ADDITIONS OF LICENSED … OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017 CE Name CE No....

27
ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017 CE Name CE No. Licence Type Types of Regulated Activity Asian Capital Limited AZF630 Licensed Corporation 6 Binnacle Capital Limited BKL384 Licensed Corporation 1, 6 Boill Fund Management (HK) Co., Limited BJL167 Licensed Corporation 4, 9 Dimensional Hong Kong Limited BJE760 Licensed Corporation 1 Eastmoney International Futures Limited BJP084 Licensed Corporation 2, 5 Forshine Asset Management Limited BIB570 Licensed Corporation 4, 9 Fort Hill Capital Limited BJT867 Licensed Corporation 9 Gold Dragon Worldwide Asset Management Limited BJU614 Licensed Corporation 4, 9 Goldenwise Capital Group Limited BJT470 Licensed Corporation 4, 9 Granville Financial Services Company Limited BJH949 Licensed Corporation 1, 2, 9 Hammer Capital Asset Management Limited BIT752 Licensed Corporation 9 HK Monkey Securities Limited BJV607 Licensed Corporation 1, 9 Howbuy Hong Kong Limited BJR948 Licensed Corporation 1, 4, 9 Livermore Holdings Limited BJN764 Licensed Corporation 1 MANAGED ACCOUNT PARTNERS LIMITED BIZ186 Licensed Corporation 9 Manulife General Account Investments (HK) Limited BJI349 Licensed Corporation 1, 2, 4, 9 Marketsense Asset Management Limited BIZ106 Licensed Corporation 9 MCM Investment Partners Limited BIH342 Licensed Corporation 9 New Prospect Capital Limited BJT614 Licensed Corporation 1, 4 Proliferation Asset Management Limited BKO803 Licensed Corporation 4, 9 Rasong Asset Management Limited BJS897 Licensed Corporation 4, 9 Sparkle Asset Management (Hong Kong) Limited BKQ734 Licensed Corporation 9 StellarS Capital (Hong Kong) Limited BJB228 Licensed Corporation 9 Techne Asset Management Limited BJT660 Licensed Corporation 9 Towering Securities Limited BIN085 Licensed Corporation 1, 4, 9 ADITYA BLF579 Licensed Representative 4, 9 AFONIN Artem BHA284 Licensed Representative 4 AN Chiwon BKX406 Licensed Representative 1, 6 AU Shun Hang BLA480 Licensed Representative 1, 6 BAETZ Thomas Jacques Jean Philippe BLF191 Licensed Representative 1, 6 BANG Keug Jae BLG379 Licensed Representative 6 BAR Guillaume, Arnaud, Adrien BLF073 Licensed Representative 1 BARNES Simon Andrew BKZ985 Licensed Representative 1 BEZVERKHNI Leon BKY299 Licensed Representative 1, 6 BIANCHI Laetitia Laurence Marie BLF826 Licensed Representative 1 BRENNAN Christopher Patrick BLE951 Licensed Representative 1, 4 BUTT Yuk Foon BLD574 Licensed Representative 1 CABAL Bill Kristoffer BJS895 Licensed Representative 1, 4, 6 CAI Mianmian BKY254 Licensed Representative 1, 4 CAI Miao BKH212 Licensed Representative 1, 6 CAO Chao BLE074 Licensed Representative 1, 2 CAO Dan BKZ053 Licensed Representative 1, 4 Page 1 of 27

Transcript of ADDITIONS OF LICENSED … OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017 CE Name CE No....

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

Asian Capital Limited AZF630 Licensed Corporation 6

Binnacle Capital Limited BKL384 Licensed Corporation 1, 6

Boill Fund Management (HK) Co., Limited BJL167 Licensed Corporation 4, 9

Dimensional Hong Kong Limited BJE760 Licensed Corporation 1

Eastmoney International Futures Limited BJP084 Licensed Corporation 2, 5

Forshine Asset Management Limited BIB570 Licensed Corporation 4, 9

Fort Hill Capital Limited BJT867 Licensed Corporation 9

Gold Dragon Worldwide Asset Management Limited BJU614 Licensed Corporation 4, 9

Goldenwise Capital Group Limited BJT470 Licensed Corporation 4, 9

Granville Financial Services Company Limited BJH949 Licensed Corporation 1, 2, 9

Hammer Capital Asset Management Limited BIT752 Licensed Corporation 9

HK Monkey Securities Limited BJV607 Licensed Corporation 1, 9

Howbuy Hong Kong Limited BJR948 Licensed Corporation 1, 4, 9

Livermore Holdings Limited BJN764 Licensed Corporation 1

MANAGED ACCOUNT PARTNERS LIMITED BIZ186 Licensed Corporation 9

Manulife General Account Investments (HK) Limited BJI349 Licensed Corporation 1, 2, 4, 9

