rep	2012-06-19	2012-06-20
60	Qiu, Wangshu 裘望舒			Rep	2011-10-24	2013-08-23
61	Redenius, Jeremy Martin		M	Rep	2013-06-03	2013-06-04
62	Ritter, Andrew Jacob		M	Rep	2012-04-05	2013-01-04
63	Shim, Aidan Taehoon			Rep	2012-02-07	2012-08-27
64	Shiu, Yik Hung 蕭奕雄			Rep	2013-05-06	2016-07-01
65	Stirling, Joshua C		M	Rep	2013-03-25	2013-03-26
66	Stirling, Trevor John (SFC:AXK433)		M	Rep	2012-06-28	2012-06-29
67	Sun Mattison, Linda Wu		F	Rep	2013-05-03	2015-10-16
68	Tam, Jeffrey Lap Hang 談立亨		M	Rep	2013-06-11	2013-09-02
69	Tang, Ernest Yiu Man 鄧耀民		M	Rep	2013-02-20	2019-09-06
70	Tiano, Joseph Salvatore		M	Rep	2011-10-24	2013-06-29
71	Topouzoglou, Norbert Mihran		M	Rep	2012-04-23	2018-05-25
72	Tsang, Kenneth Ky Sung 曾紀崇		M	Rep	2012-04-17	2014-01-09
73	Tse, Jaff Ka Wai 謝家威			RO	2011-09-28	2018-09-26
74	Tsui, Eva Tsun Ying 徐俊英		F	Rep	2012-06-15	2013-07-08
75	Van Brugge, Robert Pieter		M	RO	2011-09-28
76	Vyas, Joy (SFC:BBJ069)			Rep	2013-05-30	2013-05-31
				Rep	2013-11-13	2013-11-15
77	Wang, Huan (SFC:AWI425) 王歡			Rep	2013-03-25	2015-09-20
78	Wang, Lu (SFC:AXX186) 王璐			Rep	2011-10-24	2015-02-04
79	Warburton, Max Eliot Adair			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
80	Wen, Bo (SFC:BAD547) 文博			Rep	2012-09-04	2016-01-30
81	Werner, Michael Joseph		M	Rep	2011-10-24	2013-09-11
				Rep	2013-10-28	2013-11-10
				Rep	2013-12-09	2013-12-15
82	Winoker, Steven Eric		M	Rep	2013-06-20	2013-06-24
83	Wong, Christopher Chi Kin (SFC:AXO118) 黃子建		M	Rep	2011-10-24	2018-01-28
84	Wood, Andrew Dennis		M	Rep	2011-12-08	2011-12-09
				Rep	2013-07-24	2013-07-24
85	Wright, Thomas Rowe		M	Rep	2012-04-23	2012-04-27
86	Zhang, Liang (SFC:AVA073)			Rep	2011-10-24	2012-02-29
87	Zheng, Zhi (SFC:BBP885) 鄭直			Rep	2013-07-22	2014-06-20
88	Zhou, Jing (SFC:BAA703) 周璟			Rep	2013-04-05	2016-05-22
89	Zhu, Binbin (SFC:AYQ808) 朱璸鑌			Rep	2012-06-07

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