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Nomura Asia Investment (Hong Kong) Limited




SFC licensees

Name Age in
2013		 Position From Until
1 Akaishi, Osamu    RepRepresentative    6-Jul-2007
2 Ambai, Takahiro    RepRepresentative  29-Dec-2008  19-Feb-2010
3 Ang, Eric Tai Yue    RepRepresentative  29-Aug-2007  12-Dec-2008
4 Aoyagi, Atsuyoshi    RepRepresentative    10-Jul-2004
5 Arora, Gaurav    RepRepresentative  12-Jan-2009  19-Feb-2010
6 Asano, Shin    RepRepresentative  1-Aug-2006  19-Feb-2010
7 Asazuma, Yayoi    RepRepresentative    30-Aug-2005
8 Au-Yeung, Wendy Wing Yee    RepRepresentative  21-Aug-2007  15-Oct-2008
9 Barnett, Maxine Bernice    RepRepresentative  15-Dec-2008  19-Feb-2010
10 Beresford, Paul Richard    RepRepresentative  30-Sep-2009  19-Feb-2010
11 Bharti, Kirtes    RepRepresentative  17-Nov-2008  15-May-2009
12 Bogossian, Alan Harry Gregoire Abel    RepRepresentative  23-Nov-2007  10-Dec-2008
13 Bradshaw, Stephanie    RepRepresentative  10-Dec-2008  5-May-2009
RepRepresentative  12-Oct-2009  19-Feb-2010
14 Bret, Jean-Sebastien Pierre    RepRepresentative  15-Dec-2008  19-Feb-2010
15 Burnes, Alexander Milligan    RepRepresentative  29-May-2009  19-Feb-2010
16 Burns, John Patrick    RepRepresentative  2-Jul-2009  19-Feb-2010
17 Byworth, Richard Anthony    RepRepresentative  1-Dec-2009  19-Feb-2010
18 Chan, Agatha Wing Yee    RepRepresentative  6-May-2003  16-Aug-2004
19 Chan, Chun Wing (SFC:AML975)    RepRepresentative  4-Apr-2007  14-Jul-2007
20 Chan, Gary Ming Lee    RepRepresentative    29-Nov-2004
21 Chan, Julia May Yee    RepRepresentative  13-Aug-2007  28-Mar-2009
22 Chan, Ka Ying (SFC:AQM051)    RepRepresentative  14-Mar-2009  19-Feb-2010
23 Chan, Wing Yin (SFC:ARX074)    RepRepresentative  27-Nov-2008  19-Feb-2010
24 Chanezon, Alain    RepRepresentative  23-Jul-2008  23-Oct-2008
25 Chau, Kenneth Yiu Man    RepRepresentative  28-Nov-2008  29-Oct-2009
26 Chau, Ling    RepRepresentative  29-Feb-2008  19-Feb-2010
27 Chekroun, Benjamin Marc John    RepRepresentative  7-Apr-2008  19-Feb-2010
28 Chen, Chengze    RepRepresentative  8-Dec-2008  19-Feb-2010
29 Chen, Chi Wan    RepRepresentative  15-May-2006  16-Nov-2006
30 Cheng, Chih-Hsiung    RepRepresentative  17-Jun-2008  19-Feb-2010
31 Cheung, San Tat    RepRepresentative    19-Feb-2010
32 Cheung, Wing Yan (SFC:ASN728)    RepRepresentative  5-Mar-2009  19-Feb-2010
33 Chew, Kang Wei    RepRepresentative  28-Jul-2008  10-Dec-2008
34 Chiong, Sai Lung    RepRepresentative    28-Apr-2006
35 Chiu, Siu Sang    RepRepresentative  25-May-2006  19-Feb-2010
36 Chok, Ivy Ngai Wai    RepRepresentative  1-Apr-2008  19-Feb-2010
37 Chong, Kenny    RepRepresentative  8-Dec-2008  19-Feb-2010
38 Chow, Yin Fun (SFC:ACY231)    RepRepresentative  25-Jun-2004  30-May-2006
39 Chugh, Reshma Manohar    RepRepresentative    24-May-2003
40 Chui, Chi-Sun    RepRepresentative  15-Dec-2008  10-Oct-2009
41 Chulani, Rohit Madan Mohan    RepRepresentative  10-Dec-2008  8-Apr-2009
42 Chung, Man Sun    RepRepresentative    10-Dec-2008
43 Czerkawski, Paul Andrew    RepRepresentative  9-Oct-2008  10-Dec-2008
44 Dabbs Iv, John Newton    RepRepresentative  28-Nov-2008  24-Jul-2009