Marketsense Asset Management Limited BIZ106 Licensed Corporation 9

MCM Investment Partners Limited BIH342 Licensed Corporation 9

New Prospect Capital Limited BJT614 Licensed Corporation 1, 4

Proliferation Asset Management Limited BKO803 Licensed Corporation 4, 9

Rasong Asset Management Limited BJS897 Licensed Corporation 4, 9

Sparkle Asset Management (Hong Kong) Limited BKQ734 Licensed Corporation 9

StellarS Capital (Hong Kong) Limited BJB228 Licensed Corporation 9

Techne Asset Management Limited BJT660 Licensed Corporation 9

Towering Securities Limited BIN085 Licensed Corporation 1, 4, 9

ADITYA BLF579 Licensed Representative 4, 9

AFONIN Artem BHA284 Licensed Representative 4

AN Chiwon BKX406 Licensed Representative 1, 6

AU Shun Hang BLA480 Licensed Representative 1, 6

BAETZ Thomas Jacques Jean Philippe BLF191 Licensed Representative 1, 6

BANG Keug Jae BLG379 Licensed Representative 6

BAR Guillaume, Arnaud, Adrien BLF073 Licensed Representative 1

BARNES Simon Andrew BKZ985 Licensed Representative 1

BEZVERKHNI Leon BKY299 Licensed Representative 1, 6

BIANCHI Laetitia Laurence Marie BLF826 Licensed Representative 1

BRENNAN Christopher Patrick BLE951 Licensed Representative 1, 4

BUTT Yuk Foon BLD574 Licensed Representative 1

CABAL Bill Kristoffer BJS895 Licensed Representative 1, 4, 6

CAI Mianmian BKY254 Licensed Representative 1, 4

CAI Miao BKH212 Licensed Representative 1, 6

CAO Chao BLE074 Licensed Representative 1, 2

CAO Dan BKZ053 Licensed Representative 1, 4

Page 1 of 27

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

CAO Sihui BLE062 Licensed Representative 1, 4, 6

CAO Yimeng BKG809 Licensed Representative 1, 2

CAO Yuting BLF629 Licensed Representative 1, 4, 9

CHAI Siu Hoi BLH838 Licensed Representative 1

CHAINANI Harry Lal BLC840 Licensed Representative 1, 4

CHAN Cheuk Wai BLJ862 Licensed Representative 1

CHAN Chi Ho BKZ007 Licensed Representative 10

CHAN Ching Kwan BLH243 Licensed Representative 1

CHAN Chun Lin, Johnny BFO992 Licensed Representative 1

CHAN Fai Shing AWU704 Licensed Representative 1

CHAN Joey Chun Yin BKY519 Licensed Representative 1

CHAN Ka Wai APP683 Licensed Representative 1, 2

CHAN Ka Wai BLF061 Licensed Representative 6

CHAN Ki Fung BLI064 Licensed Representative 1, 4

CHAN Kwok Hung BKW960 Licensed Representative 1

CHAN Ling Tung, Kristy BFT513 Licensed Representative 1, 2

CHAN Po Yan BKR693 Licensed Representative 1, 4, 6

CHAN Shu Chun BLG345 Licensed Representative 1, 4

CHAN So Han AOJ393 Licensed Representative 1, 4, 9

CHAN Tak Hei BLG386 Licensed Representative 10

CHAN Ting Yan BLK726 Licensed Representative 1, 2

CHAN Tsz Ying BLF852 Licensed Representative 1

CHAN Wing Ho BLI731 Licensed Representative 1

CHAN Yee Wah BLF238 Licensed Representative 1, 4, 9

CHAN Ying Kit BLC894 Licensed Representative 1

CHANG Yui Cheong Richards BKX171 Licensed Representative 6

CHANG Yung Ching AFF918 Licensed Representative 9

CHAU Chun Ho AQM117 Licensed Representative 1

CHAU Chun Yin BLF847 Licensed Representative 1, 2

CHAU Wing Ho BLH244 Licensed Representative 6

CHEN Biwei BKD538 Licensed Representative 1

CHEN Cheng BLC897 Licensed Representative 9

CHEN Emily BBN893 Licensed Representative 1, 4, 9

CHEN Feng BKW447 Licensed Representative 1, 6

CHEN Jianghui BLG365 Licensed Representative 4

CHEN Ke BLI895 Licensed Representative 10

CHEN Ningxin BLF890 Licensed Representative 4, 9

CHEN Pengge BKZ959 Licensed Representative 1, 4, 6

CHEN SHENG BKH355 Licensed Representative 1, 6

CHEN Weiwei BKY635 Licensed Representative 1

CHEN Xiaoyue BLH895 Licensed Representative 1, 2, 4

CHEN Yidan BLG353 Licensed Representative 1, 4

Page 2 of 27

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

CHENG CHEN BKZ934 Licensed Representative 1, 6

CHENG Fuk Kam, David AUE238 Licensed Representative 3

CHENG Hung Tat AUA676 Licensed Representative 9

CHENG Jiyi BLI471 Licensed Representative 1, 4

CHENG John Chee-Wai BLB528 Licensed Representative 1, 4

CHENG LI BKY322 Licensed Representative 10

CHENG Ming Hai BLG126 Licensed Representative 1, 4, 9

CHENG Siu Fai BKB668 Licensed Representative 4, 6, 9

CHENG Yiu Chung BLI138 Licensed Representative 1, 2

CHENG Zi Heng BLI613 Licensed Representative 9

CHEUNG Chun BLF137 Licensed Representative 6

CHEUNG Chun Kit BLJ669 Licensed Representative 6

CHEUNG Chun Mei BLL105 Licensed Representative 1, 2

CHEUNG Fuk Lung BLI002 Licensed Representative 4

CHEUNG Ka Ki BLB525 Licensed Representative 1, 4

CHEUNG Lap Kuen, Preston BLI062 Licensed Representative 1, 2, 4

CHEUNG Shui Sum APB920 Licensed Representative 1, 4

CHEUNG Siu Fung AZC794 Licensed Representative 1, 4, 6

CHEUNG Wai Fan BLG134 Licensed Representative 1, 4, 9

CHEUNG Wai Ho BLI482 Licensed Representative 1

CHIEN Jui-Lin BLG339 Licensed Representative 1, 4

CHIEN Yu-Ping BJT518 Licensed Representative 1

CHING Hiu Fai AYK156 Licensed Representative 9

CHIU Man Chi Vivi BLG161 Licensed Representative 1, 6

CHIU Yuen Ying BAU743 Licensed Representative 1, 4, 9

CHO Seok Won BLI866 Licensed Representative 1

CHOE Jang Ho BLH460 Licensed Representative 4, 9

CHOI Franky Ming Chit APY708 Licensed Representative 1, 2

CHOI Kwun Hang BLC344 Licensed Representative 6

CHOI Yee Lam, Kenny BLH669 Licensed Representative 1

CHOI Yiet Yu BLC072 Licensed Representative 1, 2

CHOW Kam Ho BLC130 Licensed Representative 1, 6

CHOW Long Ching BLF108 Licensed Representative 4

CHOW Yun Chit Eugene BLB194 Licensed Representative 1, 2

CHU Chen Chung, Dominic BEW829 Licensed Representative 1, 6

CHU Lai Ching BCS756 Licensed Representative 1

CHU Li Yu BLC328 Licensed Representative 9

CHUI Yat Wa BLD478 Licensed Representative 1, 2

CHUNG Chieh-Hung BKL124 Licensed Representative 1, 2, 9

CHUNG Hiu Lam BLG285 Licensed Representative 1, 6

CHUNG Wing BLA947 Licensed Representative 1, 4, 9

CHUO Chung-Lin BKM227 Licensed Representative 1, 4, 6

Page 3 of 27

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

CLODE Richard Stephen BLH883 Licensed Representative 1, 4

CUI BOFENG BLF876 Licensed Representative 1, 4

CUI Wenqian BLD180 Licensed Representative 4, 9

CUI Yuting BHV550 Licensed Representative 9

DAWES Pinky BLC909 Licensed Representative 1, 4

DAY Joseph William Philip BLG354 Licensed Representative 1, 4, 9

DELAHODDE Thomas Geoffrey BLC702 Licensed Representative 1, 2, 7

DHADDA Vaibhav BLA433 Licensed Representative 1, 9

DING QI AWV316 Licensed Representative 9

DRYER Katharine Grace BDI393 Licensed Representative 1

FANG Yuan BLI961 Licensed Representative 1, 4, 6

FENG Shanchuan BLB687 Licensed Representative 4

FOK Sze Ting ANG611 Licensed Representative 1, 4, 9

FONG Chi Chuen, Ronnie BLF532 Licensed Representative 1

FONG Tin Cheung BLC075 Licensed Representative 1

FONG Wai Kit, Alvis BLF652 Licensed Representative 1, 4

FREYE Henrik Sebastian BLH173 Licensed Representative 9

FU Tianqi BKI877 Licensed Representative 1, 4

FUNG Yu Keung BLB503 Licensed Representative 1

GAO Qiao BLC830 Licensed Representative 4, 9

GE Xiaoyan BLC471 Licensed Representative 1

GEORGE Abraham Yohan BLA732 Licensed Representative 1, 4

GOH Hanli Jason BLF635 Licensed Representative 1

GONG Mengtan BLF870 Licensed Representative 9

GONG Rui BLF289 Licensed Representative 1, 4, 9

GONG Xiao BKA522 Licensed Representative 1, 6

GU Lei BLF077 Licensed Representative 1, 2

GUO Yanpei BLB500 Licensed Representative 1, 6

GUO Yifei BLG133 Licensed Representative 1, 4, 9

GUO Yuehua BKW494 Licensed Representative 1, 6

GUPTA Anup BJQ221 Licensed Representative 1

GUPTE Nishad Dileep BKY105 Licensed Representative 1, 2

GUSAK Victor Vladislav BKN511 Licensed Representative 1, 2

HAN Xinhao BLF871 Licensed Representative 1, 2

HANLEY Cathal Timothy BLD572 Licensed Representative 1, 2, 7

HAO Lili BKR340 Licensed Representative 1, 4, 9

