CLSA RESEARCH LIMITED 里昂證券投資研究有限公司

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SFC licensees

RO=Responsible Officer, Rep=Representative

Name Age in
2009
Role From Until
1 Abdul Khalim, Norly Binti Rep 2009-10-09 2011-04-01
2 Agarwal, Ashish Ashok M Rep 2008-09-22 2012-11-01
3 Au, Johannes Yu Hang 歐宇恆 M Rep 2007-02-26 2008-11-20
4 Au, Yiu Bong 區耀邦 Rep 2005-12-23 2008-05-10
5 Balanco, Laurence M Rep 2007-07-18 2008-05-20
Rep 2008-06-19 2012-12-17
6 Bengson, Michael Roxas M Rep 2007-05-30 2010-08-13
7 Bhatt, Jay Hemant Rep 2004-05-10
8 Bowers, John Pennington M Rep 2008-08-25 2012-12-24
9 Bradley, Edmund Hugh M RO 2014-06-18
10 Bruce, Robert Cameron M Rep 2007-06-21 2012-12-24
11 Calder, Kieran John M Rep 2007-07-10 2007-09-29
12 Cao, Bingchao 曹秉超 Rep 2007-04-13 2008-08-08
13 Capron, Jeremie Laurent M Rep 2007-06-29 2012-12-10
14 Cashmore, Nicholas Willoughby M Rep 2004-11-16 2007-02-01
Rep 2008-09-12 2012-01-24
15 Chan, Dominic Chi Ming 陳志銘 M Rep 2008-05-07
16 Chan, Gabriel Raeburn 陳偉邦 M Rep 2003-12-09 2004-08-27
17 Chan, Kerry Mo Yu 陳慕瑜 Rep 2004-11-22
18 Chan, Kevin Wing Tak 陳永德 43 M Rep 2008-06-27 2012-12-17
19 Chan, Pui Tin (SFC:APK145) 陳佩鈿 Rep 2009-06-22 2011-05-11
20 Chan, Siu Cheong (SFC:AOR822) 陳兆昌 Rep 2007-03-16 2009-05-18
21 Chan, Tien-Yu Rep 2007-06-25 2008-08-30
22 Chan, Vonnie Lai Yin 陳麗妍 Rep 2006-08-31
23 Chan, Yan (SFC:AOB250) 陳茵 Rep 2008-11-25 2012-01-16
24 Chan, Yat Hei (SFC:APR545) 陳逸熙 Rep 2007-09-27 2010-07-02
25 Chaturvedi, Deepti Rep 2008-09-11 2012-12-03
26 Chee, Chin Aik Rep 2007-12-12 2008-08-29
27 Chen, Chia-Chi 陳佳琦 Rep 2007-04-16 2012-12-10
28 Chen, John (SFC:AOX386) 陳健雄 M Rep 2007-05-15 2010-09-17
29 Chen, Li-Fong 陳豊丰 Rep 2007-05-18 2008-04-02
30 Chen, Wenhan (SFC:APF628) 陳文翰 Rep 2007-07-10 2010-09-10
31 Chen, Ying (SFC:APU686) 陳瑩 Rep 2008-10-21 2009-08-19
32 Chen, Zi Mu Rep 2004-07-26 2006-11-09
33 Cheng, Brian Chi Ming 鄭志明 27 M Rep 2005-10-13 2007-12-21
34 Cheng, Chao-Kang 鄭兆剛 Rep 2007-05-21 2012-12-03
35 Cheng, Ming-Kai 鄭名凱 Rep 2005-09-16 2006-05-04
Rep 2006-08-21 2011-08-01
36 Cheng, Patricia Oi Ching 鄭愛晶 F Rep 2009-08-21 2012-12-24
37 Cheng, Tau Cheung 鄭導昌 Rep 2006-09-07
38 Cheng, Ting-Yun 鄭婷云 Rep 2009-08-04 2010-08-06
39 Cheung, Francis Yiu Cheong 張耀昌 M Rep 2012-12-10
40 Cheung, Tsz Kit 張子傑 Rep 2004-04-23 2005-09-21
41 Chin, Clare Kit Ching F Rep 2007-11-29 2012-12-03
42 Chiu, On Sang 丘安生 Rep 2003-09-24 2005-01-24
43 Cho, Larry Yui Kwan 曹銳焜 M Rep 2009-06-25 2009-09-11
44 Chow, Philip Chih-Lok 周子諾 M Rep 2009-09-28 2012-05-23
45 Chu, Christopher (SFC:AQD399) M Rep 2007-12-12 2008-07-25
46 Chu, Tien 朱恬 Rep 2007-05-18 2012-11-30
