MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司

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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	Allan, Stuart Michael		M	Rep	2016-07-11	2020-03-31
2	Araki, Tetsuo			Rep	2011-01-20	2012-02-03
3	Arrowsmith, Neil Robert		M	Rep	2012-06-04	2012-09-14
				RO	2012-09-14
4	Becchetti, James Patrick		M	Rep	2017-11-21	2017-12-04
5	Booth, Christopher Michael (SFC:BEF483)		M	Rep	2014-09-29	2018-08-10
6	Boudny, Miroslav Misha		M	Rep	2010-12-31	2016-12-13
				RO	2016-12-13	2020-03-31
7	Bruckner, Andreas			Rep	2011-01-11	2011-07-31
8	Bunn, Malcolm		M	Rep	2011-01-11	2015-12-25
9	Burns, Darren Lester		M	Rep	2013-08-05	2019-08-31
10	Byrne, Luke William		M	Rep	2010-12-31	2011-07-27
11	Cai, Zheng (SFC:BIH036) 蔡正			Rep	2016-10-03	2019-12-24
12	Carr, Matthew Ben		M	Rep	2014-08-29
13	Chan, Chester Chi-To 陳志滔		M	Rep	2012-08-29	2015-04-17
14	Chan, Jody Kit Yee 陳潔儀			Rep	2010-12-31	2023-10-05
15	Chan, Mang Kiu 陳漫橋			Rep	2012-03-12	2012-05-28
16	Chan, Yat Man (SFC:BJX332) 陳逸文			Rep	2017-07-14
17	Chang, Joseph Cho Yam 張祖蔭		M	RO	2010-12-31	2011-04-19
18	Char, Jimmy Ching Fung 車靖峰		M	Rep	2017-06-20	2021-06-30
19	Chau, Chi Han 周智嫻		F	Rep	2016-06-30	2018-10-22
20	Chen-Tanner, An-Chi			Rep	2015-10-07	2016-01-26
21	Chen, Jie (SFC:BFX830) 陳洁			Rep	2015-08-17	2015-09-24
22	Cheng, Paul Kwok Kin 鄭國乾	66	M	RO	2010-12-31	2013-01-01
23	Cheung, Hin Ni 張憲妮			Rep	2017-07-14	2018-05-08
24	Choi, Cheol Ho			Rep	2015-06-29	2017-06-23
25	Choi, Lai Ling 徐麗齡			Rep	2011-06-07	2011-12-13
26	Choi, Sheung Wing 蔡尚榮			Rep	2017-07-14
27	Choi, Yung Woo			Rep	2016-04-05
28	Chow, Oscar		M	Rep	2011-01-05	2015-05-30
29	Chu, Chun-Ju 朱俊如			Rep	2011-10-24	2012-08-02
30	Chua, Jesus Jr. Go			Rep	2011-06-07	2016-07-13
31	Chung, Tak Ki Dicky 鍾德祺			Rep	2015-10-07	2016-11-07
32	Daemi-Mokhlesi, Jiyann Naveed			Rep	2011-07-04	2015-01-05
33	Desai, Meghna Kiran			Rep	2011-09-01	2014-03-04
34	Devkota, Milan			Rep	2012-02-10	2016-07-13
35	Diao, Stephen		M	Rep	2011-05-23	2014-07-10
				RO	2014-07-10	2014-12-10
36	Duan, Hong (SFC:ADE819) 段宏			Rep	2010-12-31	2012-03-06
37	Evans, Joshua Webb		M	Rep	2011-08-04	2015-11-06
38	Fong, Benny Fu Tsung 方富聰		M	Rep	2013-05-20	2015-02-11
39	Fong, Hiu Ming 方曉明			Rep	2010-12-31	2011-04-19
40	Forsythe, William James Patrick		M	Rep	2013-03-15	2018-12-06
41	Freear, Stephen Jason		M	Rep	2010-12-31	2012-05-11
42	Funato, Keizo			Rep	2011-01-11	2015-10-16