HE Kai BLD346 Licensed Representative 1, 4

HE Ningqian BLF666 Licensed Representative 9

HENG Georgette Marie ABP318 Licensed Representative 1, 4, 9

HO Kam To BLA401 Licensed Representative 1, 4

HO Long Shan, Leonard AOD111 Licensed Representative 1, 4, 5, 9

HO Perdo Wang Kei AVN057 Licensed Representative 1

Page 4 of 27

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

HO TACK WEI BKI538 Licensed Representative 1, 6

HON Ka Ho BKI875 Licensed Representative 1, 4, 9

HOU Min BLH840 Licensed Representative 1, 4

HSIAO Tiffany Jihsheng AQC825 Licensed Representative 1

HSU Chih Chia BLB397 Licensed Representative 1

HSU Hsiu Ping AYJ219 Licensed Representative 9

HU Jiabin BKU255 Licensed Representative 4, 9

HU Jiachen BKV101 Licensed Representative 1

HUANG Jianhua BLE736 Licensed Representative 1

HUANG Miaomiao BKY919 Licensed Representative 4, 9

HUANG Mingmin AYR511 Licensed Representative 1, 4, 6

HUANG Tiger BLF626 Licensed Representative 1, 6

HUANG Yang BLA722 Licensed Representative 4, 9

HUANG Yanqing ANG755 Licensed Representative 4, 9

HUANG Yuzhi BLD480 Licensed Representative 1, 2

HUI Chi Kit BEX235 Licensed Representative 1, 4, 9

HUI Kin Ho BKY134 Licensed Representative 1, 2

HUI Wai Lung BLE911 Licensed Representative 1, 2

HUNG Tsun Hay BGU300 Licensed Representative 1, 4

INGVAR Andrea Mary Jeanette BLC460 Licensed Representative 1

JACKSON Nicholas Mark BLC914 Licensed Representative 1, 4

JASUJA Radhika AID481 Licensed Representative 1, 4

JIANG Fang BKR675 Licensed Representative 1, 2

JIANG Mingyu BLA801 Licensed Representative 1, 6

JIANG Tong BKU847 Licensed Representative 4

JIANG Yilin BLD329 Licensed Representative 1, 2

JIN Jianren BLH272 Licensed Representative 1, 4

JIN Jing BKY934 Licensed Representative 1

KAN Chiu Man, Vivian AFR075 Licensed Representative 1, 4

KAO Yu Lin BLE983 Licensed Representative 1, 4, 9

KENNEDY Peter Joseph BLK164 Licensed Representative 1

KEUNG Yuen Yuen BLJ660 Licensed Representative 1

KHADERIA Nirmal Kumar BLD569 Licensed Representative 1, 4, 6

KHUONG Chun Yu, Kenny ANH532 Licensed Representative 4, 9

KIM Junghun BLH422 Licensed Representative 9

KITOV Alex Nikolaev BKY265 Licensed Representative 1, 9

KIYOZUKA Megumi BLK150 Licensed Representative 1

KONG PAK YONG ANDY BLI106 Licensed Representative 1

KONG Yan BLI478 Licensed Representative 1, 4, 9

KU Yun BLK454 Licensed Representative 4, 9

KUNG Chin Pang ATB596 Licensed Representative 1, 2

KUNG Yiu Shing BLH249 Licensed Representative 1

Page 5 of 27

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

KUWAKI Shota BLK037 Licensed Representative 1

KWAI Wai BDY940 Licensed Representative 1

KWOK Kwai Ming Natalie BLD320 Licensed Representative 1

KWOK Suen Ni BFL004 Licensed Representative 1, 6

KWONG Maggie Pauly BLB531 Licensed Representative 1

LAI Chun Kit BLI494 Licensed Representative 6

LAI Kwok Keung BLK712 Licensed Representative 1

LAI Ophelia BLI863 Licensed Representative 9

LAI Shuk Fan BLB021 Licensed Representative 1

LAI Yik Man BLF867 Licensed Representative 4, 9

LAM Ambrose Kin Shek BKY630 Licensed Representative 1

LAM Ka Ching BLB365 Licensed Representative 1, 2

LAM Ka Wing BLI061 Licensed Representative 1, 4

LAM Shun Ka BJW925 Licensed Representative 1

LAM Sze Wing, Apple Ayumi BKP017 Licensed Representative 1, 4

LAM Tsz Kit BJE766 Licensed Representative 6

LAM Wan Yee, Cynthia AHV111 Licensed Representative 1

LAU Cham Yu BLF585 Licensed Representative 1, 4

LAU Cho Fung BLI767 Licensed Representative 1

LAU Raymond AJK499 Licensed Representative 9

LAU Yuen Shing AXZ950 Licensed Representative 1, 4, 6

LAUNGANI Neel Vishnu ADQ008 Licensed Representative 6

LAW Cho Kwan Derek BLI067 Licensed Representative 6

LAW Giggs AGA256 Licensed Representative 1

LAW KA KIU VICTOR BLF268 Licensed Representative 4, 9

LAW Man Chiu AQF556 Licensed Representative 1, 4

LE MAGNAN Sandra Liu ANM095 Licensed Representative 4

LEE Jiwon BLH266 Licensed Representative 1, 2, 4, 5

LEE Ming Keung ADJ352 Licensed Representative 9

LEE Ming Sum Mason BLI900 Licensed Representative 1, 2, 4

LEE Shao-Tang BLA303 Licensed Representative 4

LEE Yoke Ching BKS585 Licensed Representative 1

LEI Lei BKK648 Licensed Representative 1, 6

LENG Xuan BKY229 Licensed Representative 6

LEUNG Chun Hin BLC854 Licensed Representative 1

LEUNG Fung Sin ACI559 Licensed Representative 1, 4

LEUNG Ka Yiu BLE442 Licensed Representative 1, 4, 9

LEUNG Siu Kwan BLI874 Licensed Representative 1, 2, 7

LEUNG Siulun Gary BLE481 Licensed Representative 1, 4, 9

LEUNG Yee Hang BLF568 Licensed Representative 1, 4, 9

LEUNG Yui Ki BLK477 Licensed Representative 1, 2

LI Aiwei BLH896 Licensed Representative 4

Page 6 of 27

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

LI Bai BLA188 Licensed Representative 4

LI Chi Hang BGE846 Licensed Representative 1

LI Chuheng BLB153 Licensed Representative 1

LI Cong BKV453 Licensed Representative 1, 6

LI Hoi Ying Stefanie BLF088 Licensed Representative 1, 6

LI Junhui BKT337 Licensed Representative 1, 4, 9

LI Keyue BKW500 Licensed Representative 1, 4

LI Man BKX346 Licensed Representative 1, 4, 9

LI YEE KI BKF279 Licensed Representative 4, 9

LI Yihong BLG130 Licensed Representative 1, 6

LI Yijun AMF468 Licensed Representative 1, 4, 9

LI Yuk Ming Richard BLC336 Licensed Representative 9

LIANG Heng BLJ233 Licensed Representative 1

LIM Hock Leong Rapheal Ames BKW509 Licensed Representative 2

LIN Chi-Jung BFA198 Licensed Representative 1, 4

LIN Jiaxin AVH077 Licensed Representative 1, 4

LIU Chang BLF877 Licensed Representative 1

LIU Chung Tong AUK189 Licensed Representative 1

LIU En-Ting BLI963 Licensed Representative 1, 4, 9

LIU Gladys BLA853 Licensed Representative 1, 4

LIU Han BJM089 Licensed Representative 4, 9

LIU Jiaji BLC129 Licensed Representative 4

LIU Jingwei BKS235 Licensed Representative 1, 6

LIU Ruiyin BLG369 Licensed Representative 1, 4, 6

LIU shihuijun BLH483 Licensed Representative 1, 6

LIU Shiyan BLK641 Licensed Representative 4

LIU Sifan BLI069 Licensed Representative 1, 4

LIU Weiyi BLG350 Licensed Representative 1, 4, 6

LIU Ye BKS183 Licensed Representative 4

LIU You BLC125 Licensed Representative 1

LIU Zhao BLI522 Licensed Representative 9

LO Tsz Kit, Harry AGM850 Licensed Representative 6

LO Yu Jie BLF222 Licensed Representative 1, 4

LOGAN Anura BLE134 Licensed Representative 1

LOHCHAB Varun BLE441 Licensed Representative 4

LU Jingyang BLG357 Licensed Representative 1

LUI Ho Ting BLK723 Licensed Representative 1

LUI Wan Hong AYN585 Licensed Representative 1, 4, 6

LUK Wai Kit AJL679 Licensed Representative 9

LUO Xuan AQS758 Licensed Representative 1, 2

LUO Yue BLD589 Licensed Representative 1, 4, 6

MA Chi Ho BLD605 Licensed Representative 1, 4

Page 7 of 27

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

MA Danwei BLD382 Licensed Representative 1, 4

MA Man Lok, Ivan BLE910 Licensed Representative 1

MACLENNAN Dale Peter BKZ643 Licensed Representative 1

MAK Chloe BLA736 Licensed Representative 1, 2

MALIK Juhi BLJ228 Licensed Representative 1, 4

MALLIK UPASANA BLC104 Licensed Representative 4

MALOUF Michelle Maria BLH578 Licensed Representative 1

MAN Hoi Ting BLD963 Licensed Representative 1, 2

MAO Xinyu BKU176 Licensed Representative 1, 6

MASHRU Namrata Sudhir BAF822 Licensed Representative 1, 2

MASSON Benjamin Rene Remi BLD364 Licensed Representative 1, 4

MATHUR Puneet BLE907 Licensed Representative 2, 5

MAYER John Raymond BKX376 Licensed Representative 1, 2

MCDONAGH Simon Joseph BLC034 Licensed Representative 1

MENG Zhe BLG291 Licensed Representative 1, 4, 6

MIN Peter Jae Sun BLJ520 Licensed Representative 1

MIYAMOTO Go BIN850 Licensed Representative 4

MOK Wing Ho BLH458 Licensed Representative 1

MORINAGA Kumiko BLC343 Licensed Representative 9