47 Chung, Yong Ho Rep 2008-02-01 2012-12-31
48 Cochran, Shaun Donald M Rep 2007-06-07 2012-12-31
49 Coull, Gary William John 顧家利 55 M RO 2006-10-26
50 Da Cruz, Antonia Maria 告崇 F Rep 2007-12-18 2012-12-01
51 Dai, Wei (SFC:AOR609) 戴維 Rep 2007-03-15 2010-05-18
52 Dhasmana, Vaibhav Rep 2009-02-16 2011-08-26
53 Dinwoodie, Christian Gilbert M Rep 2008-09-05 2012-12-03
54 Driscoll, Andrew Tasman M Rep 2005-03-07 2012-12-03
55 Dutta, Anirudha Rep 2007-07-03 2012-11-01
56 Dwerryhouse, Alan Damian (1966-11-10) 43 M Rep 2008-09-18 2012-12-03
57 Dy, Alfred Olmedo M Rep 2007-06-25 2012-11-01
58 Ejiri, Norimasa Rep 2008-09-10 2008-10-24
59 Evans, Matthew Neil (SFC:AFC355) M Rep 2007-06-13 2012-12-17
60 Fallon, Nicola Gillian F Rep 2004-07-06 2007-02-01
61 Fan, Cliff Kuang Cheng 樊光正 Rep 2007-01-16 2007-03-16
62 Feng, Dawei (SFC:AQO276) 馮大為 Rep 2009-02-04 2012-12-10
63 Fischer, Aaron Alexander 余雅樂 M Rep 2005-04-19 2007-02-01
Rep 2007-06-08 2012-12-03
64 Fishwick, Eric James M Rep 2008-08-08 2012-12-10
65 Gill, Amar Singh (SFC:AHB999) 喬昇安 M Rep 2007-03-08
RO 2007-03-08 2007-08-30
Rep 2007-08-30 2012-12-03
66 Ginesky, Bret Matthew M Rep 2009-09-17 2011-06-14
67 Goo, Hanna Rep 2009-12-09 2010-06-08
68 Gotama, Suwantara Lim Rep 2008-09-17 2012-12-31
69 Govil, Anshu Rep 2008-09-22 2011-04-15
70 Goyal, Atul Rep 2007-07-17 2011-09-05
71 Graham, William James Angus 40 M Rep 2004-07-26 2005-01-10
Rep 2007-08-30 2009-04-17
Rep 2009-12-09 2011-12-30
72 Gruber, James M Rep 2007-06-07 2010-07-03
73 Halmos, Laurent Jacques M Rep 2008-04-23 2008-11-12
74 Harbison, Janet Ruth F Rep 2008-09-18 2012-12-10
75 Hewitt, David James M Rep 2007-07-25 2011-05-12
76 Ho, Eric Wing Kee 何永基 M Rep 2007-12-11 2008-07-18
77 Ho, Henry Hin Hung 何顯鴻 53 M Rep 2008-05-08 2008-11-14
78 Ho, Hung Chi 何鴻智 Rep 2008-06-10 2009-03-06
79 Ho, Ka Wai (SFC:AKV099) 何家維 42 M Rep 2005-05-18 2009-03-04
80 Hong, Jenny F Rep 2009-02-26 2012-06-29
81 Hsu, Hui-Hui 許蕙蕙 Rep 2007-05-16 2011-05-09
82 Huang, Chen (SFC:AQM708) 黃晨 Rep 2009-02-03 2012-12-03
83 Ie, Wilianto Rep 2007-05-22 2010-08-31
84 Jiang, Yujiao 蔣玉姣 Rep 2007-08-27 2008-04-09
85 Jing, Xingyu Rep 2004-03-22 2005-05-25
86 Joshi, Nimish Amar Rep 2009-09-15 2012-12-24
87 Juatirak, Pisit Rep 2008-09-22 2008-12-01
88 Kan, Ching-Jen 甘清仁 Rep 2007-05-18 2009-08-03
89 Kao, Margaret Ju-Han 高若涵 F Rep 2007-12-11 2009-03-04
90 Kedia, Mahesh Kumar M Rep 2009-10-28 2012-12-17
91 Kim, Irene Yang F Rep 2009-12-01 2012-07-28
92 Kim, Jeewon F Rep 2008-03-17 2008-11-24
93 Knowd, Graeme David M Rep 2007-08-06 2008-05-17
94 Kurosawa, Makoto Rep 2007-05-30 2012-06-22