45 Dadabhoy, Imran Sooleman    RepRepresentative  16-Nov-2009  19-Feb-2010
46 Di Iorio, Michael Anthony    RepRepresentative  15-Dec-2008  23-Nov-2009
Resp OffResponsible Officer  23-Nov-2009  21-May-2010
47 Dobashi, Shinobu    RepRepresentative  13-Apr-2004  21-Sep-2006
48 Dolan, Paul Tiernan    RepRepresentative  13-Aug-2007  19-Feb-2010
49 Fan, Jason Che-Hsi    RepRepresentative  15-Jan-2009  29-Aug-2009
50 Fletcher, Luke    RepRepresentative  8-Dec-2008  19-Feb-2010
51 Floyd, Michael    RepRepresentative  29-Aug-2007  19-Feb-2010
52 Fu, Jackson    RepRepresentative  28-Nov-2008  30-May-2009
53 Fujita, Minoru    RepRepresentative  27-Dec-2007  19-Feb-2010
54 Fukuta, Yoshihiro    RepRepresentative  15-Apr-2008  28-Aug-2008
Resp OffResponsible Officer  28-Aug-2008  23-Apr-2009
55 Ghosh, Soujit    RepRepresentative  9-Dec-2009  19-Feb-2010
56 Gilbert, Laurent Luc    RepRepresentative  25-Jun-2004  2-Jun-2005
57 Gill, Richard John Peter    RepRepresentative  7-Mar-2008  19-Feb-2010
58 Gleeson, James Anthony    RepRepresentative  12-Jun-2008  10-Dec-2008
59 Go, Yoshinori    RepRepresentative  10-Aug-2004  1-Sep-2004
Resp OffResponsible Officer  1-Sep-2004  18-Apr-2008
60 Goodwin, Douglas Samuel    RepRepresentative  23-Dec-2009  19-Feb-2010
61 Gourmelen, Arnaud    RepRepresentative  8-Dec-2008  19-Feb-2010
62 Gupta, Rahul (SFC:AGZ998)    RepRepresentative  10-Dec-2008  8-Apr-2009
63 Hanly, Seamus Anthony    RepRepresentative  16-Mar-2009  19-Feb-2010
64 Hao, Xin    RepRepresentative  10-Aug-2005  19-Feb-2010
65 Hara, Hitoshi    RepRepresentative  28-Dec-2005  19-Feb-2010
66 Hashimoto, Kenichi    RepRepresentative  2-Jun-2008  10-Dec-2008
67 Hatanaka, Koji    RepRepresentative    3-Mar-2005
68 He, Qian (SFC:APV226)    RepRepresentative  15-Oct-2007  20-Jun-2009
69 Hemmings, Lee Kerry    Resp OffResponsible Officer  16-Apr-2009  19-Feb-2010
70 Hillen, Florian Maarten    RepRepresentative  24-Jul-2006  3-Sep-2008
71 Hirasawa, Satoshi    RepRepresentative    5-Jun-2004
72 Ho, Arion Man Yiu    RepRepresentative  8-Dec-2008  24-Oct-2009
73 Ho, Daniel King Wah    RepRepresentative    6-Jul-2004
74 Ho, Harrison Lok Sang    RepRepresentative    19-Feb-2010
75 Ho, Jeffrey Chun Yu    RepRepresentative  4-May-2004  17-Jun-2004
76 Honda, Tsukasa    RepRepresentative  27-Dec-2007  19-Feb-2010
77 Horiuchi, Go    RepRepresentative  18-Jul-2006  1-May-2008
78 Horsley-Heather, Nicholas John    RepRepresentative  2-Nov-2009  19-Feb-2010
79 Hung, Kenneth Hei King    RepRepresentative  28-Nov-2008  19-Feb-2010
80 Ichimura, Toru    RepRepresentative    25-Jan-2005
Resp OffResponsible Officer  25-Jan-2005  24-Jul-2006
81 Inukai, Masao    RepRepresentative  29-Dec-2004  19-Feb-2010
82 Kajitani, Yasuhide    RepRepresentative  18-Jul-2007  1-Sep-2009
83 Kato, Katsuhito    RepRepresentative  20-Jul-2005  19-Feb-2010
84 Kato, Mayumi    RepRepresentative  15-Nov-2004  19-Feb-2010
85 Kawahara, Michiko    RepRepresentative  21-Aug-2007  19-Feb-2010
86 Kawamata, Yasubumi    RepRepresentative  10-Dec-2007  17-Jul-2009
87 Kee, Tang Seng    RepRepresentative  10-Dec-2008  8-Apr-2009
88 Keith, John Perry    RepRepresentative    24-Nov-2004