NEO Shu Jean BLH786 Licensed Representative 1

NG Ho Yin BLJ668 Licensed Representative 1

NG Ka Wai BLB476 Licensed Representative 1, 6

NG Lai Fun BLE471 Licensed Representative 1, 4

NG Pui Hung BLE543 Licensed Representative 1, 4

NGAI Cho Lap BLF241 Licensed Representative 1, 4

NING Yanyue BLG363 Licensed Representative 1, 2, 4

NIU Huoqing BJT516 Licensed Representative 4, 9

NIU Shihao BLI959 Licensed Representative 1, 6

NUTTON James Michael BKD201 Licensed Representative 1

ONG Charlie Yveline Jeanne BLG082 Licensed Representative 1

ONG Payton Pei-de ARA392 Licensed Representative 9

OR Yu Yeung BLI759 Licensed Representative 1

OTTEN Frans Alexander BJW529 Licensed Representative 9

PAI Anna Hsin Ping BLA849 Licensed Representative 1, 4

PAN Hailin BHC186 Licensed Representative 1, 4

PANG Chak Hung BLE952 Licensed Representative 4, 9

PANG Nan BLI006 Licensed Representative 9

PANG Shing Cheung Gary BKB852 Licensed Representative 1, 9

PARK Henry Jooyong AEP794 Licensed Representative 9

PERFETTINI Alice Mary Mathilde BLF889 Licensed Representative 1, 4

PERRIN Mark Richard BLF186 Licensed Representative 4, 5, 9

POON Chi Kit BLK412 Licensed Representative 1

Page 8 of 27

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

POON Wing Kwong BLC825 Licensed Representative 1, 4

POON Wing Suet BLC031 Licensed Representative 1, 6

PUTHENVEEDU SAINUDEEN Anoop BLC767 Licensed Representative 1

QIAO Yahong BKS805 Licensed Representative 1, 4

RENARD Jean Noel, Charles BLD169 Licensed Representative 1, 4

RIOU Clement Vincent Jean BLG084 Licensed Representative 1, 4, 6

RUHEE Doorvasha BKR701 Licensed Representative 1, 9

SANTOS MORO Clement Michel BLH886 Licensed Representative 1, 2

SAWADA Shogo BII582 Licensed Representative 1, 2

SCHWARZ Florian BKY307 Licensed Representative 1, 4, 6

SEOW Chi Yip BJS157 Licensed Representative 1, 4, 6

SHAH Ankit Dipak BKL203 Licensed Representative 1, 9

SHAH Rajan Hemendra BLC790 Licensed Representative 1, 4

SHEK Ho Kwong Herbert BLC365 Licensed Representative 6

SHI Lei BLE460 Licensed Representative 6

SHIMIZU Yasunori BJF243 Licensed Representative 1, 2

SHU Han BKY918 Licensed Representative 1, 4, 9

SHU Tingfei BKR355 Licensed Representative 4, 9

SHU Yue BLI072 Licensed Representative 1

SIU Wing Sum BLD185 Licensed Representative 1, 4

SLOMAN Scott BKM190 Licensed Representative 1, 2

SMITH BRENT BLC113 Licensed Representative 1

SO Hin Long BLE915 Licensed Representative 9

SOERENSEN Morten BLC449 Licensed Representative 1, 7

SONG Wanling BLJ694 Licensed Representative 1

SUN Jie BBY954 Licensed Representative 1, 4

SUN Sheung Hei BLH246 Licensed Representative 1, 2, 9

SUN Wen BLD500 Licensed Representative 1, 4

TAI Ka Yan AQU175 Licensed Representative 4, 9

TAM Chung Yin ARD541 Licensed Representative 4, 9

TAM Wai Han BLJ546 Licensed Representative 1, 4

TAM Yui Fai BLB623 Licensed Representative 1

TAN Keng Siong David BLC295 Licensed Representative 1

TAN Li BKV411 Licensed Representative 1, 2

TAN Yawei BLD974 Licensed Representative 1, 2, 4, 5

TANG Shan BLH582 Licensed Representative 4

TANG Xinpei BLN463 Licensed Representative 4

TEO Pau Ying BLI958 Licensed Representative 1, 4, 6

TEOH Chia Wen AMR406 Licensed Representative 1, 6

TIAN Dan BKY217 Licensed Representative 1, 4

TING NICHOLAS BLD323 Licensed Representative 4

TOH Kah Yong, Jeremy BDW971 Licensed Representative 1, 4, 6

Page 9 of 27

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

TONG Cheuk Fu Jeffery BLD317 Licensed Representative 1, 4, 9

TONG Chiu Man BLC340 Licensed Representative 9

TONG KIN YIP BLH252 Licensed Representative 4, 9

TONG Kit Ling, Michelle ACB541 Licensed Representative 1

TONG Pui Yin BLE755 Licensed Representative 1

TRABAUD Eva BLH215 Licensed Representative 1

TSANG Hon Chiu BBD724 Licensed Representative 10

TSANG Kwok Wai, Gordon BLI479 Licensed Representative 1

TSANG Wing Ki BLL844 Licensed Representative 1, 4

TSE Lai Wai AIZ709 Licensed Representative 1, 4, 9

TSUI Chuk BLB678 Licensed Representative 1

TSUI Tsan Yiu, David BLG104 Licensed Representative 9

UCHIYAMA Hirotaka BLJ537 Licensed Representative 1

Vaibhav-Singh BLG103 Licensed Representative 9

VALLY Loic Patrick Frederic BLI480 Licensed Representative 1

VUILLEMIN Pierre Michel Cesar BLF081 Licensed Representative 1, 2

WAH Anthony Ming Chit ACM458 Licensed Representative 1

WAI Man Shan, Ada ADB779 Licensed Representative 1, 4, 9

WAN Koon Ping BJP586 Licensed Representative 1

WAN Kwok Chu BLE912 Licensed Representative 1, 4

WANG Cuina BLL620 Licensed Representative 1, 2

WANG Jing BLB402 Licensed Representative 1, 4, 6

WANG Kan BKQ411 Licensed Representative 1, 4

WANG Kenneth Chuan AHU775 Licensed Representative 9

WANG Long BKZ913 Licensed Representative 4, 9

WANG Mengting AWJ513 Licensed Representative 1, 6

WANG Pei BLJ395 Licensed Representative 1, 2

WANG Shihong BLK735 Licensed Representative 1, 4

WANG SONG BLE051 Licensed Representative 1, 4

WANG Will Way BLH658 Licensed Representative 1, 4

WANG Xuan BKT409 Licensed Representative 1, 6

WANG Yi BKX008 Licensed Representative 4, 9

WANG Yiqiu BKH331 Licensed Representative 1, 6

WANG Yiwei BLB121 Licensed Representative 1, 4, 9

WANG Youyu BLC448 Licensed Representative 1, 4, 6

WANG Yuen Sum Ada BLF644 Licensed Representative 1, 2

WANG Yuzhe BLB507 Licensed Representative 4

WEI YIJING BLC321 Licensed Representative 4

WEI Yumou BLJ441 Licensed Representative 9

WEI Yun BKZ835 Licensed Representative 1

WEN Quan BKS173 Licensed Representative 4, 9

WONG Chin Wai Raymond BLE917 Licensed Representative 1

Page 10 of 27

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

WONG Choi Chak AKT433 Licensed Representative 1

WONG Chun Hei BLG341 Licensed Representative 1

WONG Chung Kwan AOD823 Licensed Representative 1

WONG Hok Piu AQD094 Licensed Representative 4, 9

WONG Hon Tin BLB504 Licensed Representative 1, 2

WONG Ka Ho BLF594 Licensed Representative 1

WONG Ka Yu BLC844 Licensed Representative 10

WONG Kai Yuen, Clement BLF209 Licensed Representative 6

WONG Kwan Leung BLG367 Licensed Representative 9

WONG Kwok Kei BLG362 Licensed Representative 1, 4

WONG Kwok Keung BLA451 Licensed Representative 1

WONG Lai Kan BLG344 Licensed Representative 1, 4

WONG Lai Sum BCN837 Licensed Representative 9

WONG Ming Li BLB632 Licensed Representative 4, 9

WONG Po Ching AUD880 Licensed Representative 1

WONG Sui Ching BLI455 Licensed Representative 1, 4

WONG Sz Wun BLH222 Licensed Representative 1

WONG Wai Yin ALZ710 Licensed Representative 9

WONG Wing Keung ATL879 Licensed Representative 1

WONG Yiu Ming, Simon BJC392 Licensed Representative 1, 6

WOO Ka Lai, Kelly AFB315 Licensed Representative 9

WOODCOCK Charles Maxwell Howieson AYD171 Licensed Representative 9

WU Hua-Chang BLI964 Licensed Representative 1, 4, 9

WU Jingjing BKU663 Licensed Representative 1, 4, 6

WU Liangying BLI001 Licensed Representative 2, 5

WU Sidao BLI073 Licensed Representative 1

WU Siyu BLB631 Licensed Representative 1, 6

WU Wai Ho BLH213 Licensed Representative 1, 2

WU William Chen-Xi BKW322 Licensed Representative 1, 4

WU Yawen BLD319 Licensed Representative 1, 6

WU Yuesi BLD922 Licensed Representative 1, 2

WU Yuning BKU057 Licensed Representative 1, 2

XIA Xiaodong BLA385 Licensed Representative 1, 4

XIAO Lu BKZ055 Licensed Representative 1

XIE Jian BGU456 Licensed Representative 1, 2, 4, 6, 9

XIE Ting BLF221 Licensed Representative 2

XIE Xianming BKH367 Licensed Representative 1, 6

XIE Yi BKZ932 Licensed Representative 1, 6

XU Qing BLI950 Licensed Representative 1, 6

XU Wan Wan BLC901 Licensed Representative 1, 4

XU Yifei BKZ936 Licensed Representative 1, 6

XU Yuzhao BKW515 Licensed Representative 1, 4, 6

Page 11 of 27

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

XU Zhengguang BLB008 Licensed Representative 4, 9

