NOMURA SECURITIES (HONG KONG) LIMITED

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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 2011	⚥	Role	From	Until
1	Abbas, Asad (SFC:AIP440)			Rep	2010-06-28	2013-04-23
2	Ambai, Takahiro 安倍貴博			Rep	2010-02-04	2013-04-23
3	An, Yeon Kyung 安延卿			Rep	2011-08-01	2013-04-23
4	Arora, Gaurav (SFC:APA737)			Rep	2009-01-12	2012-06-28
5	Asano, Shin 淺野真			RO	2011-08-24	2012-12-10
6	Balasubramanian, Bharathan Kanthimathinathan			Rep	2010-03-15	2012-06-14
7	Bastit, Arnaud Marie Daniel		M	RO	2011-02-24	2012-01-09
8	Beresford, Paul Richard		M	Rep	2010-02-04	2012-12-09
9	Bret, Jean-Sebastien Pierre		M	Rep	2008-12-15	2013-04-23
10	Burns, John Patrick (SFC:ATG678)		M	Rep	2010-02-04	2013-04-23
11	Byworth, Richard Anthony		M	Rep	2010-02-04	2013-04-23
12	Chak, Alan Kwok Fai 翟國輝		M	Rep	2011-01-03	2013-03-16
13	Chan, Ka Ying (SFC:AQM051) 陳嘉盈			Rep	2010-02-04	2013-04-23
14	Chan, Wing Yin (SFC:ARX074) 陳詠賢			Rep	2010-02-04	2013-04-23
15	Chen, Chengze			Rep	2008-12-08	2012-08-25
16	Cheung, San Tat 張新達			Rep	2010-02-04	2013-04-23
17	Cheung, Wing Yan (SFC:ASN728) 張詠欣			Rep	2010-02-04	2013-04-23
18	Chong, Kenny 莊嘉麟		M	Rep	2008-12-08	2013-04-23
19	Chung, Ji Bak 鄭知博			Rep	2011-10-31	2013-03-24
20	Chung, Ka Kei (SFC:AYA305) 鍾家琦			Rep	2011-09-15	2013-04-23
21	Corbett, Brian John		M	Rep	2011-10-26	2013-04-16
22	Cultura, Crisostomo Medardo Felicisimo 顧鎮廷			Rep	2008-11-26	2012-12-09
23	Davies, Lloyd (SFC:APC386)			Rep	2010-10-22	2013-04-23
24	Dolan, Paul Tiernan		M	RO	2011-09-08	2012-07-21
25	El Khoury, Jean (SFC:AWO016)			Rep	2011-01-03	2012-03-01
26	Floyd, Michael (SFC:APK722)		M	Rep	2010-02-02	2013-04-23
27	Fujita, Minoru			Rep	2010-02-02	2012-06-08
28	Gill, Richard John Peter		M	Rep	2010-02-02	2013-01-14
29	Goodwin, Douglas Samuel		M	Rep	2009-12-23	2012-07-31
30	Hanly, Seamus Anthony		M	Rep	2010-02-02	2013-04-23
31	Hao, Xin (SFC:AMH819) 郝昕			Rep	2010-02-02	2013-04-23
32	Ho, Harrison Lok Sang 何樂生		M	RO	2010-06-15	2013-05-31
33	Horsley-Heather, Nicholas John (SFC:ASZ379)		M	Rep	2009-11-02	2012-09-13
34	Inukai, Masao 犬養昌生			Rep	2010-02-02	2013-04-23
35	Jung, Christopher Lam 曾俊文		M	Rep	2011-08-15	2012-06-20
36	Kato, Katsuhito 加藤勝仁			Rep	2010-02-02	2013-04-23
37	Kato, Mayumi 加藤真由美			Rep	2010-02-02	2012-05-31
38	Kawahara, Michiko			Rep	2010-02-02	2013-04-23
39	Kobayashi, Hisako			Rep	2010-02-02	2012-05-31
40	Koerber, Matthias		M	Rep	2010-02-01	2013-04-23
41	Laible, Robert Karl		M	RO	2010-04-30	2012-11-15
42	Lam, Herman Kai Man 林啟文		M	Rep	2010-05-03	2013-04-23
43	Lau, Joseph Han Wai 劉恆瑋		M	Rep	2008-12-15	2012-08-09
