JEFFERIES BACHE (HONG KONG) LIMITED

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Activity type: AllAdvising on corporate financeAdvising on futures contractsAdvising on securitiesAsset managementAutomated trading servicesClient clearing services for OTC derivative transactionsCredit rating servicesDealing in futures contractsDealing in or advising on OTC derivative productsDealing in securitiesDepositary services for relevant CISsLeveraged foreign exchange tradingSecurities margin financing

SFC licensees

RO=Responsible Officer, Rep=Representative

	Name	Age in 2011	⚥	SFC ID	Role	From	Until
1	Au, Wing Ting 歐永定			ADN974	Rep		2005-10-04
2	Barratt, Grant David (SFC:AOU485)		M	AOU485	Rep	2007-04-16	2008-01-28
					RO	2008-01-28	2010-12-13
3	Bilavinakath, Salim Jouhar			AIU332	Rep	2003-06-07	2005-10-04
4	Booker, Willie			AGM990	Rep	2004-11-19	2005-10-04
5	Campbell, Matthew James (SFC:AJB813)		M	AJB813	Rep	2003-07-14	2003-10-14
					Rep	2003-10-27	2005-05-20
6	Chan, Bun (SFC:ACU981) 陳斌			ACU981	Rep		2004-02-29
7	Chan, Nicholas Pak Ming 陳百銘		M	ACL084	Rep	2004-04-02	2005-10-04
8	Chan, Ying Kit (SFC:AFT458) 陳英傑			AFT458	Rep	2004-03-24	2004-08-02
9	Chan, Yuen Bing 陳婉冰			AHS842	Rep		2005-10-04
10	Chang, Wen-Ling 張文玲			AEE154	Rep	2003-12-05	2004-05-21
11	Chen, Ying Yu 陳英裕			AHJ432	Rep		2005-10-04
12	Cheng, Carol Man 鄭敏		F	ACU277	Rep		2004-03-01
13	Cheng, Irene Yin Wah 鄭燕華		F	AAJ978	Rep		2005-10-04
14	Cheng, Jeany Ying Kam 莊英琴			ADF885	Rep		2004-06-17
15	Cheong, Kin 張健			ACP792	Rep		2005-04-12
16	Cheung, Annabella Yuk Ha 張玉霞			ADA744	Rep		2005-10-04
17	Cheung, Chun Ho (SFC:ADT685) 張振豪			ADT685	Rep		2004-04-27
18	Cheung, Jocelyn Kin Keung 張建強			ADI990	Rep		2003-07-26
19	Cheung, Moon Fuk 張滿福			AFG401	Rep		2005-10-04
20	Cheung, Nicholas Sai Wing 張世榮		M	AAI316	Rep		2005-10-04
21	Cheung, Yvonne Ngan Sui 張銀瑞		F	ADA776	Rep		2005-10-04
22	Chiu, Charles Yiu Wing 趙耀榮		M	AEE312	Rep		2004-11-05
23	Chu, Kin Man (SFC:ACB899) 朱建文			ACB899	Rep		2005-09-30
					RO	2005-09-30	2005-10-04
24	Chu, Po Chuen 朱寶全			ACU275	Rep		2005-10-04
25	Chui, Lizzy Lolita Lei Sze 徐莉詩			AID055	Rep	2004-08-25	2005-05-20
26	Chung, Kwai Kuen 鍾桂娟			AFE413	Rep		2005-10-04
27	De Burgh Mound, Dominic Justin		M	AEP388	Rep		2003-07-12
28	Dulieu, Billy Ronald		M	AWM143	Rep	2010-12-20	2012-11-30
29	Fan, Chi Wah 范志華			AHT185	Rep	2004-11-18	2005-04-12
30	Fennell, Thomas Brian		M	AHX971	RO	2003-09-29	2005-01-06
31	Fong, Suet Chung 方雪松			ACQ609	Rep		2005-10-04
32	Fung, Siu Ping 馮小平			AEX135	Rep		2003-09-19
33	Gershon, Barry Jonathan		M	APY935	RO	2007-11-06	2012-11-30
34	Hasan, Haroon	53	M	ADS283	Rep		2003-06-28