43	Gineitis, Adomas			Rep	2011-01-11	2011-06-10
44	Greenwood, Anthony Bruce Nicholas		M	Rep	2011-02-22	2011-03-29
45	Guillon, Serge Philippe Laurent		M	Rep	2016-02-18	2019-12-03
46	Guo, Rui (SFC:BDA213) 郭睿			Rep	2014-03-10	2015-07-08
47	Gupta, Abhishek (SFC:AQX042)		M	Rep	2015-01-19	2019-05-29
48	Hagland, Trent Andrew		M	RO	2012-05-31	2016-04-29
49	Hahm, Candace		F	Rep	2016-06-24
50	Hahm, Eui Hwan			Rep	2012-11-21	2016-03-01
51	Hao, Kate 郝楠楠		F	Rep	2014-11-03	2016-08-30
52	Harrington, Stephen John William	52	M	Rep	2011-01-11	2015-11-05
53	Hashimoto, Kenichi 橋本賢一			RO	2010-12-31	2012-12-05
54	Haskins, Andrew Robin Alexander	49	M	Rep	2011-04-26	2012-01-26
				RO	2012-01-26	2012-09-25
55	Hayashi, Ryosei			Rep	2015-06-15	2015-07-29
				RO	2015-07-29	2019-06-14
56	Hiramoto, Yoko			Rep	2011-01-11	2011-01-25
57	Hiratsuka, Takashi 平塚岳			Rep	2011-09-16	2013-11-23
58	Hirayama, Hajime			Rep	2015-03-31	2017-05-12
59	Hirst, David A		M	Rep	2011-01-11	2011-08-05
60	Ho, Wai Lun (SFC:ASZ191) 何偉麟			Rep	2016-03-21	2016-09-13
61	Horiguchi, Muneyoshi			Rep	2016-06-30	2018-10-19
62	Inadome, Shigehisa 稻留重久			Rep	2013-01-18	2016-01-26
63	Inagaki, Kiyoshi			Rep	2010-12-31	2012-12-01
64	Jones, Nicholas Paul (SFC:BBS616)		M	Rep	2017-03-01	2018-04-20
65	Kaetsu, Yuri 嘉悅友理		M	Rep	2015-07-10	2019-12-06
66	Kaga, Maximilian Shotaro		M	Rep	2016-09-05	2019-11-01
67	Kam, Fung Man 甘鳳汶			Rep	2017-02-24	2018-05-25
68	Kamijo, Tetsuo			Rep	2016-08-29	2016-08-31
69	Kanodia, Kunal			Rep	2015-11-16	2017-06-01
				RO	2017-06-01	2022-08-31
70	Kay, Chong-san 郭忠山			Rep	2011-05-11	2015-03-09
71	Khine, Jessica Khine-Chit		F	Rep	2011-01-11	2011-08-26
72	Kim, Ji Joong			Rep	2016-06-03	2017-09-29
73	Kim, Sang Yeon (SFC:BHG628) 金相延			Rep	2016-04-07	2019-05-27
74	King, Augusto Yuk Shun 金毓珣			Rep	2015-10-02	2015-12-08
				RO	2015-12-08
75	Kitahara, Yoshitaka		M	Rep	2017-09-25	2019-05-20
76	Kiuchi, Yuko			Rep	2010-12-31	2015-04-27
77	Kusano, Jun 草野潤			Rep	2016-01-25	2016-03-07
				RO	2016-03-07	2017-09-07
				Rep	2017-09-07	2018-09-14
78	Kwok, Ka Yan Karen 郭嘉欣			Rep	2010-12-31	2011-10-22
79	Lai, Ka Ho (SFC:AEQ243) 黎家浩			Rep	2016-01-11	2019-03-22
80	Lam, Edmond Hoi Tik 林凱迪		M	Rep	2010-12-31	2012-05-08
81	Lamont-Brown, Andrew		M	RO	2010-12-31	2013-08-01
82	Lange, Julien (SFC:BGC442)			Rep	2015-09-17	2018-04-03
83	Leddington-Hill, Matthew John		M	Rep	2016-09-12	2019-09-20
