GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED 國信證券(香港)融資有限公司

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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 2014	⚥	SFC ID	Role	From	Until
1	Bian, Jing (SFC:AXY811) 卞京			AXY811	Rep	2011-08-26	2013-09-04
2	Chan, Christy Cheuk Ki 陳卓琦		F	AWX086	Rep	2013-11-18	2016-01-31
3	Chan, Derek Kwun Wah 陳冠樺	44	M	AFM323	RO	2013-10-18	2014-01-12
4	Chan, Kwan Kit (SFC:ACQ850) 陳鈞傑			ACQ850	Rep	2011-09-19	2012-08-21
5	Chan, Mazy Man Sze 陳敏思		F	AHX245	Rep	2013-11-06	2013-12-30
					RO	2013-12-30	2014-01-09
6	Chang, David Shui Kei 張瑞祺		M	APP192	Rep	2011-05-12	2012-01-17
7	Chen, Wei (SFC:AWS993) 陳薇	33	F	AWS993	Rep	2011-02-10	2012-04-10
8	Chen, Xiao (SFC:AVA602) 陳曉	41	M	AVA602	Rep	2011-06-21	2012-09-10
					RO	2012-09-10	2013-05-13
9	Chen, Yixin (SFC:AWJ023) 陳一新			AWJ023	Rep	2013-08-05	2013-12-10
10	Cheng, Gang (SFC:AUX584) 成鋼	51	M	AUX584	RO	2011-03-30	2013-04-12
11	Cheung, Elaine Yee Man (SFC:ACN098) 張綺雯		F	ACN098	Rep	2014-02-26	2014-04-28
12	Chin, Sui Ying 錢瑞英			APR030	Rep	2013-10-10	2014-01-12
13	Chung, Alan Chi Bun (SFC:AXF919) 鍾智斌		M	AXF919	Rep	2011-05-05	2011-08-11
14	Ding, Yuchao 丁昱超			AQS596	Rep	2011-04-15	2012-03-13
15	Du, Xu (SFC:AZC459) 杜栩			AZC459	Rep	2012-03-28	2019-05-28
16	Eng, Matthew Hunkee 伍恆基		M	AOO870	Rep	2012-05-09	2012-08-31
17	Fu, Chengyuan (SFC:AXG383) 傅程遠			AXG383	Rep	2011-05-05	2012-05-25
18	Guo, Rui (SFC:AYE510) 郭蕊			AYE510	Rep	2011-10-03	2013-05-16
19	He, Dingding 賀丁丁	37	M	APR488	Rep	2011-03-17	2013-05-21
20	Ho, Rooppi Ching Man 何靜文			AGH562	Rep	2011-03-24	2011-04-12
					RO	2011-04-12	2011-11-04
21	Hopson, Anthony Francis (SFC:AOO457)		M	AOO457	Rep	2012-05-15	2013-04-18
22	Huang, Xiaosha 黃小莎			AZW131	Rep	2012-07-13	2013-10-31
23	Hui, Tsz Lap 許子立			AYS786	Rep	2012-01-04	2012-04-14
24	Koh, Lina Kwai Yim 高貴艷		F	APH097	Rep	2011-04-28	2011-06-02
					RO	2011-06-02	2015-01-28
25	Koo, Pak Kin 古栢堅			AFN610	Rep	2011-04-26	2011-06-07
					RO	2011-06-07	2011-08-11
26	Kwok, Lai Tsui 郭麗翠			AJK800	Rep	2011-04-01	2011-04-13
					RO	2011-04-13	2013-12-18
27	Kwong, Tony Yu Chun 鄺逸聰		M	AKW723	Rep	2012-05-31	2013-05-21
28	Lam, Chi Kan (SFC:AFX948) 林志勤			AFX948	Rep	2011-05-25	2011-06-30
					RO	2011-06-30	2012-08-21
29	Lam, Frank Pun Yuen 林本源	64	M	AFU929	RO	2010-06-30	2010-11-28
30	Lam, Hiram Long Hin 林朗軒			AUX369	Rep	2011-04-01	2013-07-31
					Rep	2013-11-28	2014-11-29
31	Lee, Chuen Yan 李銓殷			ANQ722	Rep	2013-10-04	2014-10-21
32	Lee, Hoi Yan (SFC:AXZ043) 李凱恩	30	M	AXZ043	Rep	2014-03-12	2015-11-05
33	Lee, Joshua Chi Hwa 李智華	42	M	AGL509	Rep	2011-05-26	2012-01-19
34	Lee, Siu Hang (SFC:AFZ978) 李兆恆			AZF978	Rep	2012-03-28	2013-10-17
