ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityAzentus Capital Management Limited AWG073 Licensed Corporation 9CPIC Investment Management (H.K.) Company Limited AVQ695 Licensed Corporation 9Heng Shan Securities Limited AWO418 Licensed Corporation 1Orient Futures (Hong Kong) Limited AWD036 Licensed Corporation 2Paulson Asia Limited AWN913 Licensed Corporation 1Redford Corporate Finance Limited AVP731 Licensed Corporation 6Silverhorn Investment Advisors (Hong Kong) Limited AWE828 Licensed Corporation 1, 4, 9T. W. Sabnani Securities Limited AFA015 Licensed Corporation 1Yuki Asia Investments Co Limited AWI759 Licensed Corporation 1, 4Montagu Private Equity LLP AVP922 Licensed Corporation (Temporary Licence) 1ACKERMAN Assaf AWP517 Licensed Representative 1AKAN Gokhan AWT176 Licensed Representative 9ALLEN Julia Marie AWQ438 Licensed Representative 1, 2, 7ANDREWS Scott Carter ASH792 Licensed Representative 1, 4ANDROSIUK Carl Matthew AWS219 Licensed Representative 1ARAKI Tetsuo AWQ684 Licensed Representative 1ASPINALL Steven Andrew AWP804 Licensed Representative 1, 2AU-YEUNG Ka Wai, Vicky AWN090 Licensed Representative 1, 4BARATTE Nicolas Guy Gabriel AWN751 Licensed Representative 1, 4BASS Peter Andrew AWM024 Licensed Representative 1, 2BAUMEISTER Andrea Carla AWQ257 Licensed Representative 1, 2BECCHETTI James Patrick AWQ678 Licensed Representative 1, 2BENDLE Katarina Elizabeth AQU966 Licensed Representative 9BRODA Roland Thomas AWO960 Licensed Representative 1, 2BROOKS Philip Andrew ALJ927 Licensed Representative 1, 4BROWN Neil Arthur AWT174 Licensed Representative 1, 6BYUN Kara Kyung Wha APJ708 Licensed Representative 1CALDER Kieran John APF162 Licensed Representative 4CAP Birgitta Maria AWS782 Licensed Representative 4CEN Guanghui AWO650 Licensed Representative 9CHAN Alastair Jin Lon AWR632 Licensed Representative 1CHAN Chi Yu, Jackson AWI799 Licensed Representative 1CHAN Chun Wai AWO082 Licensed Representative 4CHAN Fo Wai AWS549 Licensed Representative 1CHAN King Cheung AWS947 Licensed Representative 1CHAN Kwok Keung AAC262 Licensed Representative 9

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityCHAN Lok Hei AWR809 Licensed Representative 1, 2CHAN Man Fu AWS681 Licensed Representative 1CHAN Man Yi ARI792 Licensed Representative 1, 4CHAN Ngan Po AWP281 Licensed Representative 1, 4, 9CHAN Shun Man AWP249 Licensed Representative 1, 4CHAN Stephanie Wingchiu AWR560 Licensed Representative 1CHAN Sze Chung AWQ116 Licensed Representative 1CHAN Sze Chung AWS037 Licensed Representative 3CHAN Tiffany Ting AWP283 Licensed Representative 1CHAN Wai ADW197 Licensed Representative 1, 2CHAN Wan Fay, Catherine AWR691 Licensed Representative 1, 2CHAN Wan Wong, Felex AWO651 Licensed Representative 1CHAN Wing Yee Wing AWS105 Licensed Representative 1CHAN Yun Man, Ray AWS898 Licensed Representative 1, 2CHANG Hui AWS290 Licensed Representative 4CHANG Kuang Hsian AWS584 Licensed Representative 4, 9CHANG Kwok Fai ADA891 Licensed Representative 1, 2CHANG Li Man, Kimmy ADR026 Licensed Representative 9CHANG Shian Ming, James ADG054 Licensed Representative 9CHANG Tsun Wah, Terence AWP241 Licensed Representative 4CHAPMAN Leo AWP232 Licensed Representative 1, 3CHAU Kwok Yip AWP928 Licensed Representative 1, 2CHEAH Sin Ying AQU254 Licensed Representative 1CHEE Shui Chu AWP584 Licensed Representative 1CHEGWIN Timothy Paul AWN318 Licensed Representative 1CHELLAPPA Govindarajan AUX265 Licensed Representative 4CHEN Bingjian AWQ432 Licensed Representative 4CHEN Cheng Jorge AWP643 Licensed Representative 1CHEN Dongquan AHX016 Licensed Representative 1CHEN Fanny Lu Hong AWQ391 Licensed Representative 1, 6CHEN Hsiao Ju AWS022 Licensed Representative 1CHEN Shi AWQ302 Licensed Representative 4, 9CHEN Wei AWS993 Licensed Representative 1, 6CHEN Xinwei APJ308 Licensed Representative 1, 4, 6CHEN Xueqian AWP698 Licensed Representative 4, 9CHEN Yi AWP386 Licensed Representative 4

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityCHEN Zeen AWR548 Licensed Representative 1, 6CHEN Zhen Hai AWM874 Licensed Representative 1, 2CHENG Kwok Kuen AWS605 Licensed Representative 1, 4CHENG Yu Hin, Timmons APB931 Licensed Representative 1, 2CHEUNG Ching Fai, Daniel ANC002 Licensed Representative 1CHEUNG Cho Chi AWQ260 Licensed Representative 1, 2CHEUNG Ho Chung AWR748 Licensed Representative 1, 2CHEUNG Hoi Ting, Peggy AWT900 Licensed Representative 1, 2CHEUNG Ka Lun AWS224 Licensed Representative 4CHEUNG Kwan Siu AWR853 Licensed Representative 1, 2CHEUNG Wai Kit ANY303 Licensed Representative 4CHEUNG Wai Yip AWO073 Licensed Representative 1, 4, 9CHEW Hui Lin AWO206 Licensed Representative 9CHIANG Lai Kit AWS781 Licensed Representative 1CHILD Adam David AWS710 Licensed Representative 4, 9CHIN Wilson Ka Chun AWR559 Licensed Representative 1CHING Ching ALF582 Licensed Representative 6CHING Tak Chi AWT240 Licensed Representative 1CHIU Siu Po, Steve AAJ831 Licensed Representative 4, 9CHIU Yiu Wing, Charles AEE312 Licensed Representative 1, 4CHIU Yuen AVI626 Licensed Representative 1, 6CHOBTUANGTHONG Pongsagon AFQ785 Licensed Representative 1, 7CHOI Hung Tat AWQ455 Licensed Representative 1CHOI Kai Hang AWP243 Licensed Representative 1, 2CHOPRA Vikramjeet Singh AWQ370 Licensed Representative 4CHOW Cham Fai AIH593 Licensed Representative 3CHOW Wai Man AHP729 Licensed Representative 4, 9CHOW Wing To AWP278 Licensed Representative 1, 4CHOW Ying Cheung AGP391 Licensed Representative 1, 4, 9CHU Hung AIH454 Licensed Representative 1, 4CHU Kwok Ho AWP880 Licensed Representative 1CHU Melissa ARJ507 Licensed Representative 1, 2CHU Moon Lin AWP233 Licensed Representative 1CHU Sing Yung AQJ223 Licensed Representative 1, 2CHU Wan Yin AWS031 Licensed Representative 1, 4CHUANG Ker-Yu AVW335 Licensed Representative 9