XUE Jiao BJP974 Licensed Representative 4

YAN Yan BLJ524 Licensed Representative 1

YANG Chia Ying BLG368 Licensed Representative 1

YANG Jae Hoon BLB163 Licensed Representative 1, 2

YANG Jeonghoon BLJ187 Licensed Representative 4

YANG Shiyu BDL544 Licensed Representative 1, 4

YANG Susu BLI005 Licensed Representative 6

YANG Yang BLB385 Licensed Representative 1

YAO Yuanchao BKF432 Licensed Representative 1, 4

YAU Chun Hei BLF190 Licensed Representative 1, 4, 9

YE Qingwen BLD559 Licensed Representative 1, 4, 9

YEUNG Ho Chun BAR653 Licensed Representative 9

YEUNG Ka Man BLC368 Licensed Representative 1

YIN Hang BKX400 Licensed Representative 1, 6

YIN PEI BLC078 Licensed Representative 1, 4

YIP Shui Key ACS410 Licensed Representative 2, 5

YIU Pui Yee ACY334 Licensed Representative 1

YOU Wensi BLD314 Licensed Representative 1, 7

YU Boyang BLE425 Licensed Representative 1, 4, 6

YU Man Ho BLF892 Licensed Representative 6

YU Qian BLB398 Licensed Representative 4

YU STEINER Lingzhu AZK192 Licensed Representative 1, 2, 4

YU Xi BLF174 Licensed Representative 1

YU Xiaoxia BLH691 Licensed Representative 1, 4, 9

YUE Zhihao BGG949 Licensed Representative 1, 6

YUEN Ka Fung BLK135 Licensed Representative 1, 4

YUEN Mau Sang BLG348 Licensed Representative 1

YUNG Hung Wa ACQ237 Licensed Representative 1, 4

YUNG Ming Hong BLH229 Licensed Representative 1

ZHANG HANG BKY342 Licensed Representative 10

ZHANG HAO BKR853 Licensed Representative 1, 4

ZHANG Honghong BKF469 Licensed Representative 1, 6

ZHANG Linlin BLD576 Licensed Representative 1

ZHANG Ruiming BLG388 Licensed Representative 6

ZHANG Shengsu AZI961 Licensed Representative 4, 9

ZHANG Shuo BKX402 Licensed Representative 1, 6

ZHANG Tong BLG089 Licensed Representative 1, 2

ZHANG Yanni BLE444 Licensed Representative 1, 4, 9

ZHANG Yi BLH577 Licensed Representative 6

ZHANG Yici BKX433 Licensed Representative 2, 5

ZHANG Yiyun BLI903 Licensed Representative 4, 9

Page 12 of 27

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

ZHANG Zheng BLA617 Licensed Representative 1, 4, 9

ZHAO BaoHeng BLA405 Licensed Representative 1, 2

ZHAO Junao BLF624 Licensed Representative 1, 4, 6

ZHAO Ruiwen BLD341 Licensed Representative 1

ZHENG Emily Jiashin BLG385 Licensed Representative 6

ZHENG Kai BLI960 Licensed Representative 1, 4, 6

ZHENG TIANYI BLE950 Licensed Representative 1, 7

ZHENG Yuanyuan BLB635 Licensed Representative 1, 2

ZHONG Liang BCK493 Licensed Representative 10

ZHONG Ying BLB650 Licensed Representative 1, 2

ZHOU Bei ASZ105 Licensed Representative 1, 4, 9

ZHOU Geng BKZ925 Licensed Representative 4, 9

ZHOU Guanyu BKV927 Licensed Representative 1, 6

ZHOU Runnan BKX021 Licensed Representative 4, 9

ZHOU Yirun BLE930 Licensed Representative 9

ZHU Jiayi BLC455 Licensed Representative 1, 2, 3

ZHU Yuan BIT556 Licensed Representative 9

ZHU Yuxiu BLF263 Licensed Representative 1

ZOOK Jeremy Leaman BKZ118 Licensed Representative 10

BOTLO Michael BGY996 Licensed Representative - Responsible Officer 9

CHANG Jack P AKR038 Licensed Representative - Responsible Officer 4, 5, 9

CHEN Edward Shi ADR552 Licensed Representative - Responsible Officer 9

CHEN Peng BJG349 Licensed Representative - Responsible Officer 1

CHEN Xiaofang ARG412 Licensed Representative - Responsible Officer 1

CHU Wen-Hsien AOY184 Licensed Representative - Responsible Officer 9

COUCH Gordon BFD480 Licensed Representative - Responsible Officer 9

COYAULT Frederik Jean Lucien BIZ603 Licensed Representative - Responsible Officer 1, 4

DENG Xiaoli ASP700 Licensed Representative - Responsible Officer 9

DING Huakun BJT908 Licensed Representative - Responsible Officer 4, 9

FONKENELL Guillaume Henri Andre AVJ702 Licensed Representative - Responsible Officer 9

FUNADA Masahiro BKC290 Licensed Representative - Responsible Officer 3

GUO Lei BJT965 Licensed Representative - Responsible Officer 9

HARPER Anthony Joseph BAQ704 Licensed Representative - Responsible Officer 9

HOPKINS Paul Stephen BJB374 Licensed Representative - Responsible Officer 9

HUI Chiu Kwan ABN641 Licensed Representative - Responsible Officer 1

JEN Chun-Hsing BHD721 Licensed Representative - Responsible Officer 2, 5

KHOO Geok Choo Celestine BJU937 Licensed Representative - Responsible Officer 4

KOUBINI Mohamed BJY142 Licensed Representative - Responsible Officer 1, 4

LAM Shui Chuen AAH552 Licensed Representative - Responsible Officer 2, 5

LAU Ming Yeung, Lambert AGP157 Licensed Representative - Responsible Officer 1, 2

LEE Wah Kin AAI124 Licensed Representative - Responsible Officer 2

LI Yuk Keung, Brian AEC983 Licensed Representative - Responsible Officer 1

Page 13 of 27

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

LIU Luk Por, Desmond AAE569 Licensed Representative - Responsible Officer 1, 4, 9

LIU Yuen Shan ADC177 Licensed Representative - Responsible Officer 1, 9

LIU Zishu BJT906 Licensed Representative - Responsible Officer 4, 9

LUO Meng BJT449 Licensed Representative - Responsible Officer 9

MA Yue ALB800 Licensed Representative - Responsible Officer 4, 9

MACFARLANE Henry William BJV940 Licensed Representative - Responsible Officer 4, 9

MAK Wai Chun Anthony BCB788 Licensed Representative - Responsible Officer 1

MIZUTANI Tatsumi ACL455 Licensed Representative - Responsible Officer 1, 4, 6

OKAMOTO Keiji BIM685 Licensed Representative - Responsible Officer 1, 2

SHANG Jing AYF871 Licensed Representative - Responsible Officer 1

SHEN Ka Yip, Timothy ADZ410 Licensed Representative - Responsible Officer 1, 4, 9

SIEW Wai Yin Yvonne BKE833 Licensed Representative - Responsible Officer 1, 4

SIN Pun To ACI993 Licensed Representative - Responsible Officer 1, 2, 3, 4, 9

SOO Sk Sean AFD468 Licensed Representative - Responsible Officer 1, 4, 9

TAYLOR Andrew Jonathan Mark BJU122 Licensed Representative - Responsible Officer 1, 4, 9

TSAI Wan-Yu ALH788 Licensed Representative - Responsible Officer 9

TSENG Heng Wen BJT421 Licensed Representative - Responsible Officer 1, 4, 9

TSUI Luen On AIB800 Licensed Representative - Responsible Officer 1

VENES Carolus Franciscus Arnoldus ANH724 Licensed Representative - Responsible Officer 1

WAI Chung BJR215 Licensed Representative - Responsible Officer 4, 9

WANG Hui BJU212 Licensed Representative - Responsible Officer 1, 4

WANG Xinbo BHT653 Licensed Representative - Responsible Officer 1, 4

WANG Yuanhang BJT948 Licensed Representative - Responsible Officer 9

YANG Bin BKA584 Licensed Representative - Responsible Officer 1, 4, 9

YANG Xing Jie BJZ537 Licensed Representative - Responsible Officer 9

YE Song BJT450 Licensed Representative - Responsible Officer 1, 4

YU Alice ABM853 Licensed Representative - Responsible Officer 9

ZAKI Adam Anwar AJK665 Licensed Representative - Responsible Officer 1, 4, 7

ZHANG Diefeng BJZ532 Licensed Representative - Responsible Officer 9

ZHANG Mao BJZ526 Licensed Representative - Responsible Officer 9

AGGARWAL Srishti Pravin BLL297 Licensed Representative (Provisional Licence) 1

ALGHATAM Mohamed Thabet Rashed Jaber Rashed BLM022 Licensed Representative (Provisional Licence) 2, 5

ANDREWS Stephen John ATC362 Licensed Representative (Provisional Licence) 1, 4, 9

ARAI Naoki BLM026 Licensed Representative (Provisional Licence) 1

BAILEY Brandi Lyn BLL632 Licensed Representative (Provisional Licence) 1, 2, 7

BHATTEE Hashim BLL816 Licensed Representative (Provisional Licence) 1, 4, 9

BLOOM Nicholas Roy ART997 Licensed Representative (Provisional Licence) 9

BLUME Valerie Ingrid BLH182 Licensed Representative (Provisional Licence) 9

BOJAN Kimberley BLM910 Licensed Representative (Provisional Licence) 1, 7

BOSELLI John A BLJ662 Licensed Representative (Provisional Licence) 1, 4

BOWERS GEOFFREY SCOTT BLL043 Licensed Representative (Provisional Licence) 1, 4, 9