35	Leung, Laurent Kin Cheong 梁健昌	45	M	AEO587	Rep	2011-08-10	2011-09-21
					RO	2011-09-21	2012-10-08
36	Leung, Man Ho (SFC:AMF525) 梁文豪	33	M	AMF525	Rep	2013-12-05	2014-02-14
37	Li, Michael Ming Jeung 李名璋		M	AVH485	Rep	2011-04-21	2011-08-11
38	Li, Weixin (SFC:BAI374) 李煒鑫			BAI374	Rep	2012-11-05	2013-01-09
39	Li, Xiang (SFC:AYF206) 李响			AYF206	Rep	2011-10-10	2013-05-20
40	Liu, Wendy Wing Yin 廖穎賢		F	ANE330	Rep	2011-05-11	2012-03-09
41	Lock, Ivy Pik Shan 駱碧珊		F	AIU532	Rep	2011-05-20	2013-01-07
42	Lu, Johnny Ting Pong 呂定邦		M	AJL345	Rep	2011-08-08	2012-08-21
43	Lu, Xiaoning 呂曉寧			AWO451	RO	2011-03-30	2011-09-30
44	Lu, Zhenwei (SFC:AXT329) 陸振威			AXT329	Rep	2011-08-12	2015-02-13
45	Lui, Tak Yan 呂德仁			AJO142	Rep	2014-02-28	2014-05-12
46	Ma, Hak Yiu 馬克遙			AML291	Rep	2011-04-21	2012-08-21
47	Ma, Xiaona (SFC:AXA085) 馬曉娜			AXA085	Rep	2011-04-01	2013-05-21
48	Meng, Weihuan 孟維歡			AOL218	Rep	2011-01-17	2012-05-09
49	Mui, Phoebe Suet Yee 梅雪儀		F	AGK771	Rep	2014-02-26	2014-05-22
50	Sam Chang, Segundo Willy 沈維理		M	AHE451	RO	2010-06-30	2010-11-17
51	Shen, Qi (SFC:AOR653) 沈奇			AOR653	Rep	2011-04-15	2012-03-17
52	Siu, Wai Kit (SFC:AFM549) 蕭偉杰			AFM549	Rep	2012-03-22	2013-10-15
53	Sun, Yuan (SFC:BBK187) 孫媛			BBK187	Rep	2013-08-12	2015-08-14
54	Sung, Ronald Hiu Fai 宋曉輝	37	M	AIU569	RO	2010-06-30	2010-12-28
55	Tang, Fung (SFC:AXA214) 鄧峰			AXA214	Rep	2014-03-21	2015-08-14
56	Tang, Yik Hang 鄧奕鏗			AWQ107	Rep	2011-10-20	2012-08-21
57	Tsang, Hing Yu 曾慶瑜			AHN528	Rep	2014-01-24	2015-08-31
58	Tse, Tony Yee Hin 謝宇軒	45	M	AHY113	Rep	2011-05-17	2011-06-15
					RO	2011-06-15	2012-08-31
59	Tsui, Kin Wing 崔健榮			AAB278	Rep	2011-04-04	2011-04-12
					RO	2011-04-12	2013-09-13
60	Wan, Joseph Jason 尹宸賢	42	M	AES254	RO	2014-01-10	2014-11-19
61	Wong, Chi Hung (SFC:ACQ049) 黃志雄			ACQ049	Rep	2011-06-21	2011-06-30
					RO	2011-06-30	2012-09-27
62	Wong, Jenny Mei Ying 黃美盈		F	AQI645	Rep	2013-03-13	2014-11-28
63	Wong, Kwun Ho 黃冠豪	30	M	AXK040	Rep	2011-06-02	2011-08-11
64	Xu, Alex Shaohong 許少宏	46	M	ARG166	Rep	2011-04-14	2012-03-31
65	Xue, Yunzhe 薛蘊哲			AWE565	Rep	2010-11-16	2010-12-30
66	Yau, Karen Kar Man 尤嘉敏		F	AGA449	Rep	2014-01-23	2015-09-16
67	Ying, Yan Kei 應仁基			AOV083	Rep	2011-04-20	2011-06-29
					RO	2011-06-29	2014-06-26
68	Yip, Kwok Kwan 葉國均	64	M	ABX510	Rep	2011-03-08	2011-03-30
					RO	2011-03-30	2015-04-28
69	Yiu, Benjamin Chung Him 姚仲謙		M	AXX789	Rep	2011-08-22	2014-06-25
70	Yu, Fangwei 余方偉			AUN909	RO	2010-06-30	2010-11-28
71	Zhang, Hui (SFC:AOX819) 張輝	46	M	AOX819	Rep	2012-02-17	2015-01-23
72	Zhang, Xin (SFC:AXG731) 張欣			AXG731	Rep	2011-06-08	2016-06-08

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