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityCHUN Julian Howe AOB660 Licensed Representative 1CHUNG Wai Tong ARF932 Licensed Representative 1CLERC Alexis, Serge, Cyril AWP271 Licensed Representative 1, 2, 7COOK Wai Ming, Adrian AWQ522 Licensed Representative 1, 2CORRIGAN Peter Antony AWP893 Licensed Representative 1, 2CUI Yi AWR695 Licensed Representative 1, 6CURTIL Laurianne Marie AWT328 Licensed Representative 1, 2DASGUPTA Shaona AWR522 Licensed Representative 1, 2DAVIDGE-PITTS Mark Nicholas AJL230 Licensed Representative 1, 2DING Er AWS221 Licensed Representative 1DORAMUS William Edward AWP319 Licensed Representative 1, 2, 7DURANTEZ Marc AWP887 Licensed Representative 1, 2FEINBERG Alexander Eugene AWO415 Licensed Representative 9FLAMAIN Celine Anne Nathalie AWS884 Licensed Representative 4, 9FONG Ka Yan AWR868 Licensed Representative 9FONG Ngo Tak AWQ673 Licensed Representative 1FU Chen AWR689 Licensed Representative 6FU Ka Wan AWL984 Licensed Representative 1FU Kit Yan AWP704 Licensed Representative 1FUNG Koon Yan AWS896 Licensed Representative 1GANDHI Sonia AWR811 Licensed Representative 1GAU Ying Ming AWT163 Licensed Representative 1, 4GENG Cong AWT803 Licensed Representative 1GIKANDI Samuel Nderitu AWQ786 Licensed Representative 1, 2, 7GOH Kwang Yi, Angeline AWQ429 Licensed Representative 1, 4GONG Yueyue AVK929 Licensed Representative 4GREENE Scott Garel AWP822 Licensed Representative 1, 6GUAN Ying AWQ675 Licensed Representative 1GUPTA Ashish AWJ087 Licensed Representative 4GVOZDEN Alexander Robin ADR449 Licensed Representative 9HADIWIDJAJA Theodorus S. AWS530 Licensed Representative 4, 5, 9HE Xin AWN877 Licensed Representative 1, 6HE Zhengwei AWQ292 Licensed Representative 1HENZE Frank AWQ625 Licensed Representative 1, 4HILAN Matthew John AWQ105 Licensed Representative 4HO Cheok Pang AWI809 Licensed Representative 1

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityHO Ching Yee AWP275 Licensed Representative 1, 4HO Chuen Chi AWP026 Licensed Representative 4HO Derek AEO600 Licensed Representative 4HO Kar Ying AWQ467 Licensed Representative 1, 4HO Man Wah AWQ006 Licensed Representative 4, 9HO Nga Yee AWO864 Licensed Representative 1, 4HO Ping Yung AWT113 Licensed Representative 1HO Sai Man AWQ108 Licensed Representative 9HO Yin Ping AWS040 Licensed Representative 1HOLTON Jason Benbrook AWS349 Licensed Representative 1, 6HONARI Pedram Peter ATB630 Licensed Representative 1, 4, 7HOU Chunhuan AWR818 Licensed Representative 4HSU Chun-Ming AWS371 Licensed Representative 4HSU Chung-Wei APR573 Licensed Representative 1HSUEH Yun-chi AWP703 Licensed Representative 1HU Jie AWQ290 Licensed Representative 4HU Weijun AWS043 Licensed Representative 1, 4HUANG Kai AOB359 Licensed Representative 4, 9HUANG Kin Hing AWS038 Licensed Representative 3HUANG Liang AWQ795 Licensed Representative 1, 6HUANG Lini AWR867 Licensed Representative 1, 6HUANG Shiau-Ling AWM151 Licensed Representative 4HUANG Xiaoxiang AWP888 Licensed Representative 1, 6HUANG Yiran AWS789 Licensed Representative 1HUANG Yuhua AWR982 Licensed Representative 2HUI Chi Tung Denny AWS746 Licensed Representative 6HUI Chun AWQ526 Licensed Representative 1, 2, 3HUI Kin Sing AWR738 Licensed Representative 1, 2HUI Kwong Yu AQF655 Licensed Representative 4, 9HUI Ting Siu AWP885 Licensed Representative 1, 2, 3HUYNH Yu-ching AWP034 Licensed Representative 1HWANG Seung-hoon AWR623 Licensed Representative 1JAIN Pankaj AWN126 Licensed Representative 1, 2JARJOURA Kristofer Hamid AWS861 Licensed Representative 1JIA Jian AWP432 Licensed Representative 9JIANG Chao AWP310 Licensed Representative 2

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityJIN Tianyin AWP268 Licensed Representative 4JIN Ziyin AWQ069 Licensed Representative 1, 7JUNG Chungkoo Eugene AWP250 Licensed Representative 4KAO Margaret Ju-Han AQD029 Licensed Representative 1, 4KEOGH Shane AWS870 Licensed Representative 1, 2KIM Michael Sang Eun AWP824 Licensed Representative 1, 2KNIGHT Clifford Justin AUZ508 Licensed Representative 4KO Tsz Ngong AWH115 Licensed Representative 1, 2KONG Kathleen AWS260 Licensed Representative 4KONG Tat Sang AWT273 Licensed Representative 1, 2KOO Man Chi, Michael AWS283 Licensed Representative 1KOO Mary Tin Yee AWR535 Licensed Representative 1, 6KRASNOZHENOV Boris AWS984 Licensed Representative 4KU Man Ling AWQ529 Licensed Representative 1KWAN Bo Li, Bonnie AWS225 Licensed Representative 4KWAN Kin Kei ACU638 Licensed Representative 1, 2, 4KWAN Ngai Chun AWS025 Licensed Representative 1KWEK Kon Chao AWQ621 Licensed Representative 1, 6KWOK Chi Wang ACX686 Licensed Representative 2, 3KWOK Shun Hei AQR956 Licensed Representative 1KWOK Yui Fai AWP669 Licensed Representative 1KWONG Kin Hung, Ricky AQR307 Licensed Representative 1LAHAR Rebecca Anne AWS697 Licensed Representative 1, 4LAI Chi Wang, Alen AWQ674 Licensed Representative 1LAM Cheuk Wain, Wayne AWQ258 Licensed Representative 4, 5, 9LAM Chui Wah AMM393 Licensed Representative 1LAM Ho Yin AWR864 Licensed Representative 1, 2LAM Hoi Kin, Jacky AWO901 Licensed Representative 1LAM Kwong Yu AFD849 Licensed Representative 1, 4LAM Lok Tin, Timothy ANY093 Licensed Representative 3LAM Pui San AWR815 Licensed Representative 1LAM Sau Yu AQE002 Licensed Representative 1LAM Shu Hon AWP285 Licensed Representative 1, 2LAM Siu Pang, Gary APP184 Licensed Representative 1LAM Suk Yee Martha AWS703 Licensed Representative 1, 6LAM Wai On AWQ111 Licensed Representative 1, 2

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityLAM Wai Sing AWT165 Licensed Representative 1, 2LAM Yin Chun ALI612 Licensed Representative 1LARSEN Steffen Kolbe AWP884 Licensed Representative 1LAU Chun Chung AWS123 Licensed Representative 6LAU Hoi Wan AWP886 Licensed Representative 1LAU Ming Chung AFL162 Licensed Representative 1, 4LAU Siu Kuen AGD098 Licensed Representative 1, 4LAU Sze Hang APH036 Licensed Representative 1, 2LAU Tik Sze AWS532 Licensed Representative 1LAU Tin Lung AWQ115 Licensed Representative 1, 2, 4LAU Wai Ting AWQ077 Licensed Representative 1LAU Wing Shan AFE210 Licensed Representative 1LAU Yiu Kwong AWT181 Licensed Representative 1LAURENT-BELLUE Edouard Marie Pierre AWR814 Licensed Representative 1, 2LAW Andrew Corbet ACX031 Licensed Representative 1LAW Kai Chung AWT048 Licensed Representative 4, 9LAW On Yee AWQ303 Licensed Representative 1, 4, 6LEE David Hyung-Tek AOV740 Licensed Representative 1, 4LEE Gin Fai, Jeffrey AWR629 Licensed Representative 3LEE Jinsoo AWP417 Licensed Representative 1, 2LEE Kong Faat AWS550 Licensed Representative 1, 2LEE Kun Ho AWQ423 Licensed Representative 1, 2, 7LEE Min Yee, Michelle AWT274 Licensed Representative 1, 4LEE Pui Kwan APU612 Licensed Representative 1LEE Pui Wah AWQ265 Licensed Representative 9LEE Sin Yee AWR726 Licensed Representative 1LEE Yee Man AWS239 Licensed Representative 1LER Li Ling AWQ787 Licensed Representative 1, 2LEUNG Alexander Tsang Ho AWS284 Licensed Representative 1LEUNG Chi Hang AWQ289 Licensed Representative 1LEUNG Johnson Hoi Yung AWR747 Licensed Representative 1, 2LEUNG Ka Woon AWO653 Licensed Representative 1LEUNG Kai Fai, Philip AWQ669 Licensed Representative 1LEUNG King Yun AWQ671 Licensed Representative 1LEUNG Koon Wah AWP776 Licensed Representative 1LEUNG Kuen Pong, Edward AWQ121 Licensed Representative 1, 4

