GOLDMAN SACHS (ASIA) SECURITIES LIMITED 高盛(亞洲)證券有限公司

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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	Aboud, Angus Alfred Mcintyre		M	Rep	2013-03-21	2014-02-14
2	Adair, John Joseph		M	RO	2005-04-28	2007-02-24
3	Aggarwala, Saurabh			Rep	2012-08-30	2016-10-10
4	Agne, Mark Edward (SFC:ANP670)		M	Rep	2006-06-30	2006-09-26
				RO	2006-09-26	2016-05-21
5	Ahmad, Syed Hyder			RO		2006-08-01
6	Alireza, Yusuf Abdulla Yusuf Akbar	44	M	RO	2011-05-25	2011-12-08
7	Alogoskoufis, Spyros			Rep	2012-04-30	2014-03-21
8	Arnold, Benjamin Richard		M	Rep	2014-06-13	2016-02-13
9	Bae, Christopher Thomas	38	M	Rep	2008-01-24	2009-04-29
				RO	2009-04-29	2009-07-17
10	Ben-Shachar, Sa-Ar David		M	Rep	2008-01-22	2016-10-10
11	Besson, Guillaume Gerard Marie		M	Rep	2010-08-10	2011-02-23
				RO	2011-02-23	2016-03-02
12	Bhargava, Nimita			Rep	2014-06-23	2016-03-14
13	Bird, Jonathon William		M	Rep	2014-02-10	2016-10-10
14	Bollinger, Stefan Rolf			RO	2011-12-06	2013-10-16
15	Brunello, Jonathan Paul		M	RO	2012-05-07	2012-07-04
16	Butcher, Timothy Andrew (SFC:BDZ177)		M	Rep	2014-10-03	2016-10-10
17	Byun, Hyungsoo 邊亨洙			Rep	2012-10-10	2014-04-26
18	Cahill, John Robert		M	Rep	2014-10-03	2016-10-10
19	Carr, Michael John (SFC:AGC458)		M	RO		2003-06-16
20	Chak, Alan Kwok Fai 翟國輝		M	Rep	2013-05-29	2016-06-29
21	Chan, Andrew Richard Honn 陳康		M	Rep	2014-08-12	2016-10-10
22	Chan, Beonna Mei Chun 陳美珍			Rep		2011-10-11
23	Chan, Kelvin Chi Kong 陳志江		M	Rep	2011-02-25	2014-04-18
24	Chan, Pui Ping 陳沛萍			Rep		2016-10-10
25	Chau, Chun 周聰			Rep		2016-10-10
26	Cheeseman, Robert Ross		M	Rep	2006-09-19	2012-03-16
27	Chen, Charles Yuan Liang 陳仁樑		M	Rep		2008-05-02
28	Chen, Henry Lin 陳林正	44	M	RO	2007-07-04	2008-08-23
29	Chen, Zhihu 陳志湖			Rep	2012-10-12	2015-04-28
30	Cheung, Kat Cheung 張吉祥			Rep	2014-05-28	2015-02-02
31	Cheung, Kenneth Kai Hoi 張嘉浩		M	Rep	2014-08-20	2014-12-06
32	Cheung, Suk Mun 張淑敏			Rep	2011-08-02	2014-05-31
33	Chia, Wei Chen 謝偉政		M	Rep	2005-11-16	2007-01-29
34	Chiu, Ping 趙平			Rep		2007-01-13
35	Chow, Isabella Man Fung 周文鳳		F	Rep		2004-12-29
36	Chowdhary, Pranav			Rep	2012-10-16	2014-03-08
37	Chu, Wayne Wing Kar 朱永嘉		M	Rep	2012-04-27	2013-03-12
38	Chui, Chi-Sun 徐志真			Rep		2004-06-19
39	Chung, Wilson James Ka Lun 鍾家綸		M	Rep	2012-04-27	2016-05-05
40	Churchouse, Jean-Paul Antony		M	Rep	2012-04-27	2014-05-08
41	Dalmasse, Canute Howard		M	RO	2012-07-05	2016-10-10
42	Deats, Warren Edmund		M	Rep	2010-10-29	2012-02-25