44	Lau, Yau Fong 劉幽芳			Rep	2010-02-03	2013-04-23
45	Leung, Wai Kei (SFC:AKR467) 梁偉基	30	M	Rep	2008-12-08	2013-02-16
46	Leung, Yee Wan (SFC:ARB169) 梁綺雲			Rep	2010-02-03	2013-04-23
47	Li, Haoyi (SFC:ASF604) 李豪翼			Rep	2010-07-26	2013-03-01
48	Li, Vincent Siu Pan 李肇斌		M	Rep	2010-10-11	2012-02-17
49	Liu, Wallace Kai Yip 廖啟業		M	Rep	2010-07-27	2012-04-28
50	Lo, Yue Hin 羅宇軒			Rep	2010-07-02	2013-04-23
51	Lu, Yen Ying 呂彥穎			Rep	2011-07-28	2012-12-18
52	Luk, James Kuo Sheng 陸覺生		M	Rep	2011-08-22	2013-04-23
53	Mak, Hin Chun 麥顯俊			Rep	2010-02-03	2013-04-23
54	Mao, Wei (SFC:ATD879) 毛威			Rep	2009-07-02	2012-08-07
55	McCarron, Ciaran Peter		M	Rep	2010-05-14	2013-04-23
56	McLean, Neil Iain		M	Rep	2010-02-04	2012-12-16
57	Mennesson, Thomas		M	Rep	2008-12-15	2012-06-06
58	Merger, David Sacha		M	Rep	2010-02-04	2012-06-08
59	Miyashiro, Ken		M	Rep	2011-09-02	2013-04-23
60	Montgomery, Alexander James		M	Rep	2010-07-12	2013-04-23
61	Nakanishi, Hajime 中西基			Rep	2010-12-29	2013-04-23
62	Nate, Anthony Joseph		M	Rep	2008-12-15	2013-04-16
63	Neuber, Hye-na			Rep	2010-06-07	2013-04-23
64	O'Neile, James Finlay		M	Rep	2010-02-04	2013-04-23
65	Park, Joohong			Rep	2009-01-12	2013-05-31
66	Poon, Peter Chi Kin 潘子健		M	Rep	2010-02-04	2013-04-23
67	Poon, Shuk Fan (SFC:AEE926) 潘淑芬			Rep	2010-02-04	2013-04-23
68	Read, Matthew Christopher		M	Rep	2010-02-04	2013-04-23
69	Ryan, Jonathan David (SFC:AGX020)		M	Rep	2008-12-08	2013-04-23
70	Sano, Yoichiro		M	Rep	2010-02-03	2013-04-23
71	Shaha, Sourabh Sharashchandra			Rep	2011-09-15	2013-04-23
72	Slezack, Emmanuel		M	Rep	2011-03-28	2013-04-16
73	Spensley, Oliver Giles		M	Rep	2010-09-06	2012-12-09
74	Tam, Jude Ho Yin 譚顥賢			Rep	2004-12-03	2013-05-31
75	Thompson, Cormac Joseph		M	Rep	2010-02-03	2012-12-03
76	Tong, Derek Wai Hon 唐偉瀚		M	Rep	2010-02-03	2012-10-20
77	Van der Ven, Jeroen Willibrord Erlend		M	Rep	2011-12-15	2013-04-23
78	Watanabe, Junko			Rep	2010-12-28	2012-04-09
79	Winspear, Richard Dean		M	Rep	2010-02-03	2013-04-23
80	Wong, Jonathan Philip 黃俊皓		M	Rep	2011-08-22	2013-04-02
81	Wong, Mabel (SFC:APJ995) 黃美寶		F	Rep	2010-02-03	2013-04-02
82	Woo, Michael Hong Da 胡宏達		M	Rep	2010-02-03	2013-04-23
83	Wright, Jake Robert (SFC:AYA323)		M	Rep	2011-09-19	2013-04-23
84	Wright, Richard (SFC:APW591)		M	Rep	2010-07-20	2013-04-23
85	Yao, Jack Hsin-Chou 姚信州		M	Rep	2008-12-08	2012-08-18
86	Yeung, Kei Yuen 楊紀元			Rep	2010-06-07	2012-07-10
87	Yeung, Yuk Wah 楊毓華			Rep	2010-02-03	2013-04-23
88	Yoshida, Koji (SFC:ASF938) 吉田幸司			Rep	2010-02-03	2013-04-23

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