UBS SECURITIES ASIA LIMITED

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SFC licensees

RO=Responsible Officer, Rep=Representative

Name Age in
2003
SFC ID Role From Until
1 Anderson, Jonathan Gentile M AGW280 Rep 2003-05-30 2012-03-08
2 Anderson, Michael James (SFC:ABX611) M ABX611 Rep 2006-07-01
3 Aw, Michael Soon Beng 胡順炳 28 M AGC164 Rep 2003-06-25
4 Barker, Angus Jack Rutherford M AES430 Rep 2003-05-06 2003-07-03
5 Basham, Caroline Charlotte F AFU065 Rep 2004-08-17
6 Baur, Markus Peter M AIC327 Rep 2003-06-25
7 Beniwal, Saurabh AHI791 Rep 2003-06-25
8 Beshke, Clarence John M ADS271 RO 2010-10-15
9 Bibby, Nicholas Paley M ADB688 Rep 2003-05-30
10 Boland, Frank Joseph M AGT131 Rep 2003-04-23
11 Bradshaw, John (SFC:AHC328) M AHC328 Rep 2012-03-29
12 Brown, Marcus William Ross M AGH930 Rep 2003-06-25
13 Burnett, Peter William (SFC:ADX522) M ADX522 RO 2003-06-25
14 Chan Yeung, Virginia Mo Bik 陳楊慕碧 ADY936 Rep 2006-05-26
15 Chan, Amy Yuen Han 陳婉嫻 F ADY964 Rep 2008-08-28
16 Chan, Andy Kok Heng AFC953 Rep 2010-05-20
17 Chan, Mark Man Wai 陳孟為 M ABR486 Rep 2003-04-09
18 Chan, Raymond Yiu Yue 陳耀宇 M AHA800 Rep 2003-06-25
19 Chan, Vincent Cheong Wa 陳昌華 M ACA303 Rep 2004-04-29
20 Chan, Winnie (SFC:AFD453) 陳韻妮 F AFD453 Rep 2003-06-25
21 Chang, Walter 陳華德 M ABT445 Rep 2004-04-21
22 Chee, Choon Wee 朱俊偉 AFX097 Rep 2003-06-25
23 Chee, Yuen Leng 朱宛玲 AHK661 Rep 2004-02-01
24 Chen, Xiao (SFC:AHD966) 陳霄 AHD966 Rep 2003-06-25
25 Chenaux-Repond, Lorenz Michael M AES431 Rep 2003-06-25
26 Cheng, James Vincent M AIC014 Rep 2004-04-29
27 Cheng, Jimmy Min Tat 鄭勉達 M ACV741 RO 2005-05-20
28 Cheng, Stephen Kwok Wai 鄭國偉 34 M ADS285 Rep 2005-04-27
29 Cheung, Ka Che 張家熾 AFX502 Rep 2005-07-05
30 Cheung, Ronald Yat Sau 張逸修 M AHJ471 Rep 2016-07-19
31 Chew, Jason Chiat Tsen 周傑昇 M AIN850 Rep 2003-06-25
32 Chia, Tse Ern AFO306 Rep 2004-03-26
33 Chik, Kin Nang 戚健能 AHR162 Rep 2008-03-15
34 Chin, David Hung I 金弘毅 35 M ADT385 RO 2004-07-01
35 Chin, Michael Jaewuk M ACZ609 Rep 2006-09-04
36 Chin, Sara Taechung F AHA555 Rep 2003-06-25
37 Chiu, Leo Yu Yuk 趙汝昱 M AHZ628 Rep 2003-06-25
38 Chong, Kian Shing 張建成 AGE022 Rep 2003-06-25
39 Chow, Siu Han 周笑嫻 ADX152 Rep 2003-06-25
40 Chu, Danny Wai Kit 朱偉傑 AFV890 Rep 2006-09-02
41 Chu, Pierre Wang Chung 朱宏中 M AGK798 Rep 2003-06-25
42 Chung, Melanie Man Ki 鍾文琦 F AIG158 Rep 2003-06-25