43	Dommenge, Kevin Michael		M	Rep	2012-04-27	2015-11-25
44	Du, Xueping 杜雪萍			Rep	2013-10-15	2016-10-10
45	Evans, John Michael (1957-08-16)	57	M	Rep	2004-11-29	2005-02-01
				RO	2005-02-01	2008-04-10
46	Falipou, Fabien Jean Roger		M	Rep	2012-08-06	2016-10-10
47	Fan, Kai (SFC:BAA250) 樊鍇			Rep	2012-08-09	2015-06-06
48	Feng, Yahui 馮雅慧			Rep	2012-08-09	2014-06-28
49	Ferguson, Benjamin William		M	RO	2013-03-27	2016-10-10
50	Flamand, Philippe Francois		M	Rep	2010-02-25	2012-05-01
51	Freshwater, Timothy George 范華達	70	M	RO		2011-08-26
52	Frommer, Maya Elizabeth		F	Rep	2012-04-27	2016-10-10
53	Fu, Si Hui 符絲慧			Rep	2014-09-03	2016-10-10
54	Ghatalia, Rajiv Arvind			RO	2003-07-16	2005-06-22
55	Gnodde, Richard John	54	M	RO		2005-01-07
56	Goodman, Jamie Macnaught Rodber		M	Rep	2012-04-27	2016-10-10
57	Grunberger, Bo Fredrik			Rep	2012-04-27	2016-10-10
58	Gupta, Puneet (SFC:AXF254)			Rep	2014-10-03	2016-10-10
59	Halterlein, Dylan Stephen		M	Rep	2012-03-05	2013-01-01
60	Harada, Akiko 原田明子		F	Rep	2014-10-03	2016-10-10
61	Hirokane, Scott Yukiji		M	Rep	2012-04-17	2016-03-16
62	Howard, Michael Joseph		M	Rep	2014-12-08	2016-09-01
63	Hu, Andrea Xiao 胡安琪		F	Rep	2013-08-01	2015-06-19
64	Hu, Kelvin V		M	Rep	2012-08-06	2015-01-29
65	Hutchins, Jeff Daniel		M	Rep	2012-03-21	2013-03-30
66	Ip, Vincent Yuk Kwan 葉鈺崑		M	Rep	2012-04-27	2014-02-15
67	Ip, Wai Lam 葉偉林			Rep	2008-04-30	2010-06-26
68	Joerg, Jeboah Dan			Rep	2014-07-10	2015-06-18
69	Joly, Jean Denis			Rep	2005-10-03	2012-02-06
				RO	2012-02-06	2016-05-04
70	Jung, Christopher Lam 曾俊文		M	Rep		2008-03-04
71	Kabir, Tanweer			Rep	2014-06-20	2016-10-10
72	Karnani, Vijay			Rep		2006-06-01
73	Kedia, Prashant			Rep		2007-03-24
74	Kekke, Shuya 結解秀哉			RO	2012-09-13	2013-03-29
75	Kemp, Michael Kenneth		M	Rep	2005-11-07	2008-12-11
76	Kengeter, Carsten Norbert (SFC:ANM959)			RO	2007-02-23	2008-09-22
77	Kes, Jacob Leonard		M	Rep	2014-04-25	2016-10-10
78	Khan, Tedla Ebou			Rep	2014-11-27	2015-12-08
79	Kim, David Doopyo		M	Rep	2007-09-19	2012-04-26
80	Kim, Jason Lee		M	Rep	2012-04-27	2013-08-10
81	Kim, Jeffrey Il Jung		M	Rep	2009-09-03	2012-02-15
82	Kimpton, Dean Webster		M	Rep	2014-10-03	2016-10-10
83	Ko, Cheuk Yan 高卓仁			Rep	2011-07-18	2016-10-10
84	Kok, Ka Keung 郭家強			Rep	2010-04-08	2016-03-19
85	Kong, Luhua 孔露華			Rep	2007-09-12	2011-10-19
86	Koto, Hisanori 古東久典			Rep	2006-08-04	2012-02-17
87	Krautheim, Erica Shao-Ning		F	Rep	2012-05-08	2014-03-18
88	Kumar, Ajay (SFC:ARN358)			Rep	2012-05-25	2016-10-10
