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 2017	⚥	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
				Rep	2014-04-07	2014-04-08
				Rep	2015-01-26	2015-01-28
				Rep	2016-01-25	2016-01-26
				Rep	2017-02-07	2017-02-08
4	Beckel, David James		M	Rep	2017-10-30	2017-11-03
5	Beveridge, Neil Alexander Stewart		M	RO	2011-09-28
6	Bi, Zhongyuan 畢仲圓			Rep	2015-08-19	2016-05-28
7	Bian, Lu 邊璐			Rep	2011-10-24	2016-06-27
8	Brackett, Robert Alan		M	Rep	2013-03-25	2013-03-28
				Rep	2014-08-21	2014-08-22
				Rep	2015-03-03	2015-03-04
				Rep	2015-08-25	2015-09-02
				Rep	2016-08-30	2016-08-31
				Rep	2017-01-05	2017-01-06
9	Carney, Laura Emmet Nelson		M	Rep	2014-12-16	2018-03-09
10	Chan, Benjamin Yu Ki 曾裕基		M	Rep	2016-01-25
11	Chan, Jean Ching Lan 陳靜蘭			Rep	2013-05-16	2016-04-17
12	Chang, Fu-Ju 章馥如			Rep	2014-02-27	2018-06-06
13	Chen, Hsing Yu			Rep	2017-03-27	2019-12-08
14	Chen, Mo (SFC:AYI933) 陳默			Rep	2011-10-31	2014-02-15
15	Chen, Xue Liang 陈学亮			Rep	2013-09-19	2017-01-19
16	Chen, Yen-Fu 陳彥甫			Rep	2013-03-13	2014-07-11
17	Cheng, Hua (SFC:AXQ586) 程華			Rep	2011-10-27	2014-05-12
18	Cheng, Jiyi 程驥毅			Rep	2017-10-25	2020-03-13
19	Chhugani, Gautam Prakash		M	Rep	2016-11-23	2016-11-28
				Rep	2017-01-06	2017-01-10
				Rep	2017-03-13	2017-03-17
				Rep	2017-06-05	2017-06-09
				Rep	2017-08-28	2017-08-30
				Rep	2017-09-19	2017-09-22
20	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
				Rep	2014-09-15	2014-09-16
				Rep	2015-04-27	2015-04-28
				Rep	2015-10-07	2015-10-14
				Rep	2016-10-03	2016-10-04
				Rep	2017-09-18	2017-09-20
21	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
				Rep	2014-02-25	2014-02-27
				Rep	2014-04-23	2014-04-25
				Rep	2014-05-26	2014-05-28
				Rep	2014-08-18	2014-08-20
				Rep	2014-09-15	2014-09-19
				Rep	2014-10-29	2014-10-31
				Rep	2014-11-10	2014-11-11
				Rep	2015-01-21	2015-01-23
				Rep	2015-03-16	2015-03-18
				Rep	2015-04-27	2015-04-29
				Rep	2015-06-08	2015-06-12
				Rep	2015-07-13	2015-07-15
				Rep	2015-10-20	2015-10-24
				Rep	2015-12-07	2015-12-10
				Rep	2016-01-26	2016-01-28
				Rep	2016-02-17	2016-02-19
				Rep	2016-04-11	2016-04-13
				Rep	2016-07-11	2016-07-12
				Rep	2016-09-26	2016-09-28
				Rep	2016-11-07	2016-11-09
				Rep	2017-02-15	2017-02-17
				Rep	2017-03-21	2017-03-25
				Rep	2017-07-19	2017-07-21
				Rep	2017-09-27	2017-09-30
				Rep	2017-12-04	2017-12-07
22	Cho, Ik Hyun			Rep	2016-06-29	2021-04-03
23	Chung, Ka Po 鍾家寶			Rep	2011-10-24	2022-07-18
24	Clint, Oswald Conan		M	Rep	2013-11-28	2013-11-29
				Rep	2016-12-06	2016-12-07