35	Ho, Gale Shuk Man 何淑文		F	AGB356	Rep		2005-10-04
36	Ho, Hon Kam 何漢錦			AJL366	Rep	2004-04-22	2004-05-21
37	Hui, Alen Hong 許航			ADI991	Rep	2005-02-16	2005-10-04
38	Hui, Benjamin Kam Wing 許鑑榮		M	ACB593	Rep	2005-06-16	2005-10-04
39	Kam, Man Sun 金文新			ACU709	Rep		2005-01-04
40	Kao Hsu, Margaret Chien Mei 高徐千媄		F	AJE094	Rep	2003-09-18	2004-07-04
					Rep	2005-01-20	2005-04-14
41	Ko, Chi Yiu 高志堯			AGI704	Rep		2004-07-09
42	Koh, Ushe Hon Tat			ALP975	Rep	2005-01-08	2005-07-22
43	Kuek, Boon Kiat 郭翹鋒			AED758	Rep	2004-04-15	2004-12-17
44	Kuo, Shu-Chuan 郭淑娟			ADV811	Rep		2005-10-04
45	Kwan, Ka Man (SFC:AFO512) 關嘉敏			AFO512	Rep	2005-05-31	2005-10-04
46	Kwok, Samson Tai Pang 郭大鵬		M	ABP527	Rep		2005-10-04
47	Kwong, Mei Fung (SFC:AEK386) 鄺美鳳			AEK386	Rep		2004-04-27
48	Lai, Suet Fai 賴雪暉			AEG134	Rep		2004-05-19
49	Lai, Wai Yi 賴慧儀			AAZ070	Rep		2005-10-04
50	Lam, Andrew Chi Biu 林志標		M	ABF197	Rep		2005-10-04
51	Lam, Ava Pui Ming 林佩明			AMJ012	Rep	2005-08-31	2005-10-04
52	Lam, John Junior 林慕賢		M	AEO683	Rep		2005-02-24
53	Lam, Yee Kwan (SFC:ACI910) 林懿君			ACI910	Rep		2003-04-04
54	Lau, Ming Fai (SFC:AEH948) 劉明暉			AEH948	Rep	2005-01-28	2005-04-12
55	Lau, Raymond Yee Wa 劉怡華		M	AAE515	Rep		2005-10-04
56	Lau, Tat Keung 劉達強			AGI188	Rep	2004-05-03	2004-05-11
57	Lee, Betty Shuk Yee 李淑懿		F	AAK739	Rep	2004-03-23	2005-10-04
58	Lee, Steven Wai 李威		M	ADW512	Rep		2004-03-13
59	Lee, Tak Hing 李德興			ABN304	Rep		2005-01-04
60	Lee, Yu Sang 李裕生			ACU386	Rep		2005-10-04
61	Leung, Eddie Fuk Kuen 梁福權			AAH165	Rep		2005-03-18
62	Leung, Kin Man (SFC:ARR823) 梁建雯			ARR823	Rep	2008-10-06	2012-11-30
63	Leung, Lawrence Kam Wah 梁錦華		M	AAE506	Rep		2005-10-04
64	Leung, Luzviminda Cabanatan			AEU390	Rep		2005-10-04
65	Leung, Tung Ha 梁冬夏			AJO210	Rep	2004-03-24	2005-05-26
66	Li, Derick Kam Ching 李金錚		M	ADH908	RO	2005-09-27	2005-10-04
67	Li, Gordon Chuen Ming 李泉銘		M	AAE501	Rep		2005-10-04
68	Li, Jin Hua (SFC:AIB065) 李晉華			AIB065	Rep	2004-09-04	2005-06-29
69	Li, Ringo Chi Chung 李自忠		M	AGC274	Rep		2003-12-11
70	Liu, Desmond Luk Por 廖淥波	57	M	AAE569	RO		2005-03-01
71	Liu, Peter Edward 劉道生		M	AGG710	RO	2005-04-12	2005-10-04
72	Lo, Michael Wai Tak 盧韋德		M	AFT404	Rep	2003-06-25	2005-10-04
73	Lu, Min (SFC:AJE091)			AJE091	Rep	2003-09-18	2004-08-26
74	Lui, Yim Yin 雷艷燕			ADA685	Rep		2005-10-04
75	Ma, Johnny Bun Wah 馬斌華		M	AES117	Rep	2004-04-20	2004-08-06
76	Macdonald, Alexander Booth		M	ADJ382	Rep		2005-10-04
77	Mak, Cilla Mei Mei 麥美美			ACX170	Rep		2005-10-04
78	Malhotra, Ashwan Kumar		M	AEE311	Rep		2005-09-22
					RO	2005-09-22	2013-06-11
79	Man, Martin Kon Kuen 文幹權		M	AGB686	Rep	2004-04-06	2004-12-12
80	Misra, Abhilasha			ALQ874	Rep	2005-01-26	2005-09-05