89	Kuo, Cheung 郭強			Rep	2003-04-26	2007-07-10
				RO	2007-07-10	2011-02-01
				Rep	2011-02-01	2011-03-19
90	Kwan, Wendy Yok Bing 關玉冰		F	Rep	2011-10-04	2012-09-11
91	Lai, Wai Tsz 黎慧慈			Rep		2003-08-22
92	Lam, Calvin Chi-him 林子謙		M	Rep	2012-04-27	2016-10-10
93	Lam, Milton Chi Siu 林子紹			Rep	2004-05-14	2009-01-17
94	Lam, Raymond (SFC:AZR331) 林禮文		M	Rep	2012-06-19	2016-10-10
95	Lau, Adrian Yan Ho 劉恩豪		M	Rep	2012-06-18	2015-05-21
96	Lau, Jason Wing Yiu 劉永耀		M	Rep	2007-10-10	2008-08-16
97	Lau, Lambert Ming Yeung 劉名揚	35	M	Rep		2015-10-19
98	Lau, Valerie Wai Chee 劉蕙芝			Rep	2012-04-27	2013-03-26
99	Lau, Vincent Ying Kwong 劉迎光		M	Rep		2008-12-30
100	Law, Frederick Andrew 羅頌然		M	Rep	2013-08-26	2016-10-10
101	Lee, Allen Po 李尚紘		M	Rep	2012-04-27	2012-07-21
102	Lee, Cheril Chung Chi 李頌慈			Rep	2005-10-13	2008-11-07
103	Lee, Samuel Yan Ben (SFC:ANU564) 李仁本		M	Rep	2013-08-01	2016-10-10
104	Leung, Simon Chung Man 梁頌文		M	Rep	2011-03-25	2014-02-19
105	Leung, Stephanie Wing Ying 梁穎瑩		F	Rep	2012-05-02	2013-03-01
106	Leung, Willie Pa Hung		M	Rep	2014-08-08	2016-10-10
107	Leven, Hans Johan		M	RO	2007-12-14	2009-07-01
108	Li, Yufei (SFC:BDF264) 李宇飛			Rep	2014-04-08	2016-04-06
109	Lim, Boon Keong			Rep		2003-07-01
110	Lin, Danny Chi Long 林志朗			Rep	2007-05-21	2008-12-11
111	Lin, Leslie Diane 林黛安		F	Rep	2014-10-03	2016-10-10
112	Liu, Gary Huan Chieh 劉煥傑		M	Rep		2004-04-06
113	Liu, Hao-Cheng 劉浩正			Rep		2004-10-12
114	Lozano Carbasse, Oriol			Rep	2014-08-04	2016-10-10
115	Lu, Peili 陸培麗			Rep	2007-02-16	2011-03-26
116	Lui, Jervis Chun Wai 呂俊為			Rep		2003-10-09
117	Mabardy, Michael Paul		M	Rep		2006-01-07
118	Macdonald, Peter Bremner (SFC:AMM281)		M	RO	2007-01-25	2007-04-18
119	Machin, Mark Gordon Adam		M	RO	2006-09-11	2011-08-26
120	Mak, William Wai Hang 麥偉恒		M	Rep	2010-04-12	2016-10-10
121	Maliah, Raghav			RO	2011-06-01	2011-08-26
122	Marsh, Nicholas James (SFC:ANH720)		M	Rep	2012-04-27	2013-04-06
123	Martin, Joseph John		M	Rep	2012-04-27	2012-07-01
124	Mason, Matthew James (SFC:AQM089)		M	Rep	2014-09-22	2016-10-10
125	McCarthy, Brendan Michael (SFC:AQQ106)		M	Rep	2009-06-25	2013-01-10
126	McFarland, Christina Ma 馬智萍		F	RO	2012-07-03	2016-10-10
127	McMakin, Benjamin Reese III		M	Rep	2013-01-21	2016-10-10
128	McQuade, Ryan F		M	Rep	2012-04-27	2016-10-10
129	McTamaney, Robert Anthony III		M	Rep	2007-02-09	2007-10-29
				RO	2007-10-29	2011-07-01
130	Mithran, Girish			Rep	2003-11-07	2012-03-21
131	Mohan, Siddharth			Rep	2013-08-01	2016-10-10