25	Cox, Mark Henry 郭馬克		M	RO	2011-09-28	2022-03-31
26	Crispin, James Anthony		M	Rep	2013-05-13	2018-10-05
27	Dai, Hao (SFC:BAX544) 戴浩			Rep	2013-02-20	2020-08-31
28	Dibadj, Ali M			Rep	2013-03-25	2013-03-31
29	Feng, Siwei 馮思為			Rep	2012-08-16	2013-06-22
30	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
31	Fraser Jenkins, Inigo Lewis		M	Rep	2016-02-17	2016-02-19
32	Fu, Yuanning 符苑宁			Rep	2016-02-01	2018-03-09
33	Gait, Paul Joseph Douglas		M	Rep	2013-12-05	2013-12-06
34	Gao, Yawen (SFC:BDU945) 高雅文			Rep	2014-07-18	2016-07-30
35	Garcia, Cristobal Antonio		M	Rep	2011-10-24	2021-06-30
36	Garre, Venugopal			Rep	2016-06-27	2016-07-08
				Rep	2016-08-31	2016-09-02
				Rep	2017-01-06	2017-01-10
				Rep	2017-02-16	2017-02-17
				Rep	2017-04-06	2017-04-06
				Rep	2017-07-03	2017-07-07
				Rep	2017-08-29	2017-08-30
				Rep	2017-10-11	2017-10-13
37	Gong, Zhen (SFC:BIG500) 龔震			Rep	2016-09-22	2019-06-21
38	Gordon, Daniel (SFC:AHE138)		M	RO	2011-09-28	2024-04-09
39	Green, Nicholas James (SFC:BHT971)		M	Rep	2016-08-01	2016-08-02
40	Gudzinskaya, Alla			Rep	2016-02-17	2016-02-19
41	Gupta, Gaurav (SFC:BAH386)			Rep	2012-10-15	2012-10-19
42	Hao, Sijia 郝思佳			Rep	2017-09-12	2019-02-15
43	Harned, Douglas Stuart		M	Rep	2012-10-31	2012-11-05
				Rep	2013-11-01	2013-11-10
				Rep	2014-11-05	2014-11-11
				Rep	2015-11-02	2015-11-07
				Rep	2016-11-02	2016-11-07
				Rep	2017-10-30	2017-11-03
44	Henderson, Samuel Thomas		M	Rep	2011-10-24	2013-06-26
45	Herman, Neal Thomson			Rep	2013-01-07	2014-07-14
				Rep	2014-09-17	2014-09-29
				Rep	2017-11-06	2017-11-07
46	Ho, Purdy Pin Pin 何翩翩			Rep	2013-04-15	2014-01-11
47	Hogbin, Christopher Edward George		M	RO	2016-11-03	2018-03-12
48	Hou, Wei (SFC:BBW930) 侯煒			Rep	2013-09-19	2017-07-24
49	Houghton, Edward Luke		M	Rep	2014-12-05	2014-12-05
50	Hu, Jinge 胡金戈			Rep	2013-07-22	2015-09-26
51	Huang, Jie (SFC:BBF165) 黃頡			Rep	2013-04-30	2022-07-21
52	Huang, Yi-Chen 黃苡禎			Rep	2014-11-24	2015-07-21
53	Huang, Zhongran 黃鍾然			Rep	2017-09-20	2021-05-29
54	Hulkunte Nagaraj, Ayush			Rep	2011-10-24	2019-02-22
55	Hutton, Ian (SFC:ANR984)		M	Rep	2014-06-18	2016-08-11
				RO	2016-08-11	2018-10-01
56	Jangale, Gaurav Kundalik			Rep	2017-03-13	2017-03-17
57	Jin, Yueqi 金悦奇			Rep	2015-05-06	2017-10-27
58	Joshi, Sujeet			Rep	2017-01-05	2017-06-19
59	Juenger, Todd Michael		M	Rep	2016-06-15	2016-06-16
60	Kim, Jaehee 金宰熙			Rep	2013-07-31	2016-03-25
61	Kim, Joshua Taehyun		M	Rep	2011-10-24	2012-05-18
62	Kirjner Neto, Carlos		M	Rep	2014-11-07	2014-11-12
63	Ko, Raymond 高力文		M	Rep	2011-10-24	2012-12-11
64	Koay, Siu Choon 郭修俊			Rep	2011-10-27	2013-03-09