43 Chung, Rex Richard Kyuchang M AEI990 Rep 2003-06-25
44 Chung, Suk Moon 鄭碩紋 AEK432 Rep 2004-06-03
45 Cin, Chang Sik AHM834 Rep 2018-12-29
46 Clifford, Timothy Edward M AFH048 Rep 2004-08-07
47 Coffeng, John Martinus (SFC:ADJ820) M ADJ820 Rep 2010-09-06
48 Combalot, Laurent Benoit Georges M AHC015 Rep 2009-05-06
49 Cox, Carrie Bigelow F ADR668 Rep 2004-04-15
50 Debow, Sean Herbert 狄寶生 M ACM546 Rep 2005-03-02
51 Ding, Yibing 丁一賓 ADJ647 Rep 2004-07-01
52 Dong, William Chen M AIU737 Rep 2003-05-09 2004-02-24
53 Dowie, Mark Peter Louden 42 M ADC078 RO 2004-04-01
54 Easterbrook, Trevor Stephen M AGX021 Rep 2004-02-23
55 Fang, Dongming 房東明 AFE991 Rep 2007-12-08
56 Fang, Sean Sung Ho 方頌和 35 M ADS446 Rep 2003-06-25
57 Fisher, Jocelyn Howard M AFB130 Rep 2004-03-15
58 Fok, Glenn 霍經麟 46 M ABN513 Rep 2003-06-25
59 Fok, Ronald King Man 霍敬文 26 M AGE025 Rep 2018-05-04
60 Gaiser, Florian AHY465 Rep 2004-05-17
61 Gaw, Christina 吳燕安 31 F ACS896 Rep 2008-06-14
62 Ghag, Arvinderpal AIB940 Rep 2004-04-27
63 Gooding, Nial Dennis Henry 劉國誠 44 M ABS538 Rep 2010-03-19
64 Gu, Huaiyu 谷懷雨 AGX678 Rep 2003-06-25
65 He, Di (1948) 何迪 55 M AEL657 Rep 2003-06-25
66 Henley, Robert Alexander M AHR011 Rep 2006-04-01
67 Ho, Beatrice Lap Sze 何立思 F ADS141 Rep 2004-04-23
68 Ho, Diana Pui Kwan 何佩君 F ABY481 Rep 2011-10-18
69 Ho, Kwok Chung (SFC:AAB905) 何國仲 AAB905 Rep 2008-05-07
70 Ho, Stanley Yaun 何仁 M AGA624 Rep 2003-06-25
71 Ho, Tat Shing 何達成 AHA554 Rep 2003-08-21
72 Ho, William Wai Yin 何偉賢 M AFE790 Rep 2004-04-14
73 Holland, John Michael Morgan 40 M AFR867 RO 2003-11-11
74 Hoong, Chris Cheong Thard 孔祥達 35 M ACB773 Rep 2003-05-15
75 Hosie, Neil Cameron M AHQ348 Rep 2004-05-28
76 Houssian, Iven ADQ120 Rep 2004-07-06
77 Hsu, Karen Chia Lin 徐嘉琳 F ACO622 Rep 2004-02-23
78 Hui, Alice Suk Fong 許淑芳 F AAK174 Rep 2007-01-25
79 Hung, Gary Lok Ming 熊洛銘 M ADY288 Rep 2006-03-04
80 Hunt, Christopher James Andrews M AHR004 Rep 2011-07-27
81 Jackamo Ii, Thomas Joseph M AFD746 Rep 2003-06-25
82 Jacobson, John Brennan M ACV752 Rep 2003-09-02
83 Jeong, Joseph Chu M AEY997 Rep 2003-07-29
84 Jiang, Shan (SFC:AGE826) 姜山 32 M AGE826 Rep 2003-06-25
85 Johnson, Pekka David (SFC:ADL598) M ADL598 Rep 2005-03-21
86 Johnston, Richard William M AET370 Rep 2004-04-14
87 Kandiah, Sutharshan AHF855 Rep 2003-06-25
88 Kang, Minja AGJ645 Rep 2004-02-02