132	Mok, Jonathan Chung Kiu 莫仲翹		M	Rep	2003-10-29	2005-08-11
133	Montgomery, James Adam		M	Rep	2012-04-27	2014-02-13
134	Morse, Robert Edson		M	Rep	2012-08-28	2014-02-01
135	Moser, Ronald J Jr		M	Rep	2008-02-15	2016-06-01
136	Navin, Sean Patrick		M	Rep	2012-04-27	2016-10-10
137	Ng, Jason Ka Chuen 吳家俊		M	Rep	2014-09-10	2016-10-10
138	Ng, Kenny (SFC:AGH965) 吳家健		M	Rep	2014-03-28	2016-10-10
139	Ng, Soon Wei 伍順輝			Rep	2006-07-27	2009-01-22
140	Ngai, Henry Chun Kit 倪俊傑		M	Rep	2003-09-29	2003-12-18
141	Ngai, Kai Ian 倪佳欣			Rep	2014-03-04	2014-10-04
142	Okabe, Toru			Rep		2012-07-28
143	Osa, Kazumasa 小佐一政			Rep	2013-12-27	2016-10-10
144	Paik, Sang Hyeon			Rep		2005-02-01
145	Paradise, James Richard		M	Rep	2012-02-17	2012-07-13
				RO	2012-07-13	2016-10-10
146	Peach, Nicholas Xavier Aidan		M	Rep	2014-08-18	2016-10-10
147	Piperakis, Romanos			Rep	2013-10-31	2016-08-01
148	Piplani, Dhruv			Rep	2007-05-11	2009-05-27
				RO	2009-05-27	2010-11-17
				Rep	2010-11-17	2011-12-12
				RO	2011-12-12	2013-06-22
149	Potishko, Dmitri			Rep	2013-06-14	2013-09-14
				Rep	2013-09-16	2013-12-23
				RO	2013-12-23	2016-10-10
150	Rajasingham, Arjuna			Rep	2012-04-27	2013-03-29
151	Reilly, Eugene T		M	RO	2007-03-13	2009-12-21
152	Reinert, Alexandre Richard Harald		M	Rep	2011-08-16	2016-10-10
153	Rennie, Andrew Kenneth		M	Rep	2012-01-03	2012-03-27
				RO	2012-03-27	2016-10-10
154	Rhee, Howard Sang-Hoon		M	Rep		2005-01-17
155	Rishi, Abhinav		M	Rep	2013-05-28	2016-10-10
156	Rude, Michael Gene		M	Rep	2012-11-02	2013-07-17
157	Ryan, David Michael (SFC:ADX838)		M	RO	2006-09-29	2008-06-01
				Rep	2008-06-01	2012-05-14
158	Sabot, Florent Roland Christian		M	Rep	2010-10-27	2010-11-10
159	Sago, Katsunori			Rep	2006-07-24	2008-09-30
160	Sahni, Akshay		M	Rep	2009-07-15	2015-02-05
161	Sauvage, Benoit Marc-Antoine Yves		M	Rep	2012-04-30	2014-02-06
162	Schrantz, Alexander (SFC:AFF166)		M	RO	2006-09-11	2011-03-19
163	Seto, Elvis Kong Yiu 司徒光耀		M	Rep	2005-10-25	2016-05-06
164	Shah, Kush Umeshchandra			Rep	2012-04-27	2016-10-10
165	Sham, Sharon Cylong 岑思朗		F	Rep	2012-04-27	2016-10-10
166	Shao, Ying (SFC:AZQ933) 邵穎			Rep	2012-06-15	2014-12-12
167	Shen, Benjamin Guanfuu		M	Rep	2010-08-26	2012-07-07
168	Shimizu, Ryo			Rep	2013-01-02	2016-09-30
169	Shu, Karman Hoi Ming 舒凱明			Rep	2007-11-29	2016-03-02
170	Sivapathasundaram, Radeepan			Rep	2008-06-20	2008-12-11
171	Sloyer, Michael Jason		M	Rep	2012-05-25	2016-10-10
172	Smith, Ian Grattan		M	Rep	2013-02-25	2014-02-15