95 Kwan, Wing Kin (SFC:ALU751) 關永堅 Rep 2005-03-10 2007-05-03
96 Kwan, Wing Lok 關榮樂 Rep 2004-09-09 2009-03-04
97 Ladeuix, Hernan Rep 2009-10-21 2012-04-03
98 Lai, Hui Chuan 賴惠娟 Rep 2006-11-28 2010-11-30
99 Lai, Kuen 賴娟 F Rep 2008-07-18 2008-12-31
100 Lai, Miranda Fung Sin 黎鳳仙 F Rep 2005-03-02 2005-09-21
101 Lam, Wai Fung (SFC:AIH365) 林偉峰 Rep 2003-09-10
102 Laprise, James Scott M Rep 2007-04-10 2012-12-10
103 Lau, Siu Man (SFC:ACV996) 劉紹文 Rep 2004-07-06
104 Lau, Stephanie Chi Ling 劉致伶 F Rep 2007-07-16 2008-10-08
105 Lee, Chan Pheng Rep 2008-01-02 2009-03-04
106 Lee, Chun Wah (SFC:AFR066) 李俊華 Rep 2004-07-02 2005-09-28
107 Lee, David Jun Hyuk 李峻赫 M Rep 2008-02-01 2012-12-03
108 Lee, Kwok Chu (SFC:ALT779) 李國柱 Rep 2005-03-03 2010-04-22
109 Lee, Sai Fan 李世璠 Rep 2004-01-27 2006-10-27
110 Lee, Sarah Hau Yee 李巧兒 F Rep 2003-09-13
111 Lee, Young Jae Rep 2008-03-26 2009-06-30
112 Leong, Eugenia 梁嘉敏 F Rep 2007-12-11 2009-06-04
113 Leung, Heung Yik 梁向奕 Rep 2012-12-10
114 Leung, Kevin Koon Yip 梁冠業 M Rep 2006-01-23 2008-04-29
115 Leung, Pak Chun 梁柏津 Rep 2008-01-11 2010-09-17
116 Leung, Richard Chi Wing 梁志榮 M Rep 2009-09-28 2012-11-30
117 Leung, Stephen Yiu Ki 梁耀基 M Rep 2007-06-11 2009-11-25
118 Leung, Sze Wai (SFC:AMJ602) 梁思慧 Rep 2007-08-22 2012-12-31
119 Leung, Wing Chong (SFC:AJE082) 梁穎聰 Rep 2003-09-18 2004-06-16
120 Li, Hui (SFC:ACF342) 李慧 Rep 2007-03-15
121 Li, Zhe (SFC:AOT398) 李喆 Rep 2007-04-02 2011-04-08
122 Lim, Dong Soo 林東秀 Rep 2007-06-07 2012-12-03
123 Lim, Yuin 林昀 Rep 2008-04-08 2009-03-04
124 Liu, Wei (SFC:ALG199) 劉煒 Rep 2007-02-26 2008-05-28
125 Liu, Yun (SFC:AHS958) 劉運 Rep 2004-04-06
126 Lobello, Christopher Michael M Rep 2008-01-07
RO 2008-01-07 2008-07-04
Rep 2008-07-04 2011-01-11
127 Loh, Emily Weixian F Rep 2007-05-30 2007-09-01
128 Loong, Chee Wei Rep 2007-07-03 2012-11-01
129 Lowe, Adrian Phillip 劉世君 M Rep 2008-06-30
130 Lu, Kuen-Lin 呂昆霖 Rep 2009-01-02 2012-11-01
131 Lu, Wen Pin 盧文彬 Rep 2003-07-08 2006-06-23
132 Lu, Zheng (SFC:ARD176) 盧正 Rep 2008-05-28 2010-08-06
133 Lui, Man Yee 呂敏儀 Rep 2005-08-24 2008-06-20
134 Luk, Amy Ka Ping 陸嘉萍 37 F Rep 2005-09-30 2007-07-21
135 Luk, Priscilla Hau Yi 陸巧兒 F Rep 2003-08-11
136 Ma, Weihui 馬維慧 Rep 2007-04-24 2007-07-01
137 Ma, Yuan (SFC:APH710) 馬原 Rep 2007-07-30 2007-11-24
138 Maes, Caroline Nelly Paul Rep 2007-06-04 2009-10-16
139 Man, Wai Lok 文偉樂 Rep 2012-12-17
140 Manalaysay, Raphael Tablante M Rep 2008-09-18 2010-06-04
141 Matthew, Oliver James Gray M Rep 2008-09-10 2012-12-24
142 McKenzie, Paul Conor M Rep 2003-07-02 2012-12-24
143 Miyamoto, Takeo M Rep 2007-06-25 2007-11-27
144 Moe, Richard Edward M Rep 2008-01-24 2010-01-13