81	Miu, Hung Lucy 苗紅			ADQ868	Rep		2003-05-16
82	Moon, Ji Ho			AFP785	Rep	2004-12-21	2005-04-28
83	Ng, Cecilia Kai Feng 吳昀曉		F	AAE956	Rep		2005-10-04
84	Ng, Ngai Wai 吳毅慧			AFF107	Rep	2005-03-16	2005-10-04
85	Ngai, Angela So Ling 倪素玲		F	AFE620	Rep	2005-01-10	2005-05-22
86	Noche, Leo Cyril D.		M	AFR176	Rep		2005-07-11
87	Poon, Che Ho 潘志豪			AEH550	Rep	2004-04-06	2005-01-25
88	Pun, Yin Man 潘燕文			ACP246	Rep		2005-10-04
89	Rommel-Sutter, Rainer Wolfgang			AGK057	Rep		2003-07-19
90	Sato, Toshihisa 佐藤敏久			AIH727	Rep		2005-09-22
					RO	2005-09-22	2007-12-12
91	Saw, Aileen Mei Li 蘇梅麗			AMB136	Rep	2005-08-16	2005-10-04
92	Se, David Carven Yung Yee 施勇儀		M	ABL977	Rep		2005-02-08
					RO	2005-02-08	2005-10-04
93	Sham, Ping Chuen 沈炳全			ACU387	Rep		2005-10-04
94	Shuen, Barbara Lai Kuen 旋麗娟		F	AAE792	Rep		2005-10-04
95	Shum, Ping Hung 沈炳雄			ACU650	Rep		2005-10-04
96	Siu, Julie Wailing 蕭偉玲		F	ACD665	Rep		2005-03-18
97	So, Ming Yuk 蘇明玉			AIL022	Rep		2003-04-10
98	Sung, Edmund Ham Kin 宋涵堅		M	AAB672	Rep		2005-10-04
99	Ting, Wanda Sui Lin 丁瑞蓮		F	ADL208	Rep		2004-04-28
100	Tsai, Hui-Fang 蔡慧芳			AIR783	Rep	2004-07-27	2005-10-04
101	Tsang, Wendy Wai Yin 曾惠賢		F	AAJ444	Rep		2005-10-04
102	Tso, William Yuen Leung 左元良		M	ALP976	Rep	2005-01-10	2005-10-04
103	Wang, Qin (SFC:AWP856) 王勤			AWP856	Rep	2011-01-12	2012-11-30
104	Wong, Che Lik 黃自力			ABZ884	Rep		2003-06-28
105	Wong, Chi Hing 黃紫卿			AEH584	Rep		2005-10-04
106	Wong, Grace Hang Nei 王幸妮		F	ADY271	Rep		2003-05-31
107	Wong, Jill Wai Han 黃慧嫻		F	AAY606	Rep		2004-04-27
108	Wong, Suet Man 王雪曼			ACU385	Rep		2005-10-04
109	Wong, Victor Sai Fuk 王世福		M	AAE460	Rep		2005-10-04
110	Wong, Yue Fat 黃裕發			AED694	Rep		2003-07-01
111	Wu, Alan (SFC:ABY211) 吳倫		M	ABY211	Rep		2003-08-01
112	Xing, Zhiyu 邢志宇			AJE092	Rep	2003-09-18	2010-03-31
113	Yau, Siu Ling 邱少玲			AEB576	Rep		2003-07-04
114	Yee, Rebecca Mei Yuk 余美玉		F	AAE455	Rep		2005-10-04
115	Yeung, Chui Kwan 楊翠群			ADA654	Rep		2003-07-18
					Rep	2004-05-13	2005-10-04
116	Yeung, Jeffrey Wing Choi 楊永材		M	AAA500	Rep		2005-10-04
117	Yeung, Murray Leung Yu 楊亮瑜		M	AAE448	RO		2005-07-14
					Rep	2005-07-14	2005-10-04
118	Yick, Kenneth Wing Yuen 易永源		M	ADU680	Rep		2005-02-24
119	Yim, Eugene Kwok Wa 嚴國華		M	ABE373	Rep		2005-10-04
120	Yim, Kar Lai 嚴嘉麗			AAJ442	Rep		2005-10-04
121	Ying, Tommy Hok Kong 應鶴江			ABT732	Rep		2004-09-30
122	Yip, Benjamin Ying Chi 葉熒志	48	M	AFL246	Rep		2004-04-28
123	Yip, So Ling 葉素玲			AFH258	Rep	2004-07-23	2005-10-04
124	Yuen, Peter Richard 袁沛德		M	ABA528	Rep	2003-09-19	2003-12-17
125	Zi, Nicholas Nai Kong 徐乃綱		M	AAE548	Rep		2005-10-04

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