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityLEUNG Kwan Kit AWS616 Licensed Representative 1, 4LEUNG Patricia, Yuk Yee AWP012 Licensed Representative 1, 4LI Gary AWP284 Licensed Representative 1LI Ho Yin AWS187 Licensed Representative 1, 2LI Jia AWQ113 Licensed Representative 1, 2LI Jianyang AWS028 Licensed Representative 1, 6LI Junfeng AWP671 Licensed Representative 1, 4LI King Him AWS455 Licensed Representative 3LI Ko Wing, George AWR727 Licensed Representative 1, 4LI Po Yi AWQ112 Licensed Representative 1, 2LIANG Man Wei, Jonathan AFR655 Licensed Representative 1, 4LIANG Shui Foon ADV772 Licensed Representative 1, 4LIAO Meng-jung AWP686 Licensed Representative 1, 4LIAO Shifan AWO654 Licensed Representative 4LIM Jin Yin Elaine AWQ436 Licensed Representative 1, 2LIM You Jie, Benedict AWP718 Licensed Representative 1, 4, 6LIN Yang AWR728 Licensed Representative 1, 2LIN Yu Chih AWQ528 Licensed Representative 1LIU Boyong AWO657 Licensed Representative 4LIU Cheuk Tim Frederick AWQ418 Licensed Representative 4, 9LIU Ming Lung AWS393 Licensed Representative 4LIU Shuai AWS026 Licensed Representative 1, 6LIU Sui Man AWR628 Licensed Representative 1LIU Xuanhua AWR729 Licensed Representative 1, 2LIU Xueying AWP685 Licensed Representative 1, 6LIU Yusheng AWQ090 Licensed Representative 4LO Ching Hin AQD470 Licensed Representative 1, 2LU Hongliang AWO608 Licensed Representative 4LU Mingxi AWQ530 Licensed Representative 1, 4, 9LU Shuangge AWR531 Licensed Representative 4LU Yi AWI935 Licensed Representative 1, 6LU Zhuo AWQ378 Licensed Representative 1, 6LUCAS Ken Lawrence AVM645 Licensed Representative 1, 4, 7LUI Sze Man AWT182 Licensed Representative 1LUNG Shun-heng Danny AWI772 Licensed Representative 9LYONNET Boris Nicolas AOD135 Licensed Representative 1, 2, 4, 5

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityMA David AWP273 Licensed Representative 1MA Yin Kwan ANG419 Licensed Representative 1, 4MACKIE Neil Robert AQZ740 Licensed Representative 4MACKINSON Christopher Donald AWT177 Licensed Representative 9MAN Chi Yeung AWR561 Licensed Representative 1MAN Ka Lai AWP883 Licensed Representative 1, 2MAN Tak Yiu AWQ431 Licensed Representative 1MENG Bingyu AWS029 Licensed Representative 1, 2MILLAR C Mackenzie Stevens AWS911 Licensed Representative 1, 2, 7MILLION David Brian AWQ114 Licensed Representative 1, 2MISHRA Neelkanth ALW780 Licensed Representative 4MITTAL Poonit AWS023 Licensed Representative 1, 2MO Yifan AWP607 Licensed Representative 1, 6MONG Ka Ho AWS551 Licensed Representative 1, 2MU Xiao AWS429 Licensed Representative 1, 2NAGASAWA Yo AWQ106 Licensed Representative 4NAIR Srijith Surendranathan AWQ525 Licensed Representative 1, 6NANDANWAR Ajay Sudhanwa AWR812 Licensed Representative 4NERUDA Keith Francis ANH021 Licensed Representative 4NG Bun Ngai, Penelope AWP287 Licensed Representative 1NG Chui Ping, Mellissa AWP640 Licensed Representative 1, 4NG Fan Pang ALT738 Licensed Representative 3NG Ho Yin AMH501 Licensed Representative 1NG Wai Kwong AWP695 Licensed Representative 1, 2NGAN Siu Wai, Francis APV918 Licensed Representative 1OKADA Masakatsu AWP882 Licensed Representative 4ONG Beng Yong ANT433 Licensed Representative 1OUNG Park Un Brian AWT087 Licensed Representative 1, 2PAGLIARINI Alberto APH107 Licensed Representative 1, 6PAIN Matthew Henry AWS453 Licensed Representative 1PAK Suet Ho ARO062 Licensed Representative 1, 2PANG Sui Ting ATB914 Licensed Representative 1PARK Cheon Woong ALF574 Licensed Representative 1, 4, 9PATEL Rushi Chandragupta AWQ620 Licensed Representative 1, 2, 7PAU Sin Yu Frances AWR552 Licensed Representative 1PAYNE Nicholas ATM942 Licensed Representative 1

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityPERRETON Jean-Francois Georges AWN092 Licensed Representative 1, 2POON Chin Keung AWS704 Licensed Representative 1, 2POON Tse King AWP815 Licensed Representative 1, 2POOPOKSAKUL Salinee AWQ670 Licensed Representative 4PUN Kar Kiu, Jose AWR716 Licensed Representative 4QIAO Lei AVQ698 Licensed Representative 9QIAO Sharon Ding AWR739 Licensed Representative 1, 6QIN Ai Hua AWS555 Licensed Representative 4RAKE Brendan Thomas AJD854 Licensed Representative 1RAVIOLI Christine Marie-madeleine AQQ023 Licensed Representative 1, 4REN Hui AOC886 Licensed Representative 1, 4ROBBA Chiara AWQ682 Licensed Representative 1, 4, 9ROBERTSON Charles Struan Davey AWS599 Licensed Representative 4ROBINSON Louise Catherine AWP244 Licensed Representative 1, 2ROSADO VELASCO Sixto Fernando AWJ387 Licensed Representative 1, 4ROWOLD Niklas Roman AWP694 Licensed Representative 1SABHARWAL Rajat AWP818 Licensed Representative 4SAKAMOTO Tomiyuki AWO027 Licensed Representative 1, 4SANDEMAN Stuart Charles AWS470 Licensed Representative 1, 2SARKAR Mainak AWQ521 Licensed Representative 1, 2SCHOLEY Richard Brendan AWP282 Licensed Representative 4SCHUETZ Arthur Josef Hermann AWS902 Licensed Representative 1, 6SCLATER Alastair James AKY177 Licensed Representative 1, 4SCOTT Helen Lucy AWN406 Licensed Representative 1, 4SE THO Mun Kit AWS554 Licensed Representative 4, 9SEET Wei Wen, Jordan AWQ103 Licensed Representative 1SHABAHAT Sayeed AWQ278 Licensed Representative 4SHAW Natalie Ann AGB890 Licensed Representative 1, 7SHEK Kam Wai AWT231 Licensed Representative 1SHI Yun-Fu ANM243 Licensed Representative 2, 5SHUI Wai Miu AWP036 Licensed Representative 1SHUM Ka Lok, Jeffy AWI808 Licensed Representative 1SINGER David Antony AWS936 Licensed Representative 1STARR Michael Lewis AWP051 Licensed Representative 1STERNBY Bjoern Petter Waldemar AWS041 Licensed Representative 1, 4, 6STILES Andrew Guy ABE303 Licensed Representative 1