89 Khoo, Chiew Cheng 邱秋清 AEJ606 Rep 2006-04-21
90 Kim, Su Mi (SFC:AEW312) 金秀美 AEW312 Rep 2003-06-25
91 Kim, Susan Eun F AIB938 Rep 2008-05-07
92 Kuan, Shu Shin 關素馨 AET363 Rep 2004-03-12
93 Kwan, Sing Yuen 關承遠 ABW052 Rep
94 Kwik, Claudia Hwee Kim F AGK799 Rep 2003-06-25
95 Lai, Paul Wai Tsun 賴維津 M AED148 Rep 2004-07-01
96 Lai, Wing Yi 黎詠儀 AED789 Rep 2003-05-30
97 Lam, Franklin Fan Keung 林奮強 43 M ABG110 Rep 2005-04-27
98 Lam, Hu Yang 林曉陽 ADU633 Rep 2006-09-16
99 Lam, Mo Yee 林慕怡 AGN596 Rep 2003-06-25
100 Lam, Vanessa Yuk Yee 林玉儀 F AID483 Rep 2006-08-26
101 Lau, Marcus Chi Chiu 劉志超 M AAC292 Rep 2006-06-08
102 Lau, Patricia Yan Ki 劉恩琪 24 F AIH455 Rep 2003-06-25
103 Law, Wendy Wing Chi 羅穎芝 F AHS272 Rep 2005-06-13
104 Lee, Chris C AGX022 Rep 2003-07-29
105 Lee, Christopher Fai Man 李輝敏 37 M ACW239 Rep 2010-03-22
106 Lee, Gene Jin-Won AGP540 Rep 2003-06-25
107 Lee, Hyun Jae (SFC:AHN694) 李賢宰 AHN694 Rep 2007-04-19
108 Lee, James (SFC:AHW505) M AHW505 Rep 2003-06-25
109 Lee, Simon Chun Kit 李俊傑 27 M AHA361 Rep 2009-04-22
110 Lee, Won Jong AFU204 Rep 2010-07-05
111 Leong, Vui Ling 梁偉靈 AEB584 Rep 2006-03-01
112 Lepper, David Anthony (SFC:AGJ984) M AGJ984 Rep 2008-07-16
113 Leung, Derek Yuk Lun 梁旭麟 M AGF367 Rep 2003-06-25
114 Leung, Mary Ka Yan 梁家恩 F AEJ838 Rep 2003-06-25
115 Liew, Yew Wah AET878 Rep 2004-04-28
116 Lim, Bryan Patrick Hong Chin M AIC039 Rep 2003-06-25
117 Lim, Meng Phong 林明鳳 AFH049 Rep 2017-06-28
118 Look, Andrew 陸東 38 M ACO365 Rep 2007-07-05
119 Louie, Paul Kwok Yi 雷國怡 M AES876 Rep 2005-07-19
120 Lu, Edmund Lingjian 盧淩堅 M AGL936 Rep 2005-03-29
121 Luk, Terence (SFC:AGI503) 陸凱賢 M AGI503 Rep 2006-01-28
122 Ma, Kwun Yea 馬君意 AEF918 Rep 2006-02-28
123 Mackinnon, Charles Harold Hugh M AFX083 Rep 2003-04-10
124 McLennan, Ian Richard James 38 M AFA721 Rep 2004-01-02
125 McQueen, Lee Michael M ACR744 Rep 2004-01-09
126 Melwani, Rajesh Ramesh (SFC:AEU252) M AEU252 Rep 2010-01-26
127 Mizoguchi, Hironori AHL612 Rep 2004-03-12
128 Mou, Newman Siu Bun 繆肇彬 ABL554 Rep 2006-06-15
129 Mukhopadhyay, Ajinkya AHF255 Rep 2003-06-25
130 Ng, Diana Tze Chiew 黃紫秋 F ADX263 Rep 2004-10-20
131 Ng, Hooi Chong 黃慧聰 35 M ADH384 Rep 2003-04-30
132 Norris, Richard (SFC:AHG719) M AHG719 Rep 2004-05-18
133 Oertli, Michael M AFA291 RO 2004-04-22
134 Ollerenshaw, Simon Gerald M AHD912 Rep 2003-06-25