BURNS Duncan Andrew BLN670 Licensed Representative (Provisional Licence) 9

Page 14 of 27

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

CAO Jin BLK138 Licensed Representative (Provisional Licence) 1, 4, 9

CARMEN Michael Tyler BIW774 Licensed Representative (Provisional Licence) 1, 4

CARTER Damon BEO225 Licensed Representative (Provisional Licence) 1, 2

CHAN Cheuk Wai BLJ862 Licensed Representative (Provisional Licence) 1

CHAN Cheuk Yin BLI898 Licensed Representative (Provisional Licence) 1, 4

CHAN Chui Ping AKV332 Licensed Representative (Provisional Licence) 1, 2

CHAN Chun Yin BLL039 Licensed Representative (Provisional Licence) 1, 6

CHAN Ka Kiu BLN915 Licensed Representative (Provisional Licence) 9

CHAN Kai Chung ATN127 Licensed Representative (Provisional Licence) 1

CHAN Kwok Lung BEK821 Licensed Representative (Provisional Licence) 3

CHAN Lee Quan BLJ949 Licensed Representative (Provisional Licence) 1, 2

CHAN Man Kit BLN631 Licensed Representative (Provisional Licence) 1, 2

CHAN Sai Yuen BEM794 Licensed Representative (Provisional Licence) 9

CHAN Tai Ching Michael AXD994 Licensed Representative (Provisional Licence) 1

CHAN Ting Yan BLK726 Licensed Representative (Provisional Licence) 1, 2

CHAN Tsz Chun BLL176 Licensed Representative (Provisional Licence) 1, 4

CHAN Wai Hung AGS190 Licensed Representative (Provisional Licence) 1

CHAN Wai Sing AWJ805 Licensed Representative (Provisional Licence) 1, 2

CHAN Wing Ki BLN652 Licensed Representative (Provisional Licence) 1, 6

CHAN Wing Lim BLG083 Licensed Representative (Provisional Licence) 1

CHAU Siu Man BLO134 Licensed Representative (Provisional Licence) 5

CHAU Wai Yan BLI739 Licensed Representative (Provisional Licence) 1, 2

CHEN Alan Bing AEH768 Licensed Representative (Provisional Licence) 1

CHEN Hong-Wen AYU641 Licensed Representative (Provisional Licence) 9

CHEN Junfeng BLH604 Licensed Representative (Provisional Licence) 6

CHEN Junsheng BLL852 Licensed Representative (Provisional Licence) 4

CHEN Lufeier BLM083 Licensed Representative (Provisional Licence) 1, 4, 9

CHEN Sixiao BLQ491 Licensed Representative (Provisional Licence) 1, 4

CHEN Tingting BLK154 Licensed Representative (Provisional Licence) 4

CHEN Xin BLO515 Licensed Representative (Provisional Licence) 4

CHEN Yi Chin ATQ774 Licensed Representative (Provisional Licence) 1, 2, 4, 5

CHEN Yixiang BLN678 Licensed Representative (Provisional Licence) 4, 9

CHEN Yizhou BLK647 Licensed Representative (Provisional Licence) 1

CHEN Yu BLN446 Licensed Representative (Provisional Licence) 1, 2

CHEN Yuh Kuen BLN129 Licensed Representative (Provisional Licence) 1

CHEN Yuxi BHC860 Licensed Representative (Provisional Licence) 1, 6

CHEN Zhu BLO224 Licensed Representative (Provisional Licence) 4

CHENAUX Valentin Maxime BLK874 Licensed Representative (Provisional Licence) 1, 4, 9

CHENG Chak Yan BJA024 Licensed Representative (Provisional Licence) 1, 4

CHENG Chao BHL503 Licensed Representative (Provisional Licence) 9

CHENG Liulingzi BFS139 Licensed Representative (Provisional Licence) 1, 6

CHENG Nga Man Jacqueline BLM903 Licensed Representative (Provisional Licence) 1, 2, 9

Page 15 of 27

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

CHENG Xi BLL288 Licensed Representative (Provisional Licence) 10

CHENG Yaman BLO117 Licensed Representative (Provisional Licence) 4

CHEUNG Chun Chun Vivian BLL579 Licensed Representative (Provisional Licence) 1, 4

CHEUNG Chun Mei BLL105 Licensed Representative (Provisional Licence) 1, 2

CHEUNG Chung Eu, Cindy AJE681 Licensed Representative (Provisional Licence) 9

CHEUNG Hoi Kit Justin BLN926 Licensed Representative (Provisional Licence) 10

CHEUNG Pan Chuen BLO473 Licensed Representative (Provisional Licence) 9

CHEUNG Tsun Yuen Derek BLL295 Licensed Representative (Provisional Licence) 1, 2

CHICK Ho Ming Jackie BLK820 Licensed Representative (Provisional Licence) 4

CHIK Pui Cheong, Upton AEF322 Licensed Representative (Provisional Licence) 1, 2

CHING Tak Chiu Stephen BLN917 Licensed Representative (Provisional Licence) 1, 4, 6

CHO Seok Won BLI866 Licensed Representative (Provisional Licence) 1

CHOI Ka Fong BLO497 Licensed Representative (Provisional Licence) 9

CHOI Siu Tong Edward BLL583 Licensed Representative (Provisional Licence) 1, 4, 9

CHONG Ka Shing BLO845 Licensed Representative (Provisional Licence) 1, 2

CHONG Yeu Liong BLN750 Licensed Representative (Provisional Licence) 1

CHOW Chun Yu Leeds BLL841 Licensed Representative (Provisional Licence) 1, 6

CHOW Hoi Shan AXG849 Licensed Representative (Provisional Licence) 1, 6

CHOW Lai Kit AOU722 Licensed Representative (Provisional Licence) 1, 4, 9

CHU Hilary Hiu Lam BLM888 Licensed Representative (Provisional Licence) 1

CHUE Kit Min BLL521 Licensed Representative (Provisional Licence) 1, 4, 9

CHUNG Jia Hsung BLJ657 Licensed Representative (Provisional Licence) 1, 4

COULIBALY Sylvestre Pankaluo BLJ224 Licensed Representative (Provisional Licence) 1, 2

DAI Fa BLK137 Licensed Representative (Provisional Licence) 1, 4, 9

DI Yun BLL511 Licensed Representative (Provisional Licence) 1, 4

DON Bryce Francis BLL145 Licensed Representative (Provisional Licence) 1, 4

DU Jiang Yue BLL181 Licensed Representative (Provisional Licence) 1, 2

DUAN Mengmeng BLH605 Licensed Representative (Provisional Licence) 1, 4

DUAN Shu BLO810 Licensed Representative (Provisional Licence) 1, 4, 6

DUNN Alexandra Jade BLM006 Licensed Representative (Provisional Licence) 1

DURNAN Timothy J BLO184 Licensed Representative (Provisional Licence) 9

ELLIOTT David Jonathan BIK518 Licensed Representative (Provisional Licence) 1, 4

ERSOY Alan Metin AOY949 Licensed Representative (Provisional Licence) 1, 2

ESHLEMAN LUCAS LYNDON BLM741 Licensed Representative (Provisional Licence) 9

FAN Chin Lin BLL332 Licensed Representative (Provisional Licence) 1, 4, 9

FAN Ping Lun, Alan BJK467 Licensed Representative (Provisional Licence) 1, 2, 4

FENG Lixue BLL054 Licensed Representative (Provisional Licence) 1, 6

FONG Shun Chuen ALY308 Licensed Representative (Provisional Licence) 1

FUN Yandeng BLK416 Licensed Representative (Provisional Licence) 1, 4

FUNG Hei Wa BLN442 Licensed Representative (Provisional Licence) 1

FUNG Po Ying BLO106 Licensed Representative (Provisional Licence) 1

GAN Sabrina Tsui Lyn BLK147 Licensed Representative (Provisional Licence) 1

Page 16 of 27

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

GE Chengyuan BKW493 Licensed Representative (Provisional Licence) 6

GIAN Jia Ying ASS704 Licensed Representative (Provisional Licence) 1, 2

GILL Harvinder Preet Singh BLL847 Licensed Representative (Provisional Licence) 4, 9

GOH Diwen BLM062 Licensed Representative (Provisional Licence) 1, 4, 6

GONG Jian BLN114 Licensed Representative (Provisional Licence) 1, 4

GU Lei BLF077 Licensed Representative (Provisional Licence) 1, 2

GU Leili BLH992 Licensed Representative (Provisional Licence) 1

GU Mengjie BLO442 Licensed Representative (Provisional Licence) 1, 6

GU Yaobo BLN626 Licensed Representative (Provisional Licence) 1, 2

GUO Xiangyun BLL341 Licensed Representative (Provisional Licence) 10

HAMADA Kenji BLL357 Licensed Representative (Provisional Licence) 4, 9

HAN Jinsoo BLM021 Licensed Representative (Provisional Licence) 1, 6

HAN Lingxiao BLL163 Licensed Representative (Provisional Licence) 1, 6

HANDA Akashdeep Singh BLO390 Licensed Representative (Provisional Licence) 9

HAU Pai Lan BLO679 Licensed Representative (Provisional Licence) 1

HAY William Robert BLL483 Licensed Representative (Provisional Licence) 1, 2, 7

HAYASHIDA Kazutora BLJ196 Licensed Representative (Provisional Licence) 9

HE Li AUL729 Licensed Representative (Provisional Licence) 1

HE Rui BLK736 Licensed Representative (Provisional Licence) 1, 4

HO Ching BLM898 Licensed Representative (Provisional Licence) 1

HO Ka Wing BLO676 Licensed Representative (Provisional Licence) 1

HO Kwun Kui Clarence BDR779 Licensed Representative (Provisional Licence) 4, 9

HO Man Kap BLJ192 Licensed Representative (Provisional Licence) 1

HO MEI PO BLO144 Licensed Representative (Provisional Licence) 1, 4, 6

HO Tsz Ching BLN448 Licensed Representative (Provisional Licence) 1, 2

HO Yuen Yi BLM881 Licensed Representative (Provisional Licence) 1

HONG Sue Min BLO378 Licensed Representative (Provisional Licence) 1, 2

HOU LIWEI BLP081 Licensed Representative (Provisional Licence) 1, 4

HOWIE Jonathan Adrian AVJ430 Licensed Representative (Provisional Licence) 1, 4, 9