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivitySU Yanyu AWQ093 Licensed Representative 4, 9SUN Jianyun AWR720 Licensed Representative 1, 6SUN Lijun AWO659 Licensed Representative 4SUN Yu AWS600 Licensed Representative 6SY Daniel Chua AWQ447 Licensed Representative 1, 2SZE Cho Man, Colin AAE164 Licensed Representative 1, 2, 4, 6, 9TAI Jennifer AWS020 Licensed Representative 9TAM Chi Mei, Jaime AWE138 Licensed Representative 1, 4TAM Chit Wa APQ493 Licensed Representative 1, 4, 6TAM Hon Kei AWT080 Licensed Representative 1, 2TAM Tsz Yan AWT888 Licensed Representative 1TAM Yee Hang AUT514 Licensed Representative 1, 4TAMARI Masahiko AWS686 Licensed Representative 4TAN Johny AWP899 Licensed Representative 4TAN Perry Michael AWP889 Licensed Representative 4, 9TANAKA Maki AWT166 Licensed Representative 1TANG Chunhua AWP783 Licensed Representative 9TANG Kai Kwong AWP840 Licensed Representative 1, 6TANG Minyi AWS939 Licensed Representative 1, 2TANG Wing Keung, Alan AFP531 Licensed Representative 1, 4TANG Wing Sze AWS583 Licensed Representative 1TANG Yik Hang AWQ107 Licensed Representative 6TAO Qing AWQ295 Licensed Representative 9TIEN Chung Yu, Osmund ABX352 Licensed Representative 1, 4TIMM Roman Sebastian AWS454 Licensed Representative 1, 2, 4TO Kwong Yat AWS694 Licensed Representative 1TO Yun Mui AWR631 Licensed Representative 1TONG Siu Kei AWT151 Licensed Representative 1TONG Xiaomeng AVZ601 Licensed Representative 1, 4TRAN Fon Francis AWR700 Licensed Representative 1, 2TREACY Shaun Reginald AWO648 Licensed Representative 1, 4, 6TSANG Hing Kei AWT112 Licensed Representative 1TSANG Wai Hang, Wayne AOB854 Licensed Representative 1, 2, 7TSE Sau Ha AWQ531 Licensed Representative 1TSE Wai Biu AQQ123 Licensed Representative 4, 9TSE Wing Sze AWO578 Licensed Representative 1

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityTSUI Ka Lun AWP641 Licensed Representative 1TSUI Yun Kwan AWP037 Licensed Representative 4USHIRO Hideaki AFY323 Licensed Representative 4, 6VAN OIJEN Sebastiaan Francois AWL695 Licensed Representative 1, 2VANDERZEIL Robert Alan Spencer AWS935 Licensed Representative 1VENTOURAS Panagiotis AWP816 Licensed Representative 1, 6WAH Sai Kit ANJ563 Licensed Representative 1, 2WAI Kwai Fong AWQ619 Licensed Representative 6WAN Ka Chun AWR630 Licensed Representative 1WAN Pui Lam AWS923 Licensed Representative 1, 7WANG Chih-Lin AWP681 Licensed Representative 4WANG Dawei AWT175 Licensed Representative 9WANG Qian AWO583 Licensed Representative 4WANG Qin AWP856 Licensed Representative 2WANG Xingxing AWS124 Licensed Representative 1WANG Yu AWT003 Licensed Representative 1, 6WANG Zhuojun AWS992 Licensed Representative 4, 9WANG Ziyuan AWT229 Licensed Representative 1WELLS Peter John AWO080 Licensed Representative 1, 2, 4, 5WELLS Steven Peter AWS034 Licensed Representative 1, 4WEN Kuo-Hui APB222 Licensed Representative 1WERRMANN Alf AWQ445 Licensed Representative 1, 2WHEELER Daniel Raymond AHP526 Licensed Representative 1, 2WINSLEY David Benjamin AWS593 Licensed Representative 1, 2WITTET Mark James Oakley AWR862 Licensed Representative 1, 2WONG Chui Ping, Wendy AWS982 Licensed Representative 1WONG Ho Lam ALI771 Licensed Representative 1, 4WONG Jinrong, Andy ANX808 Licensed Representative 1, 2WONG Ka Ming AWP779 Licensed Representative 1, 2, 3WONG Ka Wai, Evelyn AFJ223 Licensed Representative 1, 2WONG Kam Fa AWQ374 Licensed Representative 1, 2WONG Lai Kuen, Shirley AWK992 Licensed Representative 1, 4WONG Lok Yat ALQ123 Licensed Representative 1WONG Man Wai AFK967 Licensed Representative 1WONG Mei Ying, Jenny AQI645 Licensed Representative 6WONG Siu Fai AFA120 Licensed Representative 1

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityWONG Sum Yin AWO457 Licensed Representative 1, 4, 9WONG Sze Wai, Albert AGJ916 Licensed Representative 1, 2WONG Tsz Mei AWQ797 Licensed Representative 1WONG Wa Hong ATO895 Licensed Representative 1, 2WONG Wai Hin AWS039 Licensed Representative 4WONG Wai Ki, Carlos AFG799 Licensed Representative 1, 2WONG Wai Lun ASO648 Licensed Representative 2, 3WONG Wing AWP719 Licensed Representative 1, 6WONG Wing Yee, Winnie AKX101 Licensed Representative 1WONG Yik Hung, Elsa AWI792 Licensed Representative 1WOO Walter Wing Hong AWR765 Licensed Representative 1, 2WU Ngai Pan AWO869 Licensed Representative 1XIAO Kai AVM758 Licensed Representative 1XIE Feng AWP435 Licensed Representative 1XIE Sha AWS983 Licensed Representative 6XIONG Li AWQ251 Licensed Representative 1, 2XU Juan AWP286 Licensed Representative 1, 4XU Nan AWN527 Licensed Representative 4, 9YAM Tak Wan AWT370 Licensed Representative 1YANG Ja Wah AWP433 Licensed Representative 1YANG Jihua AWQ076 Licensed Representative 1YANG Jing AVQ714 Licensed Representative 9YANG Jing AWP387 Licensed Representative 4YANG Shiau-ju AWQ672 Licensed Representative 1YAU Ho Pan AWS533 Licensed Representative 2YAU Siu Yeung, Shari AWP697 Licensed Representative 1, 4YE Lian AWT326 Licensed Representative 4YE Qing AWS033 Licensed Representative 4YEUNG Chi Wai AWT236 Licensed Representative 1YEUNG Tsz Kong AWP540 Licensed Representative 1, 6YEUNG Wing Ling AWR506 Licensed Representative 1, 2YIM Christopher Seeching AWP270 Licensed Representative 4YIP Teen Hang AWQ104 Licensed Representative 1, 2, 4, 5YIU Mei Ling AWQ274 Licensed Representative 1YOO Hyek AWP700 Licensed Representative 1, 2YOON Suyeon AWQ430 Licensed Representative 1, 6

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityYOSHIDA Kyonosuke AWO227 Licensed Representative 1YU Ming Hui AWP642 Licensed Representative 1YU Prima AWP869 Licensed Representative 1YU Xiaohan AWR725 Licensed Representative 9YU Yue AWS030 Licensed Representative 1, 2YUEN Ka Lok, David ALW487 Licensed Representative 1, 4YUEN Shu Ting AWS986 Licensed Representative 1YUNG Mei Chun, Jessie AEK437 Licensed Representative 1ZENG Xiankui AWP778 Licensed Representative 1ZHANG Jingshao AWS796 Licensed Representative 3ZHANG Senyan AWK695 Licensed Representative 4ZHAO Ruochuan AWR979 Licensed Representative 1, 6ZHEN Wei AWQ264 Licensed Representative 1ZHOU Gang AWP701 Licensed Representative 1, 2ZHOU Guannan AWT002 Licensed Representative 2, 5ZHOU Yu AWT457 Licensed Representative 9ZUO Si AWR730 Licensed Representative 1, 2BERNARD Edwin AHX947 Licensed Representative - Responsible Officer 1CHAN Kwok Keung AAC262 Licensed Representative - Responsible Officer 1, 4CHEONG Chan Kei, Ernest AGN732 Licensed Representative - Responsible Officer 9CHOY Peng Wah ADI230 Licensed Representative - Responsible Officer 4, 9CRAFTER Lochiel Cameron APB224 Licensed Representative - Responsible Officer 1, 4, 5, 6, 9DENBY-JONES Roger Edward ANS029 Licensed Representative - Responsible Officer 9DENG Xiaoli ASP700 Licensed Representative - Responsible Officer 1FANG Kuan-Jui ASY658 Licensed Representative - Responsible Officer 4, 6FUNG Wai Yan AHN189 Licensed Representative - Responsible Officer 1GAGLIO Raphael Francesco ANQ377 Licensed Representative - Responsible Officer 1, 4, 9HU Xiaodong AVQ696 Licensed Representative - Responsible Officer 9KONG Pik Tung AWJ172 Licensed Representative - Responsible Officer 9LEE Sandra Soyong AGD096 Licensed Representative - Responsible Officer 1LI Wai Lum AVP920 Licensed Representative - Responsible Officer 9SABNANI Krishma Manu ACG238 Licensed Representative - Responsible Officer 1TENG Wei AMC295 Licensed Representative - Responsible Officer 9WAN Oscar Hoyin ANM161 Licensed Representative - Responsible Officer 9WANG Ching-Sung AWI774 Licensed Representative - Responsible Officer 1, 4WANG Guoxing AWR534 Licensed Representative - Responsible Officer 4