135 Orgill, Bradley Wayne M ACR853 RO 2005-03-24
136 Pang, Kenneth Kwok Kit 彭國傑 M AEO731 Rep 2009-04-08
137 Park, Min AFA670 Rep 2004-07-29
138 Parthasarathy, Raja ADB039 Rep 2003-06-25
139 Patel, Jinesh Kiran AFQ415 Rep 2006-06-24
140 Pecot III, Charles Matthew 43 M AHA548 Rep 2005-04-27
141 Pfatteicher, Peter Alexander M AGO206 Rep 2003-05-02
142 Pickstone, Julian Charles (SFC:AFT961) M AFT961 Rep 2007-09-03
143 Png, Chin Yee AGF416 Rep 2003-06-25
144 Po, Alice Wai Sze 保慧思 F ADU277 Rep 2005-08-18
145 Poon, Ada Ho Yan 潘可欣 F AFQ511 Rep 2004-07-01
146 Poon, Jenny 潘珍妮 F AHR022 Rep 2003-05-24
147 Poon, Ming Pui 潘明培 M AAF320 RO 2005-03-30
148 Price, Edmund Hugh Owain 34 M ADS121 Rep 2003-06-25
149 Qiu, Ruofei 邱若非 AHC003 Rep 2003-06-25
150 Rabinowitz, David M AHW502 Rep 2010-09-06
151 Raha, Arup ACZ725 Rep 2003-04-11
152 Ramanathan, Badrinath AHC211 Rep 2003-06-25
153 Rankin, Robert John 40 M AHA363 Rep 2003-06-25
154 Redbourn, Paul Robert (SFC:AFQ906) M AFQ906 Rep 2010-10-15
155 Robertson, James Hewitt M AIC253 Rep 2003-04-30
156 Robertson, Simon Montague M AGI097 Rep 2010-04-09
157 Rogers, Simon Andrew (SFC:ABF904) M ABF904 Rep 2003-09-05
158 Ross, Timothy Wakefield M AEX691 Rep 2005-05-03
159 Roth, Gunther James M AHC183 Rep 2003-06-25
160 Sanchez, Marlon Mikhail M ADJ822 Rep 2006-05-16
161 Saunders, Scott Antony M ADC081 RO 2005-05-20
162 Saxvik, Eric Bradley M ACR775 Rep 2012-04-13
163 Shah, Dimple (SFC:AIC117) AIC117 Rep 2003-04-30
164 Shieh, Ingrid AHA547 Rep 2004-04-29
165 Sim, Colin Ching Wern M AGN521 Rep 2007-06-14
166 Sinclair, Andrew Mark (SFC:AGP545) M AGP545 Rep 2004-04-18
167 Siu, Madeline Kor Man 蕭可敏 F AIO031 Rep 2003-06-25
168 Smith, Michael Thomas (SFC:AGL937) M AGL937 Rep 2003-06-25
169 Sohn, Bill Eun-Seok M AHN695 Rep 2007-01-23
170 Spence, James Barclay M AAY347 Rep 2004-04-02
171 Stutsman, Andrea Jean F AGF487 Rep 2006-05-01
172 Suen, Benny Hung Kit 孫雄傑 M AIB797 Rep 2009-04-22
173 Sum, Hing Man 岑慶文 ABW145 Rep 2014-04-11
174 Sun, Lucy Shin Su 孫心樹 F AFE095 Rep 2003-05-15 2005-06-15
175 Sun, Steven John 孫常勝 46 M ACR153 Rep 2003-06-25
176 Tan, Lien Seng AFK584 Rep 2005-03-21
177 Tan, Nicholas Chye Seng (1973) 30 M AGP551 Rep 2004-05-31
178 Tan, Yew Boon 陳友文 AFS647 Rep 2004-05-04
179 Tay, Marcus Noel Chien Pheng M AIE131 Rep 2003-06-25
180 Taylor, Christopher Michael (SFC:AEC940) M AEC940 Rep 2003-04-15