84	Lee-Tong, Georgette Chi Wai 唐李之慧		F	Rep	2017-09-13	2019-10-25
85	Lee, Aleen Li Fei 李莉菲		F	Rep	2017-03-27	2018-07-03
86	Lee, Ching (SFC:ADC297) 李青			Rep	2017-07-14	2019-12-13
87	Lee, Kwok Wai (SFC:BAO433) 李國瑋			Rep	2012-12-03	2019-08-29
88	Lee, Nelson Ho Wing 李浩榮		M	Rep	2010-12-31	2011-01-21
89	Lee, Patrick Jing Wan 李敬文		M	Rep	2016-02-24	2020-03-25
90	Lee, Wai Kin (SFC:APD151) 李偉健			Rep	2011-01-05	2012-12-05
91	Lee, Wee Siang 李偉祥			Rep	2012-03-07	2014-02-18
92	Leung, Fung Man 梁鳳敏			Rep	2011-08-04	2012-06-27
93	Li, Jiahui (SFC:AXM812) 李佳蕙			Rep	2013-07-15	2014-09-20
94	Li, Veronica Wai Ching 李慧貞		F	Rep	2010-12-31	2013-05-28
95	Liu, Po Wen 劉博文			Rep	2015-05-14	2016-07-13
96	Lloyd, Ailsa Kuen Alice		F	Rep	2013-11-04	2015-05-18
97	Loong, Andrew Pui Fung 龍沛豐		M	Rep	2013-07-05	2013-08-19
98	Lu, Dong (SFC:AXN254) 呂棟			Rep	2013-06-13	2013-07-17
99	Lu, Yang (SFC:BFY812) 盧楊			Rep	2017-02-06	2021-01-18
100	Lucas, Jean-Francois Nicolas Jacques		M	Rep	2013-03-22	2015-12-01
101	Luk, Wai Yip 陸偉業			Rep	2011-03-29	2011-06-21
102	Ma, Winnie Wing Mei 馬穎薇		F	Rep	2011-04-04	2012-07-10
103	Macpherson, Glyn			Rep	2011-01-11	2013-03-28
104	Maeder, Dominik			Rep	2011-01-11	2012-05-24
105	Mak, Hau Lin 麥巧蓮			Rep	2010-12-31	2015-04-01
106	Mak, Winnie (SFC:ADK738) 麥蔚誼		F	Rep	2012-03-07	2012-07-04
107	Man, Lai Kai 文麗佳			Rep	2010-12-31	2011-06-27
108	Manabe, Yusaku			Rep	2012-09-05	2012-11-22
				RO	2012-11-22	2020-01-17
109	Mand, Sandeep Singh			Rep	2012-12-27	2013-06-28
				RO	2013-06-28	2015-05-15
110	Mareels, Carlo			Rep	2016-11-15	2016-11-17
111	Mase, Takeshi 真瀨剛			Rep	2011-01-11	2015-10-16
112	Matsushita, Masahiro 松下昌宏			Rep	2010-12-31	2023-12-29
113	Matsuura, Akiko 松浦安希子			Rep	2010-12-31	2011-05-13
114	Mattila, Riku Johannes		M	Rep	2011-05-23	2017-07-28
115	McGill, Ruarri Ronald		M	Rep	2015-03-16	2019-09-16
116	Meepetchdee, Yongyut			Rep	2011-08-29	2017-11-30
117	Meerani, Sumeet Shyam			Rep	2016-08-29	2016-08-31
118	Mita, Joji 三田丞次			RO	2010-12-31	2012-05-16
119	Mitchell, Paul Ronald		M	Rep	2014-03-24	2016-01-08
120	Mohammad, Sajjad (SFC:BDM517)			Rep	2014-06-23	2016-01-08
				Rep	2016-07-11	2016-07-11
				Rep	2017-03-20	2017-03-23
121	Mori, Motoya			Rep	2014-06-23	2016-01-08
				Rep	2016-02-22	2016-02-24
122	Nakauchi, Kozue 仲內梢			Rep	2010-12-31	2011-05-18
123	Nam, Dong Soo			RO	2010-12-31	2018-07-12
124	Ng, Karen Ka Ying 吳嘉盈		F	Rep	2014-09-16	2020-01-31
125	Ng, Kathy Ka Wai 伍家慧		F	Rep	2011-08-08	2018-03-05