145 Montague, Jolyon Charles M Rep 2003-08-04 2009-09-28
146 Morrison, Robert William Bentley 48 M RO 2006-11-14 2009-06-30
147 Moss, James Thomas M Rep 2007-05-21 2012-02-22
148 Muston, Nigel Peter M Rep 2008-04-24 2012-12-24
149 Muthangi, Kamal Sandeep Ram Rep 2007-07-09 2007-08-08
150 Naik, Abhijeet Kisan Rep 2009-09-17 2012-11-01
151 Nandurkar, Mahesh Yashwant M Rep 2008-09-22 2012-12-17
152 Neelakantan, Krishnan Rep 2007-07-03 2012-11-01
153 Ng, Huei Suen Rep 2007-12-27 2012-12-10
154 Ng, Karen Ka Fai 吳家暉 29 F Rep 2004-09-14 2005-12-07
155 Nguyen, Anh Tai Rep 2007-08-13 2007-12-22
156 Nichgaroon, Pimpaka Rep 2007-05-21 2007-12-29
157 Nik Mahmood, Nik Hadi Bin Rep 2009-04-03 2009-08-29
158 O'Connor, Kevin John (SFC:AJC482) M Rep 2003-08-04 2007-06-30
159 Obi, Uzoamaka Uduego Rep 2003-06-20
160 Oentung, Nicolaos Marcelinus Rep 2007-12-03 2009-05-01
161 Oh, Jon Teng Rep 2009-06-24 2012-12-17
162 Oh, Jung Won Rep 2007-07-03 2013-01-04
163 Oh, Kuan Yu Rep 2009-12-31 2012-01-16
164 Oh, Minsok Rep 2009-12-14 2011-04-01
165 Olausson, Bernt Niklas Rep 2007-04-18 2007-11-10
166 Panjwani, Rajesh M Rep 2008-09-22 2012-12-24
167 Panpiemras, Soraphob Rep 2007-05-21 2008-04-23
168 Park, Sang Eun Rep 2008-02-05 2011-03-01
169 Park, Terence-Young Rep 2008-08-25 2012-12-31
170 Paterson, James Willock M RO 2009-05-08 2013-02-26
171 Peramunetilleke, Desamanya C. Rep 2009-11-25 2012-12-10
172 Peza, Charle Ong Rep 2003-05-05 2004-08-10
173 Pope, Leavitt Joseph M Rep 2008-10-28 2010-08-20
174 Powell, Simon Philip M Rep 2006-09-27 2012-12-31
175 Quah, Paul Wui Khaig M Rep 2007-08-30 2012-12-24
176 Reynolds, Andrew Shawn 44 M Rep 2007-02-01
Rep 2007-08-07 2009-03-31
177 Rheinwald, Stefan Willibald Rep 2007-06-28 2007-10-20
178 Richter, Christopher John M Rep 2008-01-21 2012-12-03
179 Roberts, Christopher Fenton 羅弼時 M Rep 2003-07-02 2004-05-10
Rep 2005-06-28 2005-12-23
Rep 2006-07-17 2007-06-19
180 Sandison, David John Macgregor 46 M Rep 2008-09-18 2009-10-09
181 Sanft, Erwin Ralph (SFC:AED179) 歐文 M Rep 2004-06-25
182 Sangiambut, Manop Rep 2004-03-10 2005-09-28
183 Saunders, John Russell M Rep 2007-09-11
184 Schuster, Andreas Albert M Rep 2007-07-25 2012-11-01
185 Schutte, Daniel Johannes M Rep 2009-12-31
RO 2009-12-31 2014-06-18
186 Senaratne, Dee Cyril M Rep 2008-06-27 2012-12-03
187 Shi, Fangqiu 史方遒 Rep 2006-10-17
188 Sinha, Neel NA Rep 2007-07-03 2009-04-30
189 Sinha, Somshankar Rep 2007-07-24 2012-05-26
190 Snelgrove, Paul Rodger M Rep 2004-09-24 2006-07-28
191 So, Petrina Pui Yan 蘇佩恩 Rep 2007-06-07 2008-08-08
192 Solihin, Ahmad Rep 2008-03-10 2010-07-16
193 Solvet, Eric Serge M Rep 2006-02-20 2007-03-19
