UBS SECURITIES ASIA LIMITED

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SFC licensees

RO=Responsible Officer, Rep=Representative

Name Age in
2004
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 Au, Alexander Pak Cheung 區柏祥 28 M AKP472 Rep 2004-05-18 2008-03-11
4 Au, Eva Sin Yee 區善宜 F ADV071 Rep 2003-09-08 2008-10-04
5 Aw, Michael Soon Beng 胡順炳 29 M AGC164 Rep 2003-06-25
6 Barker, Angus Jack Rutherford M AES430 Rep 2003-05-06 2003-07-03
7 Basham, Caroline Charlotte F AFU065 Rep 2004-08-17
8 Baur, Markus Peter M AIC327 Rep 2003-06-25
9 Beniwal, Saurabh AHI791 Rep 2003-06-25
10 Beshke, Clarence John M ADS271 RO 2010-10-15
11 Bibby, Nicholas Paley M ADB688 Rep 2003-05-30
12 Blackburn, Andrew James (SFC:AJE473) M AJE473 Rep 2003-09-29 2003-12-10
13 Bodek, Haim Yigal AJJ914 Rep 2004-03-15 2004-06-15
14 Boland, Frank Joseph M AGT131 Rep 2003-04-23
15 Bourgeois, Eva Maria F AJN952 Rep 2004-03-10 2008-03-14
16 Bradshaw, John (SFC:AHC328) M AHC328 Rep 2012-03-29
17 Brown, Marcus William Ross M AGH930 Rep 2003-06-25
18 Burnett, Peter William (SFC:ADX522) M ADX522 RO 2003-06-25
19 Cavatoni, Joseph Roland M AFY750 Rep 2003-10-02 2009-04-20
20 Chan Yeung, Virginia Mo Bik 陳楊慕碧 ADY936 Rep 2006-05-26
21 Chan, Amy Yuen Han 陳婉嫻 F ADY964 Rep 2008-08-28
22 Chan, Andy Kok Heng AFC953 Rep 2010-05-20
23 Chan, Brian Hon Kei 陳漢基 M AKI936 Rep 2004-04-15 2009-04-22
24 Chan, Chak Ming (SFC:AJM690) 陳則明 AJM690 Rep 2004-02-25 2004-05-05
25 Chan, Mark Man Wai 陳孟為 M ABR486 Rep 2003-04-09
26 Chan, Raymond Yiu Yue 陳耀宇 M AHA800 Rep 2003-06-25
Rep 2004-02-16 2017-12-19
27 Chan, Vincent Cheong Wa 陳昌華 M ACA303 Rep 2004-04-29
28 Chan, Winnie (SFC:AFD453) 陳韻妮 F AFD453 Rep 2003-06-25
29 Chang, Walter 陳華德 M ABT445 Rep 2004-04-21
30 Chee, Choon Wee 朱俊偉 AFX097 Rep 2003-06-25
31 Chee, Yuen Leng 朱宛玲 AHK661 Rep 2004-02-01
32 Chen, Xiao (SFC:AHD966) 陳霄 AHD966 Rep 2003-06-25
33 Chen, Yun (SFC:AKI402) 陳蘊 AKI402 Rep 2004-04-02 2008-04-10
34 Chenaux-Repond, Lorenz Michael M AES431 Rep 2003-06-25
35 Cheng, James Vincent M AIC014 Rep 2004-04-29
36 Cheng, Jimmy Min Tat 鄭勉達 M ACV741 RO 2005-05-20
37 Cheng, Stephen Kwok Wai 鄭國偉 35 M ADS285 Rep 2005-04-27
38 Cheung, Ka Che 張家熾 AFX502 Rep 2005-07-05
39 Cheung, Ronald Yat Sau 張逸修 M AHJ471 Rep 2016-07-19
40 Chew, Jason Chiat Tsen 周傑昇 M AIN850 Rep 2003-06-25
41 Chi, Alex Lai Hoi 朱禮開 AED013 Rep 2003-10-31 2004-03-08