126	Ng, Kei Man 吳紀文			Rep	2017-03-08	2020-06-24
127	Ngai, Hei Nam 倪喜南			Rep	2017-07-14	2021-02-26
128	Ngan, Peter Yu Hin 顏宇軒		M	Rep	2014-01-30	2015-07-07
129	Noguchi, Megumi (SFC:AWV267) 野口惠			Rep	2011-03-21	2011-11-11
130	Nomura, Shingo			Rep	2017-05-05	2023-04-28
131	O'Hanlon, David John		M	Rep	2015-06-02	2018-10-22
132	Ochiai, Satoru			Rep	2011-02-18	2012-03-20
133	Olsson, Eva Patricia Rahel		F	Rep	2011-05-23	2016-01-08
134	Onuma, Kazuhiko			Rep	2016-02-22	2016-02-24
				Rep	2016-05-16	2016-05-18
				Rep	2016-07-11	2016-07-11
				Rep	2017-02-22	2017-02-25
				Rep	2017-09-01	2017-09-06
135	Ooi, Chenn Siong			Rep	2017-07-14	2020-09-09
136	Otake, Makoto 大竹誠			RO	2010-12-31	2016-01-30
137	Oyama, Natsumi 大山夏美			Rep	2010-12-31	2012-12-05
138	Padmanaban, Prasad			Rep	2011-06-02	2015-07-11
139	Pan, Candice 潘士縈		F	Rep	2010-12-31	2020-01-31
140	Pan, Gan 潘淦			Rep	2015-05-13	2019-02-01
141	Park, Woo Yeung 朴禹泳			Rep	2015-01-12	2019-05-27
142	Parrilli, John C		M	Rep	2015-08-13	2015-10-23
143	Pesanello, Raymond Joseph		M	Rep	2017-09-08	2017-09-30
144	Pickworth, Simon Murray		M	Rep	2011-02-10	2016-01-08
145	Pobjoy, James Edward		M	Rep	2011-01-11	2012-05-24
146	Portsmouth-Layton, Andrew John		M	RO	2010-12-31	2016-04-28
147	Qin, Huaiou 秦懷歐			Rep	2010-12-31	2013-05-15
148	Qureshi, Qassim Ali			Rep	2013-06-10	2015-10-01
149	Radzki, Michael		M	Rep	2015-09-14	2015-10-23
150	Ramsey, Michael Ryan		M	Rep	2010-12-31	2011-06-14
151	Roberts, Alistair Charles Alton		M	Rep	2011-07-19	2012-07-04
152	Robertson, Toby Neil		M	Rep	2010-12-31	2011-04-19
153	Rustau, Haidje Karen		F	Rep	2011-11-29	2014-11-20
154	Saurel, Antoine Julien Pierre		M	Rep	2015-02-18	2015-07-01
155	See Thor, Wai Fung 司徒慧芬			Rep	2011-01-11	2012-11-14
156	Sekiguchi, Tadahisa			Rep	2011-01-11	2016-01-08
157	Shaw, Benjamin John		M	Rep	2015-11-23	2018-12-05
158	Shen, Hua (SFC:AOT416) 沈華	47	M	RO	2010-12-31	2011-03-19
159	Shinohara, Tatsuyoshi 篠原達芳			RO	2010-12-31	2011-11-25
160	Shiu, Lap Kei (SFC:AOI979) 蕭立基			Rep	2010-12-31	2012-07-04
161	So, Jennifer Lai Shan 蘇勵姍		F	Rep	2010-12-31	2011-10-05
162	So, Shun Tak 蘇淳德			Rep	2011-06-21	2012-07-04
163	Stubbs, Matthew Leslie		M	Rep	2016-11-15	2016-11-18
164	Suehiro, Yasutaka			Rep	2016-03-31	2016-04-21
				RO	2016-04-21	2018-05-31
165	Suruga, Hideki			RO	2010-12-31	2012-06-16
166	Takeuchi, Kazufumi 竹內一史			Rep	2011-09-16	2012-08-07