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityAHMED Syed Shaaz AWV272 Licensed Representative (Provisional Licence) 1, 7AITCHISON James David AOJ152 Licensed Representative (Provisional Licence) 1, 2AKAN Gokhan AWT176 Licensed Representative (Provisional Licence) 9ANDREWS Scott Carter ASH792 Licensed Representative (Provisional Licence) 1, 4ANTROBUS Oliver John AWT520 Licensed Representative (Provisional Licence) 4ARNAUDO Xavier Laurent Georges AWS980 Licensed Representative (Provisional Licence) 1, 2, 7AU Wai Ting AWU293 Licensed Representative (Provisional Licence) 4BAI Shaonan AWV318 Licensed Representative (Provisional Licence) 2BASS Peter Andrew AWM024 Licensed Representative (Provisional Licence) 1, 2BENZ Michael Bruno ALW843 Licensed Representative (Provisional Licence) 1, 2BERQUIST Eric Craig AWW109 Licensed Representative (Provisional Licence) 1, 2BROWN Neil Arthur AWT174 Licensed Representative (Provisional Licence) 1, 6CAI Veronique Wen AOD776 Licensed Representative (Provisional Licence) 1, 2CAP Birgitta Maria AWS782 Licensed Representative (Provisional Licence) 4CARAMASCHI Ermes AWU547 Licensed Representative (Provisional Licence) 1, 2CHAN Chi Pang AWW253 Licensed Representative (Provisional Licence) 1, 2CHAN Ho Kin ANT708 Licensed Representative (Provisional Licence) 1, 2, 4, 5CHAN Hon Man, Hermione AWV258 Licensed Representative (Provisional Licence) 1, 4CHAN Ka Man AWV418 Licensed Representative (Provisional Licence) 1CHAN Na, Nancy AWT486 Licensed Representative (Provisional Licence) 1, 2CHAN Sarah Man Yin AWW422 Licensed Representative (Provisional Licence) 4, 9CHAN Sui Wai AQF076 Licensed Representative (Provisional Licence) 1, 2CHAN Tak Chiu AWV321 Licensed Representative (Provisional Licence) 1, 4CHAN Wai Cheung AWU002 Licensed Representative (Provisional Licence) 1CHAN Wai Fung AWT462 Licensed Representative (Provisional Licence) 1, 2CHAN Wai Leung AWW070 Licensed Representative (Provisional Licence) 1CHAN Wai, Wynie ARN188 Licensed Representative (Provisional Licence) 1, 9CHAN Wing Ho AWT362 Licensed Representative (Provisional Licence) 1CHAN Wing Yan AWT521 Licensed Representative (Provisional Licence) 1, 6CHAN Wun Sheung Alison May ADZ872 Licensed Representative (Provisional Licence) 1, 2CHAN Yun Man, Ray AWS898 Licensed Representative (Provisional Licence) 1, 2CHANEZON Alain ARJ298 Licensed Representative (Provisional Licence) 1, 2CHANG Chia-Fu AWT599 Licensed Representative (Provisional Licence) 4CHANG Vivian Ming-yin ASI105 Licensed Representative (Provisional Licence) 4, 9CHAU Pui Luen AWU013 Licensed Representative (Provisional Licence) 1CHEN Lijia AWW323 Licensed Representative (Provisional Licence) 4

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityCHEN Mengxi AWU081 Licensed Representative (Provisional Licence) 1, 2, 7CHEN Olivia Ly Ping AWS991 Licensed Representative (Provisional Licence) 1CHEN Wenzhi AWP610 Licensed Representative (Provisional Licence) 9CHEN Yao AWV323 Licensed Representative (Provisional Licence) 1, 4, 6CHEONG Mun Fai AWU884 Licensed Representative (Provisional Licence) 1CHEUK Ming Sze AWS748 Licensed Representative (Provisional Licence) 9CHEUNG Chee Him, Vincent AWV265 Licensed Representative (Provisional Licence) 1, 4CHEUNG Chin Hang, Gordon ARC006 Licensed Representative (Provisional Licence) 1CHEUNG Shut Shing, Muson ACY868 Licensed Representative (Provisional Licence) 1, 2CHIU Angela Sou-wai AWT846 Licensed Representative (Provisional Licence) 1, 2CHIU Kwan Hon, Ronnie AWT834 Licensed Representative (Provisional Licence) 1, 2CHOI Chin To AWT371 Licensed Representative (Provisional Licence) 9CHOI Koon Ming ADF755 Licensed Representative (Provisional Licence) 1CHOI Yue Sing AQM173 Licensed Representative (Provisional Licence) 1CHONG Hin Wah AEM183 Licensed Representative (Provisional Licence) 1CHONG Mean Phil AWV310 Licensed Representative (Provisional Licence) 1CHONG Oi Ping AWT372 Licensed Representative (Provisional Licence) 1CHONG Wee Khoon AWT864 Licensed Representative (Provisional Licence) 1, 2, 4, 5CHOU Chun Kit AWS990 Licensed Representative (Provisional Licence) 1, 7CHOU Yu-Pang ARD252 Licensed Representative (Provisional Licence) 1CHOW Man Yee, Kitty AMZ977 Licensed Representative (Provisional Licence) 1, 4, 6CHOW Shu Shing AOD596 Licensed Representative (Provisional Licence) 1CHU Kin Cheung ARQ377 Licensed Representative (Provisional Licence) 1, 2CHUI Ka Lung AWT447 Licensed Representative (Provisional Licence) 1, 6CHUNG Hang Hong AWU241 Licensed Representative (Provisional Licence) 1, 2CHUNG Ka Kei AWW558 Licensed Representative (Provisional Licence) 1, 2CHUNG Kin Keung AFL296 Licensed Representative (Provisional Licence) 1CHUNG Shing Chak ARR339 Licensed Representative (Provisional Licence) 1, 4CHUNG Wai Shing AFP827 Licensed Representative (Provisional Licence) 9CLARKE Simon John AWT303 Licensed Representative (Provisional Licence) 1, 2COOKE David James Edwin AWT700 Licensed Representative (Provisional Licence) 4COTTEAU Guewen AWV230 Licensed Representative (Provisional Licence) 1, 2CURTIL Laurianne Marie AWT328 Licensed Representative (Provisional Licence) 1, 2DASADIA Ruchi Rohan AWT991 Licensed Representative (Provisional Licence) 4DAVIDGE-PITTS Mark Nicholas AJL230 Licensed Representative (Provisional Licence) 1, 2DESAI Aditya Arun AWV233 Licensed Representative (Provisional Licence) 9