42 Chia, Tse Ern AFO306 Rep 2004-03-26
43 Chik, Kin Nang 戚健能 AHR162 Rep 2008-03-15
44 Chin, David Hung I 金弘毅 36 M ADT385 RO 2004-07-01
45 Chin, Michael Jaewuk M ACZ609 Rep 2006-09-04
46 Chin, Sara Taechung F AHA555 Rep 2003-06-25
47 Chiu, Leo Yu Yuk 趙汝昱 M AHZ628 Rep 2003-06-25
48 Chiu, Yuk Ha AJD190 Rep 2003-08-19 2007-03-01
49 Chong, Kian Shing 張建成 AGE022 Rep 2003-06-25
50 Chow, Siu Han 周笑嫻 ADX152 Rep 2003-06-25
51 Chu, Danny Wai Kit 朱偉傑 AFV890 Rep 2006-09-02
52 Chu, Peter M AIR824 Rep 2004-04-14 2007-02-23
53 Chu, Pierre Wang Chung 朱宏中 M AGK798 Rep 2003-06-25
54 Chung, Melanie Man Ki 鍾文琦 F AIG158 Rep 2003-06-25
55 Chung, Rex Richard Kyuchang M AEI990 Rep 2003-06-25
56 Chung, Suk Moon 鄭碩紋 AEK432 Rep 2004-06-03
57 Cin, Chang Sik AHM834 Rep 2018-12-29
58 Clifford, Timothy Edward M AFH048 Rep 2004-08-07
59 Coffeng, John Martinus (SFC:ADJ820) M ADJ820 Rep 2010-09-06
60 Combalot, Laurent Benoit Georges M AHC015 Rep 2009-05-06
61 Cox, Carrie Bigelow F ADR668 Rep 2004-04-15
62 Debow, Sean Herbert 狄寶生 M ACM546 Rep 2005-03-02
63 Ding, Yibing 丁一賓 ADJ647 Rep 2004-07-01
64 Donald, Luke Geoffrey M AJM931 Rep 2004-03-01 2007-04-14
65 Dong, William Chen M AIU737 Rep 2003-05-09 2004-02-24
66 Donnelly, Brian Patrick M AJJ924 Rep 2004-03-29 2004-06-29
67 Dowie, Mark Peter Louden 43 M ADC078 RO 2004-04-01
68 Easterbrook, Trevor Stephen M AGX021 Rep 2004-02-23
69 Fang, Dongming 房東明 AFE991 Rep 2007-12-08
70 Fang, Sean Sung Ho 方頌和 36 M ADS446 Rep 2003-06-25
71 Fisher, Jocelyn Howard M AFB130 Rep 2004-03-15
72 Fok, Glenn 霍經麟 47 M ABN513 Rep 2003-06-25
73 Fok, Ronald King Man 霍敬文 27 M AGE025 Rep 2018-05-04
74 Gaiser, Florian AHY465 Rep 2004-05-17
75 Gaw, Christina 吳燕安 32 F ACS896 Rep 2008-06-14
76 Ghag, Arvinderpal AIB940 Rep 2004-04-27
77 Gooding, Nial Dennis Henry 劉國誠 45 M ABS538 Rep 2010-03-19
78 Gu, Huaiyu 谷懷雨 AGX678 Rep 2003-06-25
79 He, Di (1948) 何迪 56 M AEL657 Rep 2003-06-25
80 He, Lang AJB993 Rep 2004-02-25 2007-03-29
81 Henley, Robert Alexander M AHR011 Rep 2006-04-01
82 Ho, Beatrice Lap Sze 何立思 F ADS141 Rep 2004-04-23
83 Ho, Diana Pui Kwan 何佩君 F ABY481 Rep 2011-10-18
84 Ho, Kwok Chung (SFC:AAB905) 何國仲 AAB905 Rep 2008-05-07
85 Ho, Stanley Yaun 何仁 M AGA624 Rep 2003-06-25
86 Ho, Tat Shing 何達成 AHA554 Rep 2003-08-21
87 Ho, Tsz Leung 何子樑 AJD615 Rep 2003-09-02 2018-06-05
88 Ho, William Wai Yin 何偉賢 M AFE790 Rep 2004-04-14
89 Ho, Yuk (SFC:AJC804) 何旭 AJC804 Rep 2003-08-06 2006-03-03