89 Kiang, Agnes Sik Fei    RepRepresentative  21-Sep-2004  20-Apr-2005
90 Kikuchi, Satoshi    RepRepresentative    31-Jul-2006
91 Kim, Seung Whan    RepRepresentative    24-Jun-2003
92 Kobayashi, Hisako    RepRepresentative    19-Feb-2010
93 Koerber, Matthias    RepRepresentative  1-Feb-2010  19-Feb-2010
94 Kot, Jack Hou Eric    RepRepresentative  14-Apr-2004  3-Sep-2008
95 Kotecha, Vikesh    RepRepresentative  29-Oct-2009  19-Feb-2010
96 Lai, Joey Wing Sze    RepRepresentative    26-Apr-2008
97 Lam, Calvin Si Yang    RepRepresentative  5-Nov-2007  30-Apr-2009
98 Lam, Eric Tak Shing    RepRepresentative    19-Feb-2010
99 Lam, Kwong Yu (SFC:AFD849)    RepRepresentative  11-Aug-2006  11-Aug-2007
100 Lam, Wing Kit (SFC:AGB106)    RepRepresentative  1-Dec-2008  19-Feb-2010
101 Lau, Chi Leung    RepRepresentative  10-Sep-2007  31-Jan-2009
102 Lau, Joseph Han Wai    RepRepresentative  15-Dec-2008  19-Feb-2010
103 Lau, Marcus Chi Chiu    RepRepresentative  8-Jul-2006  19-Feb-2010
104 Lau, Yau Fong    RepRepresentative  30-Jan-2004  19-Feb-2010
105 Lee, David (SFC:ADR496)    RepRepresentative    1-Aug-2004
106 Lee, Kai Pong    RepRepresentative    19-Feb-2010
107 Lee, Nga Ying (SFC:APQ801)    RepRepresentative  3-Sep-2008  19-Feb-2010
108 Lee, Siu Keung (SFC:AFG628)    RepRepresentative  6-Aug-2007  11-Sep-2007
109 Legaspi, Donna Rose Ong    RepRepresentative  27-Nov-2008  19-Feb-2010
110 Leung, Shui Yee    RepRepresentative  20-Jul-2005  24-Apr-2008
111 Leung, Wai Kei (SFC:AKR467)    RepRepresentative  8-Dec-2008  19-Feb-2010
112 Leung, Yee Wan (SFC:ARB169)    RepRepresentative  22-May-2008  19-Feb-2010
113 Li, Elsa So Nga    RepRepresentative    6-Feb-2004
114 Li, Ming (SFC:AMW601)    RepRepresentative  1-Jun-2006  8-Aug-2008
115 Liem, Christopher    RepRepresentative  8-Dec-2008  19-Feb-2010
116 Lim, Eileen Siok Ling    RepRepresentative  8-Jun-2009  19-Feb-2010
117 Lin, Mason    RepRepresentative    29-Nov-2004
118 Liu, King Wai    RepRepresentative    19-Feb-2010
119 Louie, Wai Tat    RepRepresentative  13-Feb-2007  3-Sep-2008
120 Lui, Dennis Kar Wong    RepRepresentative    30-Apr-2009
121 Lui, Kin Wai    RepRepresentative  1-Jun-2006  28-May-2007
122 Lynch, Brendan Jared    RepRepresentative  4-Dec-2007  14-May-2008
123 Mak, Hin Chun    RepRepresentative  28-Nov-2008  19-Feb-2010
124 Mao, Wei    RepRepresentative  2-Jul-2009  19-Feb-2010
125 Matsuba, Naoki    RepRepresentative    29-Jul-2004
126 Matsuno, Kenji    RepRepresentative  20-Jul-2004  8-Jun-2009
127 McLean, Neil Iain    RepRepresentative  27-May-2008  19-Feb-2010
128 Mennesson, Thomas    RepRepresentative  15-Dec-2008  19-Feb-2010
129 Merger, David Sacha    RepRepresentative  16-Jun-2008  19-Feb-2010
130 Mileusnic, James Simon    RepRepresentative  3-Oct-2008  30-Apr-2009
131 Miyachi, Tsukasa    RepRepresentative    29-Dec-2004
132 Mori, Gordon Wayne    RepRepresentative    26-Jul-2003
133 Murray, Hugh Mcpherson Lathrop    RepRepresentative  8-Dec-2008  19-Feb-2010
134 Nagai, Rei    RepRepresentative  23-Dec-2004  16-Dec-2008
135 Nakada, Akira    RepRepresentative  8-Aug-2008  19-Feb-2010
136 Nakagawa, Masahiro    RepRepresentative    1-May-2004
137 Nakata, Yuji    RepRepresentative    3-Jul-2004