65	Koo, Da Wan 丘多完			Rep	2012-07-27	2013-12-28
66	Kurz, Clifford Waits 谷力佛		M	Rep	2015-05-19	2016-08-27
67	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
				Rep	2014-01-07	2014-01-10
				Rep	2014-02-04	2014-02-07
				Rep	2014-02-11	2014-02-20
				Rep	2014-04-14	2014-04-17
				Rep	2014-06-16	2014-06-17
				Rep	2014-06-25	2014-06-27
				Rep	2014-07-14	2014-07-16
				Rep	2014-09-03	2014-09-04
				Rep	2014-09-18	2014-09-20
				Rep	2014-11-10	2014-11-12
				Rep	2015-01-05	2015-01-08
				Rep	2015-02-09	2015-02-11
				Rep	2015-03-02	2015-03-04
				Rep	2015-04-27	2015-04-29
				Rep	2015-06-22	2015-06-25
				Rep	2015-07-13	2015-07-16
				Rep	2015-08-04	2015-08-07
				Rep	2015-08-31	2015-09-01
				Rep	2015-09-11	2015-09-15
				Rep	2015-11-16	2015-11-20
				Rep	2015-11-30	2015-12-01
				Rep	2016-01-14	2016-01-15
				Rep	2016-02-22	2016-02-24
				Rep	2016-03-21	2016-03-25
				Rep	2016-05-23	2016-05-26
				Rep	2016-07-08	2016-07-08
				Rep	2016-07-19	2016-07-22
				Rep	2016-08-31	2016-09-02
				Rep	2016-11-02	2016-11-04
				Rep	2017-01-06	2017-01-10
				Rep	2017-01-17	2017-01-26
				Rep	2017-03-20	2017-03-23
				Rep	2017-04-03	2017-04-07
				Rep	2017-07-18	2017-07-21
				Rep	2017-08-28	2017-08-30
				Rep	2017-10-16	2017-10-20
				Rep	2017-11-27	2017-11-30
68	Lam, Derek Matthew 林嘉誠		M	Rep	2014-11-24	2015-07-30
69	Lane, Christopher Allen		M	Rep	2013-07-05	2020-07-31
70	Lau, Gilbert Kin Chi 劉健智			Rep	2011-10-24	2011-12-28
71	Lau, Johnny Ka Ki 劉家棋		M	Rep	2011-10-24	2021-08-27
72	Lau, Vanessa Bik Yun 劉碧茵	45	F	Rep	2012-01-27	2015-09-13
73	Leung, Alex Sing Pong 梁承邦			Rep	2011-10-24	2015-11-23
74	Leung, Choi Ming 梁彩明			Rep	2017-09-08	2024-03-28
75	Li, Cheng (SFC:BIC748) 李铖			Rep	2016-08-31	2018-03-29
76	Li, Hsinlin 李欣霖			Rep	2011-10-24
77	Li, Kelman Jun Qiao 李駿翹			Rep	2015-12-24	2021-03-12
78	Li, Shuangxing 李双星			Rep	2015-08-31	2017-03-05
79	Lian, Ziqi 練子淇			Rep	2013-12-04	2016-02-06
80	Liang, Michelle Alison Hing Man 梁馨文		F	Rep	2011-10-24	2013-08-31
81	Lim, Marcus Brandon 林克傑		M	Rep	2015-06-09	2019-07-05
82	Lin, Jie (SFC:BBI105) 林洁			Rep	2013-05-27	2014-09-20
83	Liu, Chong (SFC:BEB923) 劉翀			Rep	2014-09-01	2018-03-09
84	Liu, Yang (SFC:BFC549) 劉洋			Rep	2015-03-16	2019-06-07
85	Liu, Zhenhua (SFC:BHT759) 劉振華			Rep	2016-07-08	2018-02-21
86	Lou, Ying (SFC:AVV243) 樓瑩			Rep	2011-10-24	2013-09-08
87	Lu, Hui-Chen 呂慧珍			Rep	2011-10-24	2013-02-09
88	Lu, Liyang 魯黎陽			Rep	2016-09-07	2018-03-28
89	Marchesseau, Eric Jacques		M	Rep	2013-05-06	2013-10-10
				RO	2013-10-10
90	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