90 Hodges, Tamera Jane F AKO623 Rep 2004-05-11 2004-08-10
91 Holland, John Michael Morgan 41 M AFR867 RO 2003-11-11
92 Hoong, Chris Cheong Thard 孔祥達 36 M ACB773 Rep 2003-05-15
93 Hosie, Neil Cameron M AHQ348 Rep 2004-05-28
94 Houssian, Iven ADQ120 Rep 2004-07-06
95 Hsu, Karen Chia Lin 徐嘉琳 F ACO622 Rep 2004-02-23
96 Hu, Joy Lan Ya 胡嵐雅 AFV219 Rep 2003-09-30 2009-04-15
97 Hui, Alice Suk Fong 許淑芳 F AAK174 Rep 2007-01-25
98 Hung, Gary Lok Ming 熊洛銘 M ADY288 Rep 2006-03-04
99 Hunt, Christopher James Andrews M AHR004 Rep 2011-07-27
100 Jackamo Ii, Thomas Joseph M AFD746 Rep 2003-06-25
101 Jacobson, John Brennan M ACV752 Rep 2003-09-02
RO 2003-09-02 2006-04-03
102 Jeong, Joseph Chu M AEY997 Rep 2003-07-29
103 Jiang, Shan (SFC:AGE826) 姜山 33 M AGE826 Rep 2003-06-25
104 Johnson, Pekka David (SFC:ADL598) M ADL598 Rep 2005-03-21
105 Johnston, Richard William M AET370 Rep 2004-04-14
106 Kandiah, Sutharshan AHF855 Rep 2003-06-25
107 Kang, Minja AGJ645 Rep 2004-02-02
108 Khoo, Chiew Cheng 邱秋清 AEJ606 Rep 2006-04-21
109 Kim, Su Mi (SFC:AEW312) 金秀美 AEW312 Rep 2003-06-25
110 Kim, Susan Eun F AIB938 Rep 2008-05-07
111 Kuan, Shu Shin 關素馨 AET363 Rep 2004-03-12
112 Kwan, Sing Yuen 關承遠 ABW052 Rep
113 Kwik, Claudia Hwee Kim F AGK799 Rep 2003-06-25
114 Kwong, Marcus Mann 鄺孟芹 M AFU388 Rep 2004-03-31 2009-04-25
115 Lai, Paul Wai Tsun 賴維津 M AED148 Rep 2004-07-01
116 Lai, Wing Yi 黎詠儀 AED789 Rep 2003-05-30
117 Lam, Cynthia Wan Yee 林蘊怡 F AHV111 Rep 2003-12-30 2005-09-03
118 Lam, Franklin Fan Keung 林奮強 44 M ABG110 Rep 2005-04-27
119 Lam, Hu Yang 林曉陽 ADU633 Rep 2006-09-16
120 Lam, Mo Yee 林慕怡 AGN596 Rep 2003-06-25
121 Lam, Vanessa Yuk Yee 林玉儀 F AID483 Rep 2006-08-26
122 Lau, Marcus Chi Chiu 劉志超 M AAC292 Rep 2006-06-08
123 Lau, Patricia Yan Ki 劉恩琪 25 F AIH455 Rep 2003-06-25
124 Law, Wendy Wing Chi 羅穎芝 F AHS272 Rep 2005-06-13
125 Lee, Chris C AGX022 Rep 2003-07-29
126 Lee, Christopher Fai Man 李輝敏 38 M ACW239 Rep 2010-03-22
127 Lee, Gene Jin-Won AGP540 Rep 2003-06-25
128 Lee, Hyun Jae (SFC:AHN694) 李賢宰 AHN694 Rep 2007-04-19
129 Lee, James (SFC:AHW505) M AHW505 Rep 2003-06-25
130 Lee, Sang Kyo AKJ143 Rep 2004-04-20 2010-05-11
131 Lee, Simon Chun Kit 李俊傑 28 M AHA361 Rep 2009-04-22
132 Lee, Won Jong AFU204 Rep 2010-07-05
133 Leong, Vui Ling 梁偉靈 AEB584 Rep 2006-03-01
134 Lepper, David Anthony (SFC:AGJ984) M AGJ984 Rep 2008-07-16
135 Leung, Derek Yuk Lun 梁旭麟 M AGF367 Rep 2003-06-25