RepRepresentative  9-May-2007  15-Oct-2007
Resp OffResponsible Officer  15-Oct-2007  28-Apr-2008
138 Namba, Reiko    RepRepresentative  1-Aug-2005  23-Jan-2008
139 Nate, Anthony Joseph    RepRepresentative  15-Dec-2008  19-Feb-2010
140 Ng, Calvin Cheuk Sing    RepRepresentative  11-Jul-2008  3-Dec-2008
141 Ng, Diana Tze Chiew    RepRepresentative  10-Jul-2008  22-Apr-2009
142 Ng, Kenneth Tak Ming    RepRepresentative    4-Dec-2008
143 Ng, Sze Man (SFC:AMN571)    RepRepresentative  15-May-2007  19-Dec-2009
144 Ng, Wai Man (SFC:AAU344)    RepRepresentative    12-Dec-2008
145 Nguyen, Nicholas Nolan    RepRepresentative  12-Jan-2009  19-Feb-2010
146 Nishikawa, Hiroyuki    RepRepresentative    2-Dec-2004
147 Nishioka, Katsuhiro    RepRepresentative  21-May-2003  14-Jan-2006
148 Noble, Scott Clifford    RepRepresentative  28-Nov-2008  17-Jan-2009
149 Nomura, Kan    RepRepresentative  13-May-2003  10-Jan-2004
RepRepresentative  11-Mar-2004  15-Apr-2004
RepRepresentative  8-Jan-2007  20-Jul-2009
150 O'Boyle, Gerald Keith    RepRepresentative  7-Dec-2005  4-Aug-2007
151 O'Meara, Christopher James Sidney    RepRepresentative  28-Nov-2008  19-Feb-2010
152 O'Neile, James Finlay    RepRepresentative  21-Mar-2005  19-Feb-2010
153 Omoto, Atsushi    RepRepresentative  10-Dec-2008  14-Sep-2009
154 Ono, Naoki    RepRepresentative  2-Apr-2004  24-Jul-2006
155 Otani, Tomono    RepRepresentative  3-Jun-2004  28-Jul-2007
156 Ozeki, Masanori    RepRepresentative  30-Jul-2007  19-Feb-2010
157 Park, Ansik    RepRepresentative  23-Aug-2007  23-Aug-2007
158 Park, Joohong    RepRepresentative  12-Jan-2009  19-Feb-2010
159 Pelham, Miles Christian    RepRepresentative  4-Jan-2010  19-Feb-2010
160 Phua, Teck Wee    RepRepresentative  28-Nov-2008  19-Feb-2010
161 Poon, Catherine Tin Lai    RepRepresentative    30-Apr-2009
162 Poon, Peter Chi Kin    RepRepresentative    19-Feb-2010
163 Poon, Shuk Fan (SFC:AEE926)    RepRepresentative    19-Feb-2010
164 Poon, Tik Ki    RepRepresentative  10-Oct-2007  12-Sep-2009
165 Pradana, Jeff Arif    RepRepresentative  10-Dec-2008  19-Feb-2010
166 Read, Matthew Christopher    RepRepresentative  29-Aug-2008  29-Nov-2008
RepRepresentative  1-Dec-2008  19-Feb-2010
167 Riley, Shawn David    RepRepresentative  4-Nov-2005  30-Aug-2007
168 Robson, John Mcgowan    RepRepresentative  14-Apr-2005  28-Oct-2006
169 Ryan, Jonathan David    RepRepresentative  8-Dec-2008  19-Feb-2010
170 Sano, Nobuhiro    RepRepresentative  24-Aug-2007  19-Feb-2010
171 Sano, Yoichiro    RepRepresentative    19-Feb-2010
172 Sawada, Hana    RepRepresentative    10-Dec-2008
173 Sekine, Hironori    RepRepresentative  20-Apr-2007  6-Dec-2008
174 Sekita, Hirosumi    RepRepresentative  6-Jul-2005  13-Dec-2008
175 Shimada, Takehiro    RepRepresentative    12-Nov-2004
176 Shinohara, Minoru    Resp OffResponsible Officer  27-Apr-2009  19-Feb-2010
177 Siow, Lian Meng    RepRepresentative  15-Dec-2008  8-Aug-2009
178 Sisterson, John Paul    RepRepresentative  3-Nov-2008  10-Dec-2008
179 So, Raymond Bing Kei    RepRepresentative  18-Oct-2003  18-Apr-2004
RepRepresentative  27-Apr-2004  11-May-2006
180 Striet, Jelper    RepRepresentative  10-Dec-2008  19-Feb-2010