194 Srivichit, Jittrawadee Rep 2007-05-22 2008-07-24
195 Stevenson, Andrew Mark Bryce 46 M Rep 2004-08-02 2008-08-01
196 Stotz, Andrew Charles M Rep 2007-11-26 2010-01-13
197 Sutton, Peter Thomas M Rep 2009-03-31 2012-12-24
198 Tam, Winson 譚子群 Rep 2009-08-25 2009-10-02
199 Tan, Janice Chui Ha 譚翠霞 Rep 2007-06-07
200 Tang, Chi Kit (SFC:ALC474) 鄧智傑 Rep 2007-08-22 2008-07-04
201 Tang, Chuan (SFC:AMF316) 唐川 Rep 2008-06-10 2009-02-19
202 Tang, Xiaobo (SFC:ALY952) 唐驍波 Rep 2005-10-25 2006-09-29
203 Thirlwall, Oliver Julian M Rep 2003-09-30
204 Tonkin, Jeremy Nigel M Rep 2007-07-25 2009-03-04
205 Trinidad, Jose Edser Diaz Rep 2007-05-30 2007-06-30
206 Tsoi, Ting Sze 蔡婷思 Rep 2003-07-02 2010-06-30
207 Tulloch, Gillem Michael M Rep 2007-05-18 2008-01-01
208 Vajpayee, Bhavtosh Rep 2009-03-31 2011-04-08
209 Venezuela, Leo Benedict Dualan M Rep 2007-11-21 2012-03-30
210 Voss, Vanessa Christine F Rep 2009-02-02 2009-11-20
211 Wan, Paul Po Wing 溫寶榮 M Rep 2007-07-04 2012-12-24
212 Wang, Bo (SFC:AGD229) 汪波 Rep 2004-09-16 2005-01-06
213 Warden, Bruce Bailey M Rep 2007-05-21 2011-07-11
214 Watson, James Tinto (SFC:AQM722) M Rep 2009-07-13 2009-11-30
215 Wei, Xiaopo 魏晓坡 Rep 2007-06-26 2012-12-31
216 Whittall, Matthew St Clair 36 M Rep 2008-04-10 2010-07-05
217 Wickramasinghe, Thilan Aloysius Rep 2007-06-04 2010-04-19
218 Wilkinson, Anthony John Cooper M Rep 2005-10-25 2011-05-27
219 Wong, Mabel Mei Po 黃美寶 F Rep 2005-10-21
220 Wong, Yew Kiang Rep 2007-06-04 2012-12-31
221 Wong, Yim (SFC:AFU666) 王艷 Rep 2006-10-09 2012-12-24
222 Wood, Christopher James Russell 52 M Rep 2012-12-10
223 Wu, Fei (SFC:AQM713) 吳菲 Rep 2009-02-03 2011-04-15
224 Wu, Grace Yuet Ming 胡月明 F Rep 2007-07-16 2008-09-05
225 Wu, Jiaxin (SFC:ARD174) 吳佳鑫 Rep 2008-05-28 2010-07-22
226 Yadav, Gaurav Rep 2008-09-22 2011-04-18
227 Yahata, Kanehide 八幡謙秀 Rep 2007-09-24 2010-05-30
228 Yeoh, Pang Tian Rep 2007-08-22 2008-06-20
229 Yeung, Keith Kwok Ki 楊國基 M Rep 2006-07-26
230 Yin, Li (SFC:APR855) Rep 2007-10-02 2008-05-09
231 Yonts, Charles Anthony M Rep 2007-05-03 2012-12-03
232 Yuen, Robin 袁肇鋒 Rep 2007-12-12 2009-03-04
233 Yung, Melody Wing Ping 容詠萍 F Rep 2007-03-22 2008-02-04
234 Zee, Chi Ming 徐啟敏 Rep 2004-03-30 2005-04-27
235 Zhang, Feng (SFC:AGP569) 張峰 Rep 2003-08-14 2004-07-13
236 Zhang, Jingjing (SFC:AOL563) 張晶晶 Rep 2007-01-29 2007-03-09
237 Zhang, Weifeng (SFC:AOT367) 張偉峰 Rep 2007-04-02 2011-04-18
238 Zhou, Ling (SFC:AQM715) 周靈 Rep 2008-02-21 2011-04-18
239 Zhu, Liliang (SFC:AQW227) 朱麗凉 Rep 2009-02-04 2011-04-18
240 Zhuo, Zhengjie Rep 2007-06-04 2008-02-02

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