136 Leung, Mary Ka Yan 梁家恩 F AEJ838 Rep 2003-06-25
137 Leung, Nancy Ann 梁學安 F AKO860 Rep 2004-05-07 2006-01-01
138 Liew, Yew Wah AET878 Rep 2004-04-28
139 Lim, Bryan Patrick Hong Chin M AIC039 Rep 2003-06-25
140 Lim, Meng Phong 林明鳳 AFH049 Rep 2017-06-28
141 Lo, Michael Sai Cheong 盧世昌 M AFR449 Rep 2003-11-25 2004-05-05
142 Look, Andrew 陸東 39 M ACO365 Rep 2007-07-05
143 Louie, Paul Kwok Yi 雷國怡 M AES876 Rep 2005-07-19
144 Lu, Edmund Lingjian 盧淩堅 M AGL936 Rep 2005-03-29
145 Lu, Jia (SFC:AJD748) 路嘉 AJD748 Rep 2003-09-16 2003-10-17
146 Luk, Terence (SFC:AGI503) 陸凱賢 M AGI503 Rep 2006-01-28
147 Ma, Kwun Yea 馬君意 AEF918 Rep 2006-02-28
148 Mackinnon, Charles Harold Hugh M AFX083 Rep 2003-04-10
149 McLennan, Ian Richard James 39 M AFA721 Rep 2004-01-02
150 McQueen, Lee Michael M ACR744 Rep 2004-01-09
RO 2004-01-09 2005-05-10
151 Melwani, Rajesh Ramesh (SFC:AEU252) M AEU252 Rep 2010-01-26
152 Mizoguchi, Hironori AHL612 Rep 2004-03-12
153 Mou, Newman Siu Bun 繆肇彬 ABL554 Rep 2006-06-15
154 Mukhopadhyay, Ajinkya AHF255 Rep 2003-06-25
155 Ng, Diana Tze Chiew 黃紫秋 F ADX263 Rep 2004-10-20
156 Ng, Hooi Chong 黃慧聰 36 M ADH384 Rep 2003-04-30
157 Ng, Kenneth Chi Keung 吳志強 M AJM684 Rep 2004-02-25 2005-03-09
158 Ng, Siok Leng (SFC:AFM257) 黃淑玲 AFM257 Rep 2003-10-14 2008-05-14
159 Norris, Richard (SFC:AHG719) M AHG719 Rep 2004-05-18
160 Oertli, Michael M AFA291 RO 2004-04-22
161 Ollerenshaw, Simon Gerald M AHD912 Rep 2003-06-25
162 Orgill, Bradley Wayne M ACR853 RO 2005-03-24
163 Pang, Kenneth Kwok Kit 彭國傑 M AEO731 Rep 2009-04-08
164 Park, Min AFA670 Rep 2004-07-29
165 Parthasarathy, Raja ADB039 Rep 2003-06-25
166 Patel, Jinesh Kiran AFQ415 Rep 2006-06-24
167 Pecot III, Charles Matthew 44 M AHA548 Rep 2005-04-27
168 Peng, Chai Wei AKI400 Rep 2004-04-02 2007-05-15
169 Pfatteicher, Peter Alexander M AGO206 Rep 2003-05-02
170 Pickstone, Julian Charles (SFC:AFT961) M AFT961 Rep 2007-09-03
171 Pink, Nicholas Alexander M AJX095 Rep 2004-03-31 2004-07-08
172 Png, Chin Yee AGF416 Rep 2003-06-25
173 Po, Alice Wai Sze 保慧思 F ADU277 Rep 2005-08-18
174 Poon, Ada Ho Yan 潘可欣 F AFQ511 Rep 2004-07-01
175 Poon, Jenny 潘珍妮 F AHR022 Rep 2003-05-24
176 Poon, Ming Pui 潘明培 M AAF320 RO 2005-03-30
177 Price, Edmund Hugh Owain 35 M ADS121 Rep 2003-06-25
178 Qiu, Ruofei 邱若非 AHC003 Rep 2003-06-25
179 Rabinowitz, David M AHW502 Rep 2010-09-06
180 Raha, Arup ACZ725 Rep 2003-04-11