HU Haijian BLH370 Licensed Representative (Provisional Licence) 2

HU Juewei BLM907 Licensed Representative (Provisional Licence) 1, 4

HU Lili BLL279 Licensed Representative (Provisional Licence) 1, 2

HU Zewei BLF173 Licensed Representative (Provisional Licence) 1

HUANG Chin Lun BLO104 Licensed Representative (Provisional Licence) 1, 4

HUANG Jiadeng BLK385 Licensed Representative (Provisional Licence) 6

HUANG Kanglin BGL116 Licensed Representative (Provisional Licence) 1, 2

HUANG Minshi BLJ823 Licensed Representative (Provisional Licence) 4, 9

HUANG Wei BLL815 Licensed Representative (Provisional Licence) 1, 2, 4

HUANG Yiran BLI894 Licensed Representative (Provisional Licence) 1, 4

HUANG Yu ATI173 Licensed Representative (Provisional Licence) 1, 4

HUI Chi Wai BLK722 Licensed Representative (Provisional Licence) 1, 2

HUI Ka Chang BLJ161 Licensed Representative (Provisional Licence) 1, 6

Page 17 of 27

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

HUNG Tsun Hay BGU300 Licensed Representative (Provisional Licence) 1, 4

HWANG YOO WON BLM113 Licensed Representative (Provisional Licence) 1, 2

IP Vincent Shing-Ki BLK217 Licensed Representative (Provisional Licence) 1, 9

IYER Sachin Ramnath BLJ177 Licensed Representative (Provisional Licence) 1, 6

JI Yehong ALU479 Licensed Representative (Provisional Licence) 1, 6

JIANG Lingling BLL183 Licensed Representative (Provisional Licence) 1, 2

JIANG Yuanzhen BLO468 Licensed Representative (Provisional Licence) 1, 6

JIANG Zhi BLN900 Licensed Representative (Provisional Licence) 1, 4, 9

JIN Dandan BCF263 Licensed Representative (Provisional Licence) 4, 9

JING Xiaoxu BLM886 Licensed Representative (Provisional Licence) 1, 2, 4

KAN Yu Hang BLK683 Licensed Representative (Provisional Licence) 1, 2, 7

KEI Jeremy Luke Ming BLJ651 Licensed Representative (Provisional Licence) 1

KENNEDY Peter Joseph BLK164 Licensed Representative (Provisional Licence) 1

KETTERER Edward ADE566 Licensed Representative (Provisional Licence) 1, 4

KIM Dennis Hong BGO947 Licensed Representative (Provisional Licence) 1, 4

KIM KENNETH BLL533 Licensed Representative (Provisional Licence) 9

KIYOZUKA Megumi BLK150 Licensed Representative (Provisional Licence) 1

KONG Yan BLI478 Licensed Representative (Provisional Licence) 1, 4, 9

KWAN Cheuk Shing AUE415 Licensed Representative (Provisional Licence) 4

KWON Jongmin BLJ195 Licensed Representative (Provisional Licence) 1, 4

LAI Chung Hang, Angel BLL333 Licensed Representative (Provisional Licence) 1, 6

LAI Ophelia BLI863 Licensed Representative (Provisional Licence) 9

LAI Tak Chi, Augustine BLI147 Licensed Representative (Provisional Licence) 1, 4, 9

LAM Ka Wing BLI061 Licensed Representative (Provisional Licence) 1, 4

LAM Ming Cheung Tavis BLL173 Licensed Representative (Provisional Licence) 1, 2

LAM Pui Yan BLK914 Licensed Representative (Provisional Licence) 1

LAM Shun Ka BJW925 Licensed Representative (Provisional Licence) 1

LAM Wai Shun BLM861 Licensed Representative (Provisional Licence) 1, 2

LAM Yun Ching BLN673 Licensed Representative (Provisional Licence) 1, 4, 9

LAN Dong AQF151 Licensed Representative (Provisional Licence) 1, 6

LAO Qiyao BLO509 Licensed Representative (Provisional Licence) 1

LAO Yee Wun BLL813 Licensed Representative (Provisional Licence) 1, 2

LAU Jing Yeung, William ANV150 Licensed Representative (Provisional Licence) 1, 4, 9

LAU Kai Kit BLN426 Licensed Representative (Provisional Licence) 10

LAU Kit Sang AMK231 Licensed Representative (Provisional Licence) 1, 2

LAU Raymond AJK499 Licensed Representative (Provisional Licence) 9

LAU Sabrina Yin Kwan BLN468 Licensed Representative (Provisional Licence) 4

LAW Ka Kit BLL373 Licensed Representative (Provisional Licence) 1, 9

LEE Chun Ho Bennett BLO462 Licensed Representative (Provisional Licence) 1, 4, 6

LEE Chun Wing BLM027 Licensed Representative (Provisional Licence) 6

LEE Ji Seon BKK022 Licensed Representative (Provisional Licence) 1, 4

LEE Kin Man BLK431 Licensed Representative (Provisional Licence) 1, 2

Page 18 of 27

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

LEE Kin Pong BLL504 Licensed Representative (Provisional Licence) 1

LEE Kwun Ho BLO670 Licensed Representative (Provisional Licence) 1, 2

LEE Leung Ting Letin BLK920 Licensed Representative (Provisional Licence) 1

LEGLAND Arnaud Pierre Daniel BLH839 Licensed Representative (Provisional Licence) 9

LEUNG Hang Kin ASS967 Licensed Representative (Provisional Licence) 4

LEUNG Hoi Wan, Loletta AFA629 Licensed Representative (Provisional Licence) 1, 2

LEUNG LOK SUM SAM BLL826 Licensed Representative (Provisional Licence) 1

LEUNG Siu Kwan BLI874 Licensed Representative (Provisional Licence) 1, 2, 7

LEUNG Tin Yau Stephen BLI899 Licensed Representative (Provisional Licence) 1, 6

LEUNG Wing Yan, Winnie BLH441 Licensed Representative (Provisional Licence) 1

LEUNG Yeuk Hei BLJ508 Licensed Representative (Provisional Licence) 6

LI Chengru BLN914 Licensed Representative (Provisional Licence) 4

LI Ho Fai, Vincent ANW827 Licensed Representative (Provisional Licence) 1, 4

LI Jiaqi BLK139 Licensed Representative (Provisional Licence) 1, 6

LI Kiu Yue BLM118 Licensed Representative (Provisional Licence) 2

LI Kun Yuen BLO674 Licensed Representative (Provisional Licence) 4

LI Lei BLL868 Licensed Representative (Provisional Licence) 1, 2

LI Qingyi BJY216 Licensed Representative (Provisional Licence) 1

LI Quanwei AXP766 Licensed Representative (Provisional Licence) 1, 4, 9

LI Xiang BLM865 Licensed Representative (Provisional Licence) 1, 9

LI Xiaohan BLI045 Licensed Representative (Provisional Licence) 1, 2

LI Xuran BLO826 Licensed Representative (Provisional Licence) 1, 6

LI Yisui BLK608 Licensed Representative (Provisional Licence) 1

LI Yiwei BLK915 Licensed Representative (Provisional Licence) 10

LI Yong AXM324 Licensed Representative (Provisional Licence) 1, 4, 9

LI Yunchang BLF179 Licensed Representative (Provisional Licence) 9

LI Zhangyun BLM932 Licensed Representative (Provisional Licence) 4

LI Zhun AQM198 Licensed Representative (Provisional Licence) 4, 9

LIANG Dongqing BLL298 Licensed Representative (Provisional Licence) 1, 2

LIANG Jinming BLK923 Licensed Representative (Provisional Licence) 1, 4, 6

LIANG XIAO BLL623 Licensed Representative (Provisional Licence) 1, 4, 6

LIAO Lanke BLK484 Licensed Representative (Provisional Licence) 1, 6

LIE Suet Ching ALZ559 Licensed Representative (Provisional Licence) 1, 4, 9

LIM Choot ACV298 Licensed Representative (Provisional Licence) 9

LIM Hock Leong Rapheal Ames BKW509 Licensed Representative (Provisional Licence) 2

LIN Beichen BLJ222 Licensed Representative (Provisional Licence) 4

LIN Haiping BLJ565 Licensed Representative (Provisional Licence) 1, 4, 6

LIN Xingqiu BLM040 Licensed Representative (Provisional Licence) 4

LINDQUIST Justin Myles BJA817 Licensed Representative (Provisional Licence) 1

LIU Ching-chih BLN454 Licensed Representative (Provisional Licence) 1, 4, 9

LIU Kai Kai BLL853 Licensed Representative (Provisional Licence) 1

LIU Kei Kit BLP543 Licensed Representative (Provisional Licence) 6

Page 19 of 27

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

LIU Pok Man BLL172 Licensed Representative (Provisional Licence) 1

LIU Qianyue BLI683 Licensed Representative (Provisional Licence) 1, 2

LIU Qiao BLO687 Licensed Representative (Provisional Licence) 4

LIU Shiyan BLK641 Licensed Representative (Provisional Licence) 4

LIU Shuanglong BLM093 Licensed Representative (Provisional Licence) 1, 6

LIU Zhao BLI522 Licensed Representative (Provisional Licence) 9

LO Hei Tung BLM103 Licensed Representative (Provisional Licence) 1, 6

LO King Ting BKE490 Licensed Representative (Provisional Licence) 1

LO Yan Mei BAZ735 Licensed Representative (Provisional Licence) 1, 6

LO Yu Jie BLF222 Licensed Representative (Provisional Licence) 1, 4

LUI Ho Ting BLK723 Licensed Representative (Provisional Licence) 1

LUO Kaiheng BLN135 Licensed Representative (Provisional Licence) 1, 6

LUO Man BLL571 Licensed Representative (Provisional Licence) 1, 4

MA XIAO BLE949 Licensed Representative (Provisional Licence) 10

MALOUF Michelle Maria BLH578 Licensed Representative (Provisional Licence) 1

MAN Sin Kwan BLO186 Licensed Representative (Provisional Licence) 1, 2

MARTIN Joseph John AJE474 Licensed Representative (Provisional Licence) 1

MCELROY Michael Patrick BIK519 Licensed Representative (Provisional Licence) 1, 4