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityDHILLON Amarinder Singh AWT801 Licensed Representative (Provisional Licence) 1, 2DING Yue AWT001 Licensed Representative (Provisional Licence) 1, 4DONG Qi AWU541 Licensed Representative (Provisional Licence) 1, 2DOSHI Dhairya AWU276 Licensed Representative (Provisional Licence) 1, 2DUAN Shulai AWW066 Licensed Representative (Provisional Licence) 1, 4, 6DWYER Gregory James AWT081 Licensed Representative (Provisional Licence) 1, 2DWYER Patrick Edward AWW305 Licensed Representative (Provisional Licence) 1FAN Sui Ping AWT444 Licensed Representative (Provisional Licence) 1, 4FENG Zicai AWU832 Licensed Representative (Provisional Licence) 1, 4, 9FITTER Andrew John AWT160 Licensed Representative (Provisional Licence) 1FLAMAIN Celine Anne Nathalie AWS884 Licensed Representative (Provisional Licence) 4, 9FONG Jason Yik Kuen AWU679 Licensed Representative (Provisional Licence) 1FONG Wai Ki AWT308 Licensed Representative (Provisional Licence) 3FRASER David John AWT699 Licensed Representative (Provisional Licence) 4FRIESEN Jeremy Robert AWT866 Licensed Representative (Provisional Licence) 1, 2, 4, 5FULLALOVE Michael Robert AWS976 Licensed Representative (Provisional Licence) 1FUNG Ka Tat AWT851 Licensed Representative (Provisional Licence) 1, 4FUNG Kam Wing AWU645 Licensed Representative (Provisional Licence) 9FUNG Ting Yan AWT600 Licensed Representative (Provisional Licence) 3FUNG Wai Yee ATH356 Licensed Representative (Provisional Licence) 1FUNG Yuen Tsun AWU399 Licensed Representative (Provisional Licence) 1, 4, 9GATHANI Viral AFA300 Licensed Representative (Provisional Licence) 1, 6GAUTAM Shilpa AWU840 Licensed Representative (Provisional Licence) 1, 4, 6GERMAN Victor AWU684 Licensed Representative (Provisional Licence) 4GIKANDI Samuel Nderitu AWQ786 Licensed Representative (Provisional Licence) 1, 2, 7GREENWOOD Anthony Bruce Nicholas AWV268 Licensed Representative (Provisional Licence) 4GUO Han AWU106 Licensed Representative (Provisional Licence) 1, 6HABERER Claude Georges AAW332 Licensed Representative (Provisional Licence) 1, 4, 9HADIWIDJAJA Theodorus S. AWS530 Licensed Representative (Provisional Licence) 4, 5, 9HANAU David AWU551 Licensed Representative (Provisional Licence) 1, 2, 7HATAO Michiko ATB923 Licensed Representative (Provisional Licence) 4HAYEK Rami Gebran AQN510 Licensed Representative (Provisional Licence) 1, 2, 4, 9HO Cheuk Yuen, Michael AWU745 Licensed Representative (Provisional Licence) 1, 2HO Chun Keung AWT602 Licensed Representative (Provisional Licence) 4HO Chung Yin, John AWV319 Licensed Representative (Provisional Licence) 1, 4HO Yau Shing AWT619 Licensed Representative (Provisional Licence) 1

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityHOLTON Jason Benbrook AWS349 Licensed Representative (Provisional Licence) 1, 6HON Yi Kuen, Virginia AWO228 Licensed Representative (Provisional Licence) 1HONG Ying Hui AWT694 Licensed Representative (Provisional Licence) 1, 2, 4, 5HSU Margaret Chien Mei AJE094 Licensed Representative (Provisional Licence) 1, 4, 9HUANG Chenli ALG491 Licensed Representative (Provisional Licence) 6HUANG Chung-en AWW100 Licensed Representative (Provisional Licence) 4HUANG Liwen AWU004 Licensed Representative (Provisional Licence) 1, 2HUI King Leuk AWT449 Licensed Representative (Provisional Licence) 1, 6IP Edwina Wing Lam AWW837 Licensed Representative (Provisional Licence) 1, 4, 6JAMA Mustafa Ali AWU643 Licensed Representative (Provisional Licence) 1JARJOURA Kristofer Hamid AWS861 Licensed Representative (Provisional Licence) 1JESSOP David Mark AWT989 Licensed Representative (Provisional Licence) 4JIAO Qin AWT850 Licensed Representative (Provisional Licence) 1, 4, 6JIN Peter AWU550 Licensed Representative (Provisional Licence) 1, 2JOHNSON Richard James Spencer AWT702 Licensed Representative (Provisional Licence) 4KAGAWA Yoichi AWC083 Licensed Representative (Provisional Licence) 1KEOGH Shane AWS870 Licensed Representative (Provisional Licence) 1, 2KIM Won Koo AWW839 Licensed Representative (Provisional Licence) 1KIMOTO Hiroki AWS971 Licensed Representative (Provisional Licence) 1KOCHHAR Sachin AOD007 Licensed Representative (Provisional Licence) 1KRAKE Paul Edward ADT713 Licensed Representative (Provisional Licence) 1KRASNOZHENOV Boris AWS984 Licensed Representative (Provisional Licence) 4LALLY Harprit Singh AHQ837 Licensed Representative (Provisional Licence) 1, 2, 4, 9LALO Christophe Jean-Marie Patrick ALF295 Licensed Representative (Provisional Licence) 1LAM Kin Man, Sufan ACS679 Licensed Representative (Provisional Licence) 1, 2LAM Wai Keung AWU870 Licensed Representative (Provisional Licence) 1LAM Wai Sing AWT165 Licensed Representative (Provisional Licence) 1, 2LAN Qingwen AWW400 Licensed Representative (Provisional Licence) 1, 2LAU Chi Man AWW258 Licensed Representative (Provisional Licence) 1LAU Homan AWU132 Licensed Representative (Provisional Licence) 1LAU Ka Chun, Ringo AEL837 Licensed Representative (Provisional Licence) 1, 4, 9LAU Pui Man, Dora ARO293 Licensed Representative (Provisional Licence) 1LAU Wing Han, Bonnie AWU493 Licensed Representative (Provisional Licence) 1LAU Yun Ting, Kelvin AWT309 Licensed Representative (Provisional Licence) 1, 2LAVORGNA Frederic Victor Marcel AWS943 Licensed Representative (Provisional Licence) 1LAW Kai Chung AWT048 Licensed Representative (Provisional Licence) 4, 9

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityLEE Calista Wuen Nee AWT374 Licensed Representative (Provisional Licence) 4LEE Christopher Mark AWU673 Licensed Representative (Provisional Licence) 1, 2LEE Chui Ling AWW205 Licensed Representative (Provisional Licence) 1LEE Fu Wa AWV257 Licensed Representative (Provisional Licence) 1, 2LEE Ka Wah AWU583 Licensed Representative (Provisional Licence) 9LEE Pui Ki Packie AWW098 Licensed Representative (Provisional Licence) 1, 2LEONG Carol Ka Bo AWT703 Licensed Representative (Provisional Licence) 1, 2LER Li Ling AWQ787 Licensed Representative (Provisional Licence) 1, 2LEUNG Chun Yip AWV091 Licensed Representative (Provisional Licence) 1LEUNG Johnson Hoi Yung AWR747 Licensed Representative (Provisional Licence) 1, 2LEUNG Ka Yan AWT450 Licensed Representative (Provisional Licence) 1, 4LEUNG Tak Kong Desmond AUR685 Licensed Representative (Provisional Licence) 1, 2LI Ang AWU662 Licensed Representative (Provisional Licence) 1, 2LI Chun Kit AGG744 Licensed Representative (Provisional Licence) 1LI Hongpeng AWT344 Licensed Representative (Provisional Licence) 4LI Huaiyu AWU869 Licensed Representative (Provisional Licence) 4, 9LI Jessica Y AWV098 Licensed Representative (Provisional Licence) 1, 4LI Sin To AWU554 Licensed Representative (Provisional Licence) 1, 6LI Wai Kit AWV325 Licensed Representative (Provisional Licence) 1LI Xiaoting AVS858 Licensed Representative (Provisional Licence) 1, 6LI Yuyan AWT574 Licensed Representative (Provisional Licence) 2LILA Miron AWW333 Licensed Representative (Provisional Licence) 1, 6LIM Keng Hian AWT968 Licensed Representative (Provisional Licence) 1, 4LIN Qing AWS553 Licensed Representative (Provisional Licence) 1, 6LIN Wei Suen AWV261 Licensed Representative (Provisional Licence) 1LIU Chang Kien AWW480 Licensed Representative (Provisional Licence) 1, 2, 7LIU Chenjie AWU260 Licensed Representative (Provisional Licence) 1, 4LIU Chi Hang AWT363 Licensed Representative (Provisional Licence) 1, 4LO Kin Ngai AWU006 Licensed Representative (Provisional Licence) 3LO Kin Wah AWT271 Licensed Representative (Provisional Licence) 1, 4LO Kok Hong AWT686 Licensed Representative (Provisional Licence) 1LOGAN Rowan Gerald AWV266 Licensed Representative (Provisional Licence) 1, 2, 4, 9LOWE Adrian Phillip AFA333 Licensed Representative (Provisional Licence) 4LU Shuangge AWR531 Licensed Representative (Provisional Licence) 4LU Xiaoteng AWW159 Licensed Representative (Provisional Licence) 1, 6LUCAS Remy, Jacques AWU723 Licensed Representative (Provisional Licence) 1