91	McGranahan, Colin Andrew		M	Rep	2014-10-17	2014-10-24
92	McLeish, Euan Grant		M	Rep	2015-06-23	2022-12-31
93	Merriman, Jamie Susan		F	Rep	2014-06-17	2014-06-20
94	Miles, Michael Christopher		M	Rep	2012-07-03	2016-09-25
95	Moel Modiano, Alberto		M	Rep	2011-10-24	2017-06-30
96	Moerdler, Mark L		M	Rep	2015-01-05	2015-01-05
97	Newman, Mark Christopher (SFC:AVK470)		M	Rep	2011-10-24	2021-02-12
98	Ng, Stephanie (SFC:BLB234)		F	Rep	2017-10-18	2017-10-24
99	Ong, Chi Sheng 王其勝			Rep	2013-06-04	2014-06-01
100	Ortelli, Mario Zaccaria Carlo		M	Rep	2013-06-17	2013-06-24
				Rep	2014-02-26	2014-02-27
				Rep	2014-06-17	2014-06-20
				Rep	2015-03-16	2015-03-17
				Rep	2016-04-11	2016-04-13
				Rep	2017-11-13	2017-11-16
101	Ou Yang, Yan Ying Jamie		M	Rep	2016-01-15	2016-01-15
102	Oxgaard, Jonas Ingemar			Rep	2016-06-20	2016-06-22
103	Park, Soo Jin			Rep	2014-01-17	2015-02-04
104	Parker, Michael Wade		M	Rep	2011-10-24	2016-11-02
				RO	2016-11-02
105	Prozesky, Paul Martin		M	Rep	2012-06-19	2012-06-20
106	Pun, Hoi Ying 潘凱瀛			Rep	2015-09-14	2018-03-10
107	Qiu, Wangshu 裘望舒			Rep	2011-10-24	2013-08-23
108	Redenius, Jeremy Martin		M	Rep	2013-06-03	2013-06-04
109	Ritter, Andrew Jacob		M	Rep	2012-04-05	2013-01-04
110	Senatore, Sara Betty Harkavy		F	Rep	2015-05-11	2015-05-12
111	Shim, Aidan Taehoon			Rep	2012-02-07	2012-08-27
112	Shiu, Yik Hung 蕭奕雄			Rep	2013-05-06	2016-07-01
113	Stirling, Joshua C		M	Rep	2013-03-25	2013-03-26
114	Stirling, Trevor John (SFC:AXK433)		M	Rep	2012-06-28	2012-06-29
				Rep	2015-09-04	2015-09-04
				Rep	2016-05-13	2016-05-13
115	Su, Xuewei 蘇雪瑋			Rep	2017-04-06	2018-05-25
116	Sun Mattison, Linda Wu		F	Rep	2013-05-03	2015-10-16
				Rep	2016-01-18	2016-01-24
				Rep	2016-03-18	2016-03-29
				Rep	2016-05-23	2016-05-31
				Rep	2016-08-22	2016-09-02
				Rep	2016-10-24	2016-10-28
				Rep	2017-01-10	2017-01-24
				Rep	2017-03-22	2017-03-31
				Rep	2017-06-19	2017-06-30
				Rep	2017-08-18	2017-08-30
117	Sun, Xin (SFC:BHS412) 孫欣			Rep	2016-06-29	2020-09-13
118	Tam, Jeffrey Lap Hang 談立亨		M	Rep	2013-06-11	2013-09-02
119	Tan, Toon Leng			Rep	2014-06-05	2014-06-08
				Rep	2014-08-25	2014-08-29
				Rep	2015-04-30	2015-05-06
				Rep	2015-11-30	2015-12-04
				Rep	2016-02-29	2016-03-04
				Rep	2016-10-24	2016-10-28
				Rep	2017-02-27	2017-03-03
				Rep	2017-08-07	2017-08-11
120	Tang, Ernest Yiu Man 鄧耀民		M	Rep	2013-02-20	2019-09-06
121	Tian, Silu 田思露			Rep	2016-08-02	2017-10-24
122	Tiano, Joseph Salvatore		M	Rep	2011-10-24	2013-06-29
123	Tom, Judy		F	Rep	2016-05-30	2016-08-11
				RO	2016-08-11	2017-11-22
124	Topouzoglou, Norbert Mihran		M	Rep	2012-04-23	2018-05-25