181 Ramanathan, Badrinath AHC211 Rep 2003-06-25
182 Rankin, Robert John 41 M AHA363 Rep 2003-06-25
183 Rauly, Benoit M AKP008 Rep 2004-05-24 2004-08-23
184 Redbourn, Paul Robert (SFC:AFQ906) M AFQ906 Rep 2010-10-15
185 Robertson, James Hewitt M AIC253 Rep 2003-04-30
186 Robertson, Simon Montague M AGI097 Rep 2010-04-09
187 Rogers, Simon Andrew (SFC:ABF904) M ABF904 Rep 2003-09-05
188 Ross, Timothy Wakefield M AEX691 Rep 2005-05-03
189 Roth, Gunther James M AHC183 Rep 2003-06-25
190 Sanchez, Marlon Mikhail M ADJ822 Rep 2006-05-16
191 Saunders, Scott Antony M ADC081 RO 2005-05-20
192 Saxvik, Eric Bradley M ACR775 Rep 2012-04-13
193 Shah, Dimple (SFC:AIC117) AIC117 Rep 2003-04-30
194 Shieh, Ingrid AHA547 Rep 2004-04-29
195 Sim, Colin Ching Wern M AGN521 Rep 2007-06-14
196 Sinclair, Andrew Mark (SFC:AGP545) M AGP545 Rep 2004-04-18
197 Siu, Madeline Kor Man 蕭可敏 F AIO031 Rep 2003-06-25
198 Smith, Michael Thomas (SFC:AGL937) M AGL937 Rep 2003-06-25
199 So, Ferdinand 蘇平恩 AFO880 Rep 2004-03-26 2007-07-17
200 Sohn, Bill Eun-Seok M AHN695 Rep 2007-01-23
201 Spence, James Barclay M AAY347 Rep 2004-04-02
202 Stutsman, Andrea Jean F AGF487 Rep 2006-05-01
203 Suen, Benny Hung Kit 孫雄傑 M AIB797 Rep 2009-04-22
204 Sum, Hing Man 岑慶文 ABW145 Rep 2014-04-11
205 Sun, Lucy Shin Su 孫心樹 F AFE095 Rep 2003-05-15 2005-06-15
206 Sun, Steven John 孫常勝 47 M ACR153 Rep 2003-06-25
207 Tan, Lien Seng AFK584 Rep 2005-03-21
208 Tan, Nicholas Chye Seng (1973) 31 M AGP551 Rep 2004-05-31
209 Tan, Yew Boon 陳友文 AFS647 Rep 2004-05-04
210 Tay, Marcus Noel Chien Pheng M AIE131 Rep 2003-06-25
211 Taylor, Christopher Michael (SFC:AEC940) M AEC940 Rep 2003-04-15
212 Teh, Kihui AGC161 Rep 2003-06-25
213 Tetzlaff, Juergen AJL557 Rep 2004-02-12 2005-11-26
214 Thomas, Rebecca Judith F AHC210 Rep 2004-05-13
215 Tinker, Dylan Carlo 36 M ACC173 Rep 2005-04-11
216 Tse, Jaff Ka Wai 謝家威 ADR277 Rep 2003-04-10
217 Tse, Shirley Sze Wan 謝詩韻 F AFU564 Rep 2009-11-30
218 Tsui, Charles King 徐勁 M AGB114 Rep 2003-11-04
219 Villanueva, Bryan Uy 蘇龍 M AFJ228 Rep 2003-06-25
220 Vine, Carl David (SFC:AFY718) M AFY718 Rep 2004-04-26 2005-07-05
221 Volet, Raphael M AGS546 Rep 2004-04-02
222 Wadle, John Allen M AGS454 Rep 2009-04-07
223 Wan, Li (SFC:AHD514) 萬里 AHD514 Rep 2004-03-08
224 Wan, Ming Sun 尹明山 31 M AGW059 Rep 2004-02-26
225 Wang, Peng (SFC:AJM687) 王鵬 AJM687 Rep 2004-02-25 2004-12-14
226 Wang, Ren (SFC:AIB127) 汪韌 32 M AIB127 Rep 2003-06-25