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityLUI King Yan, Marquis AJF725 Licensed Representative (Provisional Licence) 1, 2LUI Siu Fung AWV260 Licensed Representative (Provisional Licence) 1LUK Ting Fung AWV273 Licensed Representative (Provisional Licence) 4LUKE James Robert AUW501 Licensed Representative (Provisional Licence) 1, 4MACARTHUR Brian Thompson AWU256 Licensed Representative (Provisional Licence) 4MACKINSON Christopher Donald AWT177 Licensed Representative (Provisional Licence) 9MAK Tin Long AWU724 Licensed Representative (Provisional Licence) 1MILLAR C Mackenzie Stevens AWS911 Licensed Representative (Provisional Licence) 1, 2, 7MOHAN Manu AWT616 Licensed Representative (Provisional Licence) 1MOK Tuang Chen AWU147 Licensed Representative (Provisional Licence) 1MOOKIM Sanjay Kumar AUW976 Licensed Representative (Provisional Licence) 4MULVEE David John AWW210 Licensed Representative (Provisional Licence) 1, 2NATH Nikhil ALW163 Licensed Representative (Provisional Licence) 1, 4, 6NG Oi Wai APJ597 Licensed Representative (Provisional Licence) 1, 2NG Shek Lun AWT464 Licensed Representative (Provisional Licence) 1NG Siu Chun, Stephen AWW531 Licensed Representative (Provisional Licence) 1NG Sze Min Simon AWU243 Licensed Representative (Provisional Licence) 1, 6NG Ying Kit, Walter ADZ360 Licensed Representative (Provisional Licence) 1NICHOLS Stephen James ACJ658 Licensed Representative (Provisional Licence) 1NIKI Jun AWS973 Licensed Representative (Provisional Licence) 1NORDENSKJOELD Hampus Monthan Sven Olof AWP474 Licensed Representative (Provisional Licence) 1, 2, 7OKANO Ryuta AWV082 Licensed Representative (Provisional Licence) 1, 2PAGLIARINI Alberto APH107 Licensed Representative (Provisional Licence) 1, 6PAIN Matthew Henry AWS453 Licensed Representative (Provisional Licence) 1PARK Cheon Woong ALF574 Licensed Representative (Provisional Licence) 1, 4, 9PARK Jungjae AWT302 Licensed Representative (Provisional Licence) 1, 2PASTOR Celine Marie Bernabe AVC365 Licensed Representative (Provisional Licence) 1, 6PETRI Pascal Serge Jean AWU556 Licensed Representative (Provisional Licence) 1, 2PHICHETPUNT Thanita APQ976 Licensed Representative (Provisional Licence) 1, 2PHOON Priscilla Yilin AWW476 Licensed Representative (Provisional Licence) 1, 4, 9PICKWORTH Simon Murray AWT354 Licensed Representative (Provisional Licence) 1PODRZYCKI Marc Wladyslas Raymond AWV259 Licensed Representative (Provisional Licence) 2PUN Kwai Chuen AWV026 Licensed Representative (Provisional Licence) 1, 2QIANG Jing AWU229 Licensed Representative (Provisional Licence) 1, 4RAMIREZ Alexander Bernard AWU103 Licensed Representative (Provisional Licence) 1, 6RAVENHALL Richard John AWU277 Licensed Representative (Provisional Licence) 4, 9

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityREES Gareth James AWU099 Licensed Representative (Provisional Licence) 1ROBERTS Jonathan Neal AWS981 Licensed Representative (Provisional Licence) 1SAWATO Masami AUV747 Licensed Representative (Provisional Licence) 4SEFRI David Kustandi AWT923 Licensed Representative (Provisional Licence) 1, 4SEFTON James Allan AWT988 Licensed Representative (Provisional Licence) 4SHE Siu Tak ACI321 Licensed Representative (Provisional Licence) 9SHEN Xiaotong AWU655 Licensed Representative (Provisional Licence) 1, 4, 6SHENG Yiran AWT319 Licensed Representative (Provisional Licence) 4, 9SHEUNG Siu Ho, Stephen AWT956 Licensed Representative (Provisional Licence) 1, 2, 4SHUM Ching Hei AWT804 Licensed Representative (Provisional Licence) 6SINGER David Antony AWS936 Licensed Representative (Provisional Licence) 1SIT Ho Chi AWT704 Licensed Representative (Provisional Licence) 6SIU Yun Fat AWU283 Licensed Representative (Provisional Licence) 1, 4SO Shun Wah AWU568 Licensed Representative (Provisional Licence) 1, 4SONG Li AWW362 Licensed Representative (Provisional Licence) 1, 4STANTON David Andrew AWT701 Licensed Representative (Provisional Licence) 4SU Jeffrey Chih-Kie AJF366 Licensed Representative (Provisional Licence) 4SUBRAMANI Gautam AWT109 Licensed Representative (Provisional Licence) 1, 2SUN Wenjun AWV201 Licensed Representative (Provisional Licence) 4, 9SZE Wing Tsz, Ada AWU186 Licensed Representative (Provisional Licence) 9TAKAGI Naomi AWU656 Licensed Representative (Provisional Licence) 4TAM Ping Chung AWV422 Licensed Representative (Provisional Licence) 1TAM Tsz Yan AWT888 Licensed Representative (Provisional Licence) 1TAN Chi Wei AWU185 Licensed Representative (Provisional Licence) 4TAN Kar Wee AWU175 Licensed Representative (Provisional Licence) 1, 6TAN Ren Jie AWV099 Licensed Representative (Provisional Licence) 1, 2TANAKA Maki AWT166 Licensed Representative (Provisional Licence) 1TANG May See, Michelle AWW061 Licensed Representative (Provisional Licence) 1, 4, 9TANG Siu Chung AWW380 Licensed Representative (Provisional Licence) 1TANG Sze Ning Erica AWT889 Licensed Representative (Provisional Licence) 1, 4, 6TANG Wei AOC715 Licensed Representative (Provisional Licence) 1, 6TAO Jingyuan AWV205 Licensed Representative (Provisional Licence) 4, 9THACKRAY Simon George AWU696 Licensed Representative (Provisional Licence) 4THATCHER Andrew John AWW110 Licensed Representative (Provisional Licence) 1, 4THE Arvin Setiadi AWU847 Licensed Representative (Provisional Licence) 1, 2TO Eric Wun-hse AWW063 Licensed Representative (Provisional Licence) 9