MINESHIMA KOTA BLO098 Licensed Representative (Provisional Licence) 1, 4

MITCHELL Georgina Lucy BLN455 Licensed Representative (Provisional Licence) 1, 4

MULYANI Linda BLN110 Licensed Representative (Provisional Licence) 1, 4

NANAVATI Amit Piyush BLE751 Licensed Representative (Provisional Licence) 4

NEO Shu Jean BLH786 Licensed Representative (Provisional Licence) 1

NEOH Paul Keen Wooi BLN430 Licensed Representative (Provisional Licence) 4, 9

NG Kwan Ying BBM325 Licensed Representative (Provisional Licence) 1

NG Ping Kin BLL568 Licensed Representative (Provisional Licence) 1, 2

NG Yuet Fung BLJ225 Licensed Representative (Provisional Licence) 1, 2

NGACK Pape Modou BLO790 Licensed Representative (Provisional Licence) 1, 2

NGO Ian AXX652 Licensed Representative (Provisional Licence) 1, 4

NING Le BLL567 Licensed Representative (Provisional Licence) 6

NONAKA Ruri BLK704 Licensed Representative (Provisional Licence) 1, 4, 6

OU Ofra Sueh Hung AME527 Licensed Representative (Provisional Licence) 1, 4, 9

PADMASOLA Srinivas ALY619 Licensed Representative (Provisional Licence) 1

PAN Lichia BLM891 Licensed Representative (Provisional Licence) 1, 2, 4, 5

PAN Wenang BLL356 Licensed Representative (Provisional Licence) 1, 9

PAN Yinzhou BLH245 Licensed Representative (Provisional Licence) 1, 6

PANG Lei BLO806 Licensed Representative (Provisional Licence) 1, 4, 5, 9

PANG Yui Chuk BLI864 Licensed Representative (Provisional Licence) 9

PARK Se Hyun AUR862 Licensed Representative (Provisional Licence) 10

PARK Sei Yon BLM852 Licensed Representative (Provisional Licence) 1, 4

PATRAVALI ASHWIN BLL838 Licensed Representative (Provisional Licence) 4, 9

PECK Julian Michael Henry BJR227 Licensed Representative (Provisional Licence) 1, 6

Page 20 of 27

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

PETIT-PASQUIER Julien ANN270 Licensed Representative (Provisional Licence) 1, 2

POH Jiesheng BLM101 Licensed Representative (Provisional Licence) 1, 4, 6

POON Wai Yu BLI518 Licensed Representative (Provisional Licence) 1, 4, 9

QI Chengyu BLL147 Licensed Representative (Provisional Licence) 4, 9

QIAN Linjing BLN937 Licensed Representative (Provisional Licence) 6

QIN Haoxiang BLL487 Licensed Representative (Provisional Licence) 1

QIN Xuanyu BLD350 Licensed Representative (Provisional Licence) 6

RAJAONARIVONY Maeva BIG468 Licensed Representative (Provisional Licence) 1, 4

SANWAL Vasundhara BLJ461 Licensed Representative (Provisional Licence) 1, 4

SETHI Shaun Nittal ANM069 Licensed Representative (Provisional Licence) 9

SHAN Yiting BLK210 Licensed Representative (Provisional Licence) 6

SHEK Wan Sang Andy BAG221 Licensed Representative (Provisional Licence) 1, 2, 4

SHI Yaying BLO847 Licensed Representative (Provisional Licence) 9

SHOU Chen BLK919 Licensed Representative (Provisional Licence) 1, 2, 4

SIA Ke Yong Jared BKI365 Licensed Representative (Provisional Licence) 1, 2

SINPRASEUTH Christopher AQU096 Licensed Representative (Provisional Licence) 9

SIT Cheng Po BAX113 Licensed Representative (Provisional Licence) 1, 2, 4

SIU Chun San BLN935 Licensed Representative (Provisional Licence) 4

SO Chun Wing BLL622 Licensed Representative (Provisional Licence) 1, 2

SOBTI Jasjit Singh BCU294 Licensed Representative (Provisional Licence) 1, 2, 7

SOLOMON Alexandra Kumin BLL080 Licensed Representative (Provisional Licence) 1, 2

SU Alice Jia ATO816 Licensed Representative (Provisional Licence) 1, 4, 6

SUN Xi BLL307 Licensed Representative (Provisional Licence) 1, 6

SUN Zhe BLO827 Licensed Representative (Provisional Licence) 4

SVENSSON Moa Terese BLK144 Licensed Representative (Provisional Licence) 9

TAI Gee Han Andy BLL347 Licensed Representative (Provisional Licence) 1, 6

TAM Chun Cheong BGQ071 Licensed Representative (Provisional Licence) 2, 5

TAM Edmond Ming Kwan ACB553 Licensed Representative (Provisional Licence) 9

TAM Lik Fu BLI883 Licensed Representative (Provisional Licence) 1

TAM Nai Hon Johnny BLN646 Licensed Representative (Provisional Licence) 9

TANG Hao BLM121 Licensed Representative (Provisional Licence) 1, 4, 6

TANG Hui BJW834 Licensed Representative (Provisional Licence) 1, 4

TANG Ko Lok BLL175 Licensed Representative (Provisional Licence) 2

TANG Sisi BLN457 Licensed Representative (Provisional Licence) 4

TANG Wai Lun BLJ139 Licensed Representative (Provisional Licence) 1, 4

TANG Xinpei BLN463 Licensed Representative (Provisional Licence) 4

TEO Pau Ying BLI958 Licensed Representative (Provisional Licence) 1, 4, 6

THAM Huan Ling BLK858 Licensed Representative (Provisional Licence) 9

THOMAS Marie Clare BLI867 Licensed Representative (Provisional Licence) 1, 2

TO Sam Hung APJ479 Licensed Representative (Provisional Licence) 1

TOMIMATSU Yosuke BBB708 Licensed Representative (Provisional Licence) 4

TRAN Mark BLK502 Licensed Representative (Provisional Licence) 9

Page 21 of 27

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

TSANG Kwok Wai, Gordon BLI479 Licensed Representative (Provisional Licence) 1

TSE Ching, Heidy AZO179 Licensed Representative (Provisional Licence) 1, 4

TSE Tsz Kwan BJO498 Licensed Representative (Provisional Licence) 1, 6

TUDOR Harshika Chandrakant BLG304 Licensed Representative (Provisional Licence) 2, 5

VALLY Loic Patrick Frederic BLI480 Licensed Representative (Provisional Licence) 1

VANDENBRUGGEN Audric BLL296 Licensed Representative (Provisional Licence) 1, 2

VERSFELD Martin Metcalfe BLD610 Licensed Representative (Provisional Licence) 1, 2

VUJASINOVIC Vlada BLN677 Licensed Representative (Provisional Licence) 1, 4, 9

WAI Man Chik BAN002 Licensed Representative (Provisional Licence) 1, 4

WANG Bei BLK413 Licensed Representative (Provisional Licence) 1

WANG Beichen BLP422 Licensed Representative (Provisional Licence) 1, 2

WANG Dan BLO228 Licensed Representative (Provisional Licence) 4, 9

WANG Hao BLH590 Licensed Representative (Provisional Licence) 6

WANG Hui BLN172 Licensed Representative (Provisional Licence) 2

WANG Jiahuan BLK367 Licensed Representative (Provisional Licence) 1, 4, 9

WANG Kang BLM893 Licensed Representative (Provisional Licence) 1, 2

WANG Kenneth Chuan AHU775 Licensed Representative (Provisional Licence) 9

WANG Lin BIM406 Licensed Representative (Provisional Licence) 1, 4, 6

WANG Meng BLL284 Licensed Representative (Provisional Licence) 4

WANG Pei BLJ395 Licensed Representative (Provisional Licence) 1, 2

WANG Pufa BLJ592 Licensed Representative (Provisional Licence) 1, 2

WANG Shengyu BDV081 Licensed Representative (Provisional Licence) 9

WANG Shihong BLK735 Licensed Representative (Provisional Licence) 1, 4

WANG Stephen BLC369 Licensed Representative (Provisional Licence) 6

WANG Yicheng BLN140 Licensed Representative (Provisional Licence) 1

WANG Zizheng BLL351 Licensed Representative (Provisional Licence) 9

WEI Hong-Si BLN672 Licensed Representative (Provisional Licence) 4

WEI Yangkun BID176 Licensed Representative (Provisional Licence) 1, 4, 6

WENG Xin BLG112 Licensed Representative (Provisional Licence) 4, 9

WINSLEY David Benjamin AWS593 Licensed Representative (Provisional Licence) 9

WONG Chi Kin BLF303 Licensed Representative (Provisional Licence) 9

WONG Chun Tung BLJ190 Licensed Representative (Provisional Licence) 1, 2

WONG Emily Lok Man BLN151 