181 Subramanian, Viswanathan R    RepRepresentative  28-Nov-2008  24-Jul-2009
182 Sun, Cheuk Wa    RepRepresentative    5-May-2004
183 Takeuchi, Tomonori    RepRepresentative  31-Jul-2007  19-Feb-2010
184 Tam, Jude Ho Yin    RepRepresentative  26-Jul-2004  19-Feb-2010
185 Tanaka, Yasuharu    RepRepresentative    26-Jul-2005
186 Tang, Wai Shing (SFC:AAF631)    RepRepresentative    19-Feb-2010
187 Tani, Kenichiro    RepRepresentative  20-Sep-2006  19-Sep-2009
188 Teng, Jen-Chiang    RepRepresentative    23-Nov-2004
189 Teraguchi, Tomoyuki    RepRepresentative  5-Jul-2004  2-Feb-2005
Resp OffResponsible Officer  2-Feb-2005  10-Apr-2009
190 Thompson, Cormac Joseph    RepRepresentative  3-Oct-2008  19-Feb-2010
191 Tong, Derek Wai Hon    RepRepresentative  30-Sep-2009  19-Feb-2010
192 Tong, Yuk Sun    RepRepresentative    10-Dec-2008
193 Ushiyama, Masaharu    RepRepresentative    10-Sep-2003
194 Wada, Koji    RepRepresentative  5-Jul-2004  25-Jul-2005
195 Wang, Fang (SFC:AID230)    RepRepresentative  10-Dec-2008  8-Apr-2009
196 Watanabe, Kunio    RepRepresentative  28-Apr-2006  29-Jun-2006
Resp OffResponsible Officer  29-Jun-2006  20-Apr-2009
197 Watson, James Robert    RepRepresentative    29-Nov-2004
198 Winspear, Richard Dean    RepRepresentative  13-Aug-2007  19-Feb-2010
199 Wong, Andy Nam Fu    RepRepresentative    14-May-2009
200 Wong, Frederick Wai Cheung    RepRepresentative    7-Jul-2007
201 Wong, Ka Hing (SFC:AIH624)    RepRepresentative  1-Mar-2006  22-Sep-2006
202 Wong, Kylie Ka Lai    RepRepresentative  6-Dec-2007  20-Nov-2009
203 Wong, Mabel    RepRepresentative  30-Sep-2009  19-Feb-2010
204 Wong, Michael Chung Lim    RepRepresentative    19-Feb-2010
205 Wong, Ming Lai (SFC:AMH300)    RepRepresentative  3-Sep-2007  1-Nov-2008
206 Wong, Peter Tat Ming    RepRepresentative    15-Dec-2006
207 Wong, William Koon Wei    RepRepresentative  8-Mar-2007  10-Dec-2008
208 Woo, Michael Hong Da    RepRepresentative    19-Feb-2010
209 Woo, Wai Tong    RepRepresentative    29-Apr-2004
210 Xie, Jinhui    RepRepresentative  10-Dec-2008  8-Apr-2009
211 Yajima, Akihiko    RepRepresentative  26-Jul-2006  30-Jul-2008
212 Yan, Keren    RepRepresentative  24-Mar-2009  19-Feb-2010
213 Yao, Jack Hsin-Chou    RepRepresentative  8-Dec-2008  19-Feb-2010
214 Yau, Yiu Pong    RepRepresentative  13-Jul-2005  9-Aug-2005
215 Yeung, Yuk Wah    RepRepresentative  22-May-2004  19-Feb-2010
216 Yim, Leung Yuk    RepRepresentative  23-Mar-2004  13-May-2006
217 Yin, Raymond Lung    RepRepresentative  1-Dec-2006  1-Nov-2008
218 Yoshida, Koji    RepRepresentative  16-Jan-2009  19-Feb-2010
219 Yoshizawa, Noriyasu    Resp OffResponsible Officer    11-May-2005
RepRepresentative  11-May-2005  23-May-2005
220 Yu, Amy Hangshin    RepRepresentative  4-Jan-2010  19-Feb-2010
221 Yue, Kin Wan    RepRepresentative    6-Sep-2008
222 Yun, Cheuk Ting Sara    RepRepresentative  4-Dec-2008  10-Dec-2008
223 Yung, Louis Chun Woon    RepRepresentative  17-Nov-2008  5-May-2009
224 Yung, Wai Sing    RepRepresentative  27-Jun-2006  27-Apr-2007
225 Zamora, Poch Edward Imperial    RepRepresentative    3-Sep-2008

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