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityTOMTER Eric Jarvis AEF319 Licensed Representative (Provisional Licence) 4TONG Wai Cham AWV320 Licensed Representative (Provisional Licence) 2TSANG Koon Leung ASD900 Licensed Representative (Provisional Licence) 9TSANG Ting ADX765 Licensed Representative (Provisional Licence) 1TSANG Tsz Kwan ANN374 Licensed Representative (Provisional Licence) 1TSE Tak Cheng APZ499 Licensed Representative (Provisional Licence) 1, 2TSE Wai Biu AQQ123 Licensed Representative (Provisional Licence) 4, 9TSUI Lai Fung AWT598 Licensed Representative (Provisional Licence) 1, 2VANDERZEIL Robert Alan Spencer AWS935 Licensed Representative (Provisional Licence) 1VINCENT Andrew James AWU886 Licensed Representative (Provisional Licence) 9WANG Andrew G AWT554 Licensed Representative (Provisional Licence) 1, 6WANG Lisha AWW125 Licensed Representative (Provisional Licence) 1, 4WANG Pei AWW233 Licensed Representative (Provisional Licence) 4WANG Taosha AWW072 Licensed Representative (Provisional Licence) 1, 4, 6WANG Xin AWU552 Licensed Representative (Provisional Licence) 6WANG Zhengxi AWT482 Licensed Representative (Provisional Licence) 1, 6WERTHEIMER Richard Miles ACT127 Licensed Representative (Provisional Licence) 1WHEELER Daniel Raymond AHP526 Licensed Representative (Provisional Licence) 1, 2WILLIAMS Toby Lee AEO751 Licensed Representative (Provisional Licence) 4WONG Chun Hung AWU871 Licensed Representative (Provisional Licence) 1WONG Fong AWQ762 Licensed Representative (Provisional Licence) 1WONG Kai Chung AWW031 Licensed Representative (Provisional Licence) 1, 2WONG Kenneth Sze-ho AWT852 Licensed Representative (Provisional Licence) 1WONG Pak Chun AQZ536 Licensed Representative (Provisional Licence) 1WONG Tai Chi, Alick AWU649 Licensed Representative (Provisional Licence) 4WONG Wai Ki, Carlos AFG799 Licensed Representative (Provisional Licence) 1, 2WONG Wing Keung ATL879 Licensed Representative (Provisional Licence) 1, 2, 4WU Chenyao AWW321 Licensed Representative (Provisional Licence) 4WU Michelle Yi-Hui AWU414 Licensed Representative (Provisional Licence) 1, 2, 4, 5WU Shiu Wai AWU266 Licensed Representative (Provisional Licence) 1WU Xiaozheng AQM287 Licensed Representative (Provisional Licence) 1XIAO Kai AVM758 Licensed Representative (Provisional Licence) 1XIE Sha AWS983 Licensed Representative (Provisional Licence) 6XU Dapeng AWS601 Licensed Representative (Provisional Licence) 1, 4XU Jiashuang AWT451 Licensed Representative (Provisional Licence) 6XU Xiaopeng AWT597 Licensed Representative (Provisional Licence) 1, 6

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityXU Zhi Cheng AWU540 Licensed Representative (Provisional Licence) 4YAMAZAKI Yuko AUW612 Licensed Representative (Provisional Licence) 1YAN Fan AWU555 Licensed Representative (Provisional Licence) 4YAN Su AWU246 Licensed Representative (Provisional Licence) 1, 2YANG Geng AWW234 Licensed Representative (Provisional Licence) 4YAU Ki Chit AWU852 Licensed Representative (Provisional Licence) 1, 2YE Huang Zhong AWW074 Licensed Representative (Provisional Licence) 1, 4, 6YEOH Pang Tian APK473 Licensed Representative (Provisional Licence) 1YEUNG Yat Lun, Ronald AWT373 Licensed Representative (Provisional Licence) 1YIN Hongqiang AWW354 Licensed Representative (Provisional Licence) 1, 6YIU Ching Fong AWU849 Licensed Representative (Provisional Licence) 2YU Weijiang AWW324 Licensed Representative (Provisional Licence) 1YUAN Jie AWT241 Licensed Representative (Provisional Licence) 4YUAN Yingjun AWT865 Licensed Representative (Provisional Licence) 1, 4, 6YUEN Chi Kwong AWU278 Licensed Representative (Provisional Licence) 1YUEN Chui Ting, Ivy AGP199 Licensed Representative (Provisional Licence) 1, 6YUNG Mable AWW264 Licensed Representative (Provisional Licence) 1YUNG Mei Chun, Jessie AEK437 Licensed Representative (Provisional Licence) 1YUNG Yat Ming AOH581 Licensed Representative (Provisional Licence) 6ZHANG Hui AOX819 Licensed Representative (Provisional Licence) 1, 6ZHANG Rui AWU195 Licensed Representative (Provisional Licence) 1ZHOU Guannan AWT002 Licensed Representative (Provisional Licence) 2, 5ZHOU Yu AWT457 Licensed Representative (Provisional Licence) 9BAO Richard APY712 Licensed Representative (Temporary Licence) 1BARATON Xavier Francois AVC110 Licensed Representative (Temporary Licence) 1BARDELLA Rafael Palmeira AWU133 Licensed Representative (Temporary Licence) 4BASS Matthew David AWT777 Licensed Representative (Temporary Licence) 4BECK John William AUM482 Licensed Representative (Temporary Licence) 1BRISCOE Hayden Daniel AVV090 Licensed Representative (Temporary Licence) 4BURKE John Patrick AWF162 Licensed Representative (Temporary Licence) 4CHEN Jack APL609 Licensed Representative (Temporary Licence) 2COX Ashley James AQS487 Licensed Representative (Temporary Licence) 1CRAWFORD James Duncan Laing AVG867 Licensed Representative (Temporary Licence) 4DETTERICK James Judd AWU080 Licensed Representative (Temporary Licence) 1ELLARD Fiona Maclean AWU321 Licensed Representative (Temporary Licence) 1, 4FUKUSHIMA Daisuke ASJ764 Licensed Representative (Temporary Licence) 4

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityGATENBY Christopher Jason AVP921 Licensed Representative (Temporary Licence) 1GEORGE Bradley John AQF002 Licensed Representative (Temporary Licence) 4GRIFFITHS Graeme Derek Victor AOA583 Licensed Representative (Temporary Licence) 4GROTZINGER Adam W AVI257 Licensed Representative (Temporary Licence) 1HENKEL David Carl ARO112 Licensed Representative (Temporary Licence) 4HINZ Rasmus AWT489 Licensed Representative (Temporary Licence) 1JENNINGS James Anthony AQS489 Licensed Representative (Temporary Licence) 1KONG Wai Weng Eddy AWT849 Licensed Representative (Temporary Licence) 1KONO Takaomi AVL920 Licensed Representative (Temporary Licence) 4KONTANI Masaru AUW611 Licensed Representative (Temporary Licence) 1KUNG Julia Fen-Ting AWQ523 Licensed Representative (Temporary Licence) 1LIPPENS Bruno Andre Joseph ARP187 Licensed Representative (Temporary Licence) 4LORD Nicholas Peter ANB704 Licensed Representative (Temporary Licence) 1MASTERSON Christopher Mary AEP340 Licensed Representative (Temporary Licence) 1NG Ngee Cheng ALT810 Licensed Representative (Temporary Licence) 4NISHIMURA Shuichi AMR969 Licensed Representative (Temporary Licence) 4O'BRIEN Vincent Gerald AEU374 Licensed Representative (Temporary Licence) 1PENDERT Stefan Alexander ANF152 Licensed Representative (Temporary Licence) 1PHLEGAR Jeffrey Scott AMJ997 Licensed Representative (Temporary Licence) 4QUIGLEY Jarrod Ross AWU644 Licensed Representative (Temporary Licence) 1ROTH IV Christian Gordon ATC470 Licensed Representative (Temporary Licence) 1SHODA Masafumi ANE306 Licensed Representative (Temporary Licence) 4SUMMERFIELD David Angus AEP603 Licensed Representative (Temporary Licence) 1SZE Vivian Wing Ann AWV324 Licensed Representative (Temporary Licence) 1, 6TAY Teck Seng AHO443 Licensed Representative (Temporary Licence) 4THONG Wai Meng Damian ANC081 Licensed Representative (Temporary Licence) 4TU John AWQ075 Licensed Representative (Temporary Licence) 1, 2UCHIKAWA Shunsuke AWS797 Licensed Representative (Temporary Licence) 1, 6YOKOYAMA Kyoichiro AJJ625 Licensed Representative (Temporary Licence) 4YUKI Eduardo Tatsumi AWU134 Licensed Representative (Temporary Licence) 4

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