181 Teh, Kihui AGC161 Rep 2003-06-25
182 Thomas, Rebecca Judith F AHC210 Rep 2004-05-13
183 Tinker, Dylan Carlo 35 M ACC173 Rep 2005-04-11
184 Tse, Jaff Ka Wai 謝家威 ADR277 Rep 2003-04-10
185 Tse, Shirley Sze Wan 謝詩韻 F AFU564 Rep 2009-11-30
186 Tsui, Charles King 徐勁 M AGB114 Rep 2003-11-04
187 Villanueva, Bryan Uy 蘇龍 M AFJ228 Rep 2003-06-25
188 Volet, Raphael M AGS546 Rep 2004-04-02
189 Wadle, John Allen M AGS454 Rep 2009-04-07
190 Wan, Li (SFC:AHD514) 萬里 AHD514 Rep 2004-03-08
191 Wan, Ming Sun 尹明山 30 M AGW059 Rep 2004-02-26
192 Wang, Ren (SFC:AIB127) 汪韌 31 M AIB127 Rep 2003-06-25
193 Ward, Rodney Gordon 賀利華 59 M ACD837 RO 2003-06-25
194 Wee, Liang Sin AHK048 Rep 2003-05-30
195 Wei, Amy Mei 魏薇 F AFW953 Rep 2003-06-25
196 West, Colin Thomas M AFZ863 RO 2003-06-25
197 Williams, Mark Fraser M AGJ433 Rep 2003-06-25
198 Williams, Sian Elizabeth (SFC:ADT132) F ADT132 Rep 2004-05-28
199 Wong, Constance 黃子欣 F ABR876 Rep 2008-05-24
200 Wong, Eric Chun Yu 王震宇 M AEU432 Rep 2011-03-10
201 Wong, Jenny Chieh Lu 王潔如 F AGL441 Rep 2006-06-17
202 Wong, Kenneth Hong Kit 黃匡傑 M AGA146 Rep 2003-06-25
203 Wong, Ronald Kwok Kit 黃國傑 M AEW968 Rep 2003-06-18
204 Wong, Steven Siu Kee 黃紹基 M AGC687 Rep 2003-06-25
205 Wooldridge, Duncan Samuel M AEU633 Rep 2003-06-27 2017-06-10
206 Wu, Chi Wai (SFC:AIQ683) 胡志威 AIQ683 Rep 2011-10-24
207 Wu, James Yun M AGN747 Rep 2009-05-13
208 Wu, Samuel Shung Shan 鄔崇山 M AIG147 Rep 2003-06-25
209 Xiao, Qing (SFC:AFE509) 肖清 AFE509 Rep 2003-06-25
210 Yang, Heidi Hoi Ti 楊凱蒂 33 F ACJ627 Rep 2003-05-09 2004-07-06
211 Yang, Kai (SFC:ADW509) 楊凱 ADW509 Rep 2004-07-01
212 Yang, Yaqi 楊亞琦 AHZ627 Rep 2003-06-25
213 Yip, Shuk Ling 葉淑玲 AEA526 Rep 2009-12-03
214 Yoon, Benjamin Hyung M AGV233 Rep 2003-04-16
215 Yoon, Chi Won ACN181 Rep 2003-09-15
216 Yu, Jason Wah Chiu 余華超 M AAD859 RO 2005-03-24
217 Yu, Kok Leung 余國良 AGI779 Rep 2006-03-12
218 Yu, Ming Lai 余明麗 AFU845 Rep 2003-06-02
219 Yuen, Nicole Shuk Kam 袁淑琴 41 F ACH708 RO 2005-03-24
220 Yung, Tak Man (SFC:AHK660) 翁德敏 AHK660 Rep 2014-06-10
221 Zhang, Joe Hua Qiao 張化橋 40 M ACY687 Rep 2006-03-23
222 Zhang, Ning (SFC:AGD246) 張宁 35 M AGD246 Rep 2004-03-11
223 Zhu, Lei (SFC:AIU660) 朱雷 M AIU660 Rep 2003-05-21 2003-07-03
224 Zhu, Wenqian (SFC:AHD643) 朱文倩 AHD643 Rep 2003-06-25

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