227 Ward, Rodney Gordon 賀利華 60 M ACD837 RO 2003-06-25
228 Wareham, Olivia Louise F AJM694 Rep 2004-02-25 2004-07-06
229 Wee, Liang Sin AHK048 Rep 2003-05-30
230 Wei, Amy Mei 魏薇 F AFW953 Rep 2003-06-25
231 Wei, Ying (SFC:AJM685) 魏莹 AJM685 Rep 2004-02-25 2007-06-16
232 West, Colin Thomas M AFZ863 RO 2003-06-25
233 Williams, Mark Fraser M AGJ433 Rep 2003-06-25
234 Williams, Sian Elizabeth (SFC:ADT132) F ADT132 Rep 2004-05-28
235 Wong, Angel Po Kit 黃寶潔 AJK728 Rep 2004-01-30 2006-07-08
236 Wong, Constance 黃子欣 F ABR876 Rep 2008-05-24
237 Wong, Eric Chun Yu 王震宇 M AEU432 Rep 2011-03-10
238 Wong, Jenny Chieh Lu 王潔如 F AGL441 Rep 2006-06-17
239 Wong, Kenneth Hong Kit 黃匡傑 M AGA146 Rep 2003-06-25
240 Wong, Ronald Kwok Kit 黃國傑 M AEW968 Rep 2003-06-18
241 Wong, Stephen (SFC:AJO207) 黃錦豪 M AJO207 Rep 2004-03-19 2008-04-30
242 Wong, Steven Siu Kee 黃紹基 M AGC687 Rep 2003-06-25
243 Woodland, Emily Jane F AJE851 Rep 2003-10-14 2012-03-19
244 Wooldridge, Duncan Samuel M AEU633 Rep 2003-06-27 2017-06-10
245 Wu, Chi Wai (SFC:AIQ683) 胡志威 AIQ683 Rep 2011-10-24
246 Wu, Hai Feng (SFC:ADI733) 吳海鋒 ADI733 Rep 2004-03-01 2009-01-10
247 Wu, James Yun M AGN747 Rep 2009-05-13
248 Wu, Samuel Shung Shan 鄔崇山 M AIG147 Rep 2003-06-25
249 Xiao, Qing (SFC:AFE509) 肖清 AFE509 Rep 2003-06-25
250 Yang, Heidi Hoi Ti 楊凱蒂 34 F ACJ627 Rep 2003-05-09 2004-07-06
251 Yang, Kai (SFC:ADW509) 楊凱 ADW509 Rep 2004-07-01
252 Yang, Yaqi 楊亞琦 AHZ627 Rep 2003-06-25
253 Yin, He 尹賀 AJM689 Rep 2004-02-25 2007-06-16
254 Yip, Shuk Ling 葉淑玲 AEA526 Rep 2009-12-03
255 Yoon, Benjamin Hyung M AGV233 Rep 2003-04-16
256 Yoon, Chi Won ACN181 Rep 2003-09-15
RO 2003-09-15 2005-06-09
257 Yu, Jason Wah Chiu 余華超 M AAD859 RO 2005-03-24
258 Yu, Johnny Ching Yan 于正人 M AKO779 Rep 2004-05-05 2017-11-11
259 Yu, Kok Leung 余國良 AGI779 Rep 2006-03-12
260 Yu, Ming Lai 余明麗 AFU845 Rep 2003-06-02
261 Yuen, Nicole Shuk Kam 袁淑琴 42 F ACH708 RO 2005-03-24
262 Yung, Tak Man (SFC:AHK660) 翁德敏 AHK660 Rep 2014-06-10
263 Zhang, Joe Hua Qiao 張化橋 41 M ACY687 Rep 2006-03-23
264 Zhang, Ning (SFC:AGD246) 張宁 36 M AGD246 Rep 2004-03-11
265 Zhang, Yi (SFC:AJN700) 張毅 AJN700 Rep 2004-03-11 2005-05-03
266 Zhu, Lei (SFC:AIU660) 朱雷 M AIU660 Rep 2003-05-21 2003-07-03
267 Zhu, Wenqian (SFC:AHD643) 朱文倩 AHD643 Rep 2003-06-25
268 Zlot, Andrew Edward M AHK662 Rep 2004-05-20 2006-08-11

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