125	Tsang, Kenneth Ky Sung 曾紀崇		M	Rep	2012-04-17	2014-01-09
126	Tse, Jaff Ka Wai 謝家威			RO	2011-09-28	2018-09-26
127	Tsui, Eva Tsun Ying 徐俊英		F	Rep	2012-06-15	2013-07-08
128	Umansky, Vitaly		M	Rep	2014-05-02	2022-09-30
129	Uy, Sharyn Marissa 黃小鈴		F	Rep	2014-11-28	2022-05-16
130	Vajpayee, Bhavtosh			Rep	2016-06-07	2018-07-05
131	Van Brugge, Robert Pieter		M	RO	2011-09-28
132	Vyas, Joy (SFC:BBJ069)			Rep	2013-05-30	2013-05-31
				Rep	2013-11-13	2013-11-15
				Rep	2016-01-25	2016-01-26
133	Wang, Fanrong (SFC:BCS752) 王璠鎔			Rep	2015-05-18	2015-06-08
134	Wang, Huan (SFC:AWI425) 王歡			Rep	2013-03-25	2015-09-20
135	Wang, Lu (SFC:AXX186) 王璐			Rep	2011-10-24	2015-02-04
136	Wang, Ping (SFC:BIG438) 王平			Rep	2016-09-22	2018-05-11
137	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
				Rep	2014-01-07	2014-01-08
				Rep	2014-01-22	2014-01-24
				Rep	2014-03-03	2014-03-04
				Rep	2014-05-19	2014-05-22
				Rep	2014-09-03	2014-09-05
				Rep	2014-11-12	2014-11-14
				Rep	2015-01-21	2015-01-23
				Rep	2015-03-05	2015-03-06
				Rep	2015-05-04	2015-05-08
				Rep	2015-11-13	2015-11-27
138	Welch, David John Jr		M	Rep	2016-04-05	2016-09-01
139	Wen, Bo (SFC:BAD547) 文博			Rep	2012-09-04	2016-01-30
140	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
141	Winoker, Steven Eric		M	Rep	2013-06-20	2013-06-24
				Rep	2016-02-29	2016-03-01
142	Wong, Christopher Chi Kin (SFC:AXO118) 黃子建		M	Rep	2011-10-24	2018-01-28
143	Wood, Andrew Dennis		M	Rep	2011-12-08	2011-12-09
				Rep	2013-07-24	2013-07-24
144	Wright, Thomas Rowe		M	Rep	2012-04-23	2012-04-27
145	Xiao, Qian (SFC:BGO844) 肖倩			Rep	2017-07-21	2022-10-10
146	Xie, Yang (SFC:BIC745) 謝央			Rep	2016-08-31	2017-08-16
147	Xu, Ruiyi 徐睿藝			Rep	2017-11-15	2020-05-22
148	Yeung, Matthew Kam Yan 楊錦恩		M	Rep	2016-01-18
149	Yiu, Hung Han 姚虹嫻			Rep	2015-01-14	2015-03-13
150	Yu, Paul Bo 于博		M	Rep	2015-09-25	2022-01-06
151	Zechmann, Gunther (SFC:BLA829)		M	Rep	2017-10-19	2017-10-19
152	Zhang, Jiajun (SFC:BDR531) 张佳駿			Rep	2014-08-25	2016-07-09
153	Zhang, Liang (SFC:AVA073)			Rep	2011-10-24	2012-02-29
154	Zheng, Heyuan (SFC:BJE227) 鄭賀元			Rep	2017-03-06	2018-12-14
155	Zheng, Zhi (SFC:BBP885) 鄭直			Rep	2013-07-22	2014-06-20
156	Zhou, Jing (SFC:BAA703) 周璟			Rep	2013-04-05	2016-05-22
157	Zhou, Min (SFC:BDT648) 周敏			Rep	2014-07-11	2017-04-28
158	Zhu, Binbin (SFC:AYQ808) 朱璸鑌			Rep	2012-06-07
159	Zhu, Junliang (SFC:BEN145) 朱駿亮			Rep	2014-11-27	2015-11-14
160	Zhu, Wenting 朱文婷			Rep	2015-08-25	2018-09-14
161	Zhu, Yahui 朱雅卉			Rep	2017-03-07	2018-02-02

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