173	Smith, Ian Micheal Corfield		M	Rep	2013-10-21	2014-09-10
				RO	2014-09-10	2016-10-10
174	So, Raymond Bing Kei 蘇秉基		M	Rep	2014-05-02	2016-02-03
175	So, Stephanie Par Lum 蘇柏琳		F	Rep	2012-08-30	2015-06-19
176	Song, Xinran 宋欣然			Rep	2012-04-27	2016-02-17
177	Stephens, Anthony Jeetendra		M	Rep	2014-07-31	2016-10-10
178	Strabo, Benjamin		M	Rep	2014-06-23	2016-06-23
179	Stubbs, Arthur James Kay	49	M	Rep	2003-10-29	2004-02-20
180	Suen, Ming Chit 孫明哲			RO	2011-12-16	2016-10-10
181	Sun, Fei (SFC:BBK314) 孫非			Rep	2013-06-14	2014-12-13
182	Sun, Yiqian (SFC:ATV809) 孫逸潜			Rep	2013-09-24	2016-10-10
183	Sze, Rick Wai Pang 施維鵬			Rep	2004-07-05	2011-05-04
184	Tam, Jonathan Joy Man 譚載文		M	Rep	2012-04-27	2014-04-18
185	Tan, Choon Boon			Rep	2014-08-08	2014-11-04
186	Tang, Justin Sheung Yin 鄧尚彥		M	Rep	2014-07-16	2016-10-10
187	Tang, Nelson Chun Wai 鄧駿威	28	M	Rep	2008-08-26	2010-06-26
188	Tang, Xiangyu 湯向宇			Rep	2012-04-27	2014-04-02
189	Tang, Yue Han			Rep	2010-09-03	2014-05-31
190	Tom, Edward 譚子平		M	Rep	2007-03-30	2014-06-19
191	Torrible, David Geoffrey 大衛德利保		M	RO	2008-07-11	2012-02-06
				Rep	2012-02-06	2013-01-01
192	Towfigh, Frederick (SFC:ADD816)		M	RO	2011-08-25	2016-10-10
193	Ueda, Eiji			Rep	2012-02-14	2012-07-13
				RO	2012-07-13	2016-10-10
194	Voon, David Hian Fook 溫賢福	48	M	RO		2007-03-21
195	Waitze, Michael Irwin		M	Rep	2003-12-04	2004-07-30
196	Wan, Yu Tsung 尹宇冲			Rep	2006-07-11	2016-10-10
197	Wang, Chuang (SFC:AYM559) 王闖			Rep	2012-04-27	2013-03-20
198	Wang, Ernie			Rep	2005-09-01	2008-03-18
199	Wang, Jian (SFC:APB793) 王堅			Rep	2007-06-11	2011-07-23
200	Wat, Chi Ming 屈志銘			Rep		2003-08-21
201	Wong, Jeffrey Shek Chuen 黃碩俊		M	Rep		2003-07-12
202	Wu, Hiu Fung 胡曉鋒			Rep	2012-04-30	2013-10-08
203	Wu, Michael David Ping Lam 吳炳霖	32	M	Rep	2008-12-05	2013-10-25
204	Xu, Yuanjie 徐元杰			Rep	2014-02-19	2016-05-12
205	Yang, Fan (SFC:ARM895) 楊帆			Rep	2008-08-25	2010-06-26
206	Yeung, Kai Yin (SFC:ADU464) 楊啟賢			Rep		2016-06-29
207	Yeung, Patrick Sze Chun 楊思進		M	Rep	2012-04-27	2016-10-10
208	Yeung, Vincent Shu Hang 楊書恆		M	Rep	2012-04-30	2016-10-10
209	Yu, Chung-Ling (SFC:BBJ027) 余仲齡			Rep	2013-05-29	2016-10-10
210	Yuan, Hong (SFC:ASI356) 袁鴻			Rep	2013-08-01	2015-02-04
211	Zagury, Alan		M	Rep	2008-08-12	2015-04-01
212	Zee, John 徐強生		M	Rep		2005-04-07
213	Zhang, Emily Yan Ya 張艷雅		F	Rep	2014-10-03	2016-10-10
214	Zhang, You (SFC:AMF141) 章友			Rep	2005-08-09	2015-01-29
215	Zhao, Jinxiang 趙金祥			Rep	2009-10-20	2014-01-29

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