167	Takino, Toshiro			Rep	2011-01-11	2011-03-14
168	Tanaka, Maki 田中牧			Rep	2011-02-07	2015-06-06
169	Tang, Tsz Wai (SFC:AUX032) 鄧子維			Rep	2011-05-23	2012-07-12
170	Tang, Wai Hung (SFC:ADI418) 鄧偉雄			Rep	2013-02-18	2015-02-17
171	Tay, Ek Pon 鄭翊鵬			Rep	2010-12-31	2011-01-25
172	Tay, Li Choo			Rep	2010-12-31	2018-08-03
173	Ti, Lian-Haan			Rep	2016-06-20	2019-07-23
174	Tsang, Andrew Chung Lam 曾忠林		M	RO	2010-12-31	2011-04-19
175	Tsang, Susanna Wai Yin 曾慧賢			Rep	2010-12-31	2011-07-01
176	Ung, Voon Yew			Rep	2011-06-07	2015-05-27
177	Upadrasta, Sivakumar 戴世凡			Rep	2017-12-27	2019-04-17
178	Vakil, Mohamed Ismail (SFC:BAE280)		M	Rep	2012-09-17	2019-12-31
179	Verma, Manjesh			Rep	2010-12-31	2013-11-26
180	Vincent, Romain Lionel Sylvain		M	Rep	2013-09-11	2015-06-06
181	Vinton, Darren Charles		M	Rep	2010-12-31	2012-10-31
182	Wakizaki, Hiroshi 脇崎浩		M	Rep	2013-08-05	2022-09-28
183	Wang, Jian (SFC:AVM361) 王健			Rep	2012-03-26	2012-11-20
184	Watanabe, Naoki (SFC:AQD803)			Rep	2013-01-02	2023-12-22
185	Watson, Matthew (SFC:APP014)		M	Rep	2011-01-11	2012-07-25
186	Wells, Peter John (SFC:AWO080)		M	Rep	2012-05-15	2012-08-09
				RO	2012-08-09	2015-03-12
187	Wong, Irene Hau Ying 黃巧瑩		F	Rep	2014-11-24
188	Wong, Kenny Yukoon 黃宇冠		M	Rep	2016-07-05	2020-04-09
189	Wong, Wai Wah (SFC:ADQ101) 黃慧華			Rep	2015-05-13
190	Wong, Yun Tong Anton 黃潤棠			Rep	2010-12-31	2012-07-04
191	Yamamoto, Naoki			Rep	2017-08-14	2020-10-12
192	Yap, Price Edward Canizares		M	Rep	2012-02-03	2015-12-14
193	Yap, Wei Wen Nicholas		M	Rep	2015-05-29	2016-09-15
194	Yasuda, Tamotsu			RO	2010-12-31	2011-02-12
195	Yeoh, Seng Ghee 楊誠義			Rep	2014-08-04	2015-05-18
				RO	2015-05-18
196	Yeung, Fai 楊暉			Rep	2016-11-24	2019-06-21
197	Yip, Weng Foo 葉永富			Rep	2012-10-24	2015-02-24
198	Yogo, Shingo			Rep	2011-01-11	2011-11-30
199	Yoon, Jee Woong 尹智雄			Rep	2010-12-31	2011-08-28
200	Yoshino, Ai 吉野藍			Rep	2011-03-02	2016-02-06
201	Yoshioka, Masahiko			Rep	2016-05-16	2016-05-18
				Rep	2017-02-22	2017-02-25
				Rep	2017-09-01	2017-09-06
202	Yu, Harry Koon Ying 余冠英		M	RO	2010-12-31	2011-04-01
203	Yu, Yanming (SFC:BHU077) 喻彥銘			Rep	2017-08-21
204	Yuan, Zhefei 袁哲飛			Rep	2011-11-07	2012-12-05
205	Zhang, Yi (SFC:BBN738) 張誼			Rep	2013-08-05	2013-11-04
206	Zhao, Ye (SFC:BAD298) 趙曄			Rep	2013-09-16
207	Zheng, Xiaofeng 鄭小峰			Rep	2015-08-24	2016-05-19
208	Zhou, Jiting 周忌婷			Rep	2013-10-15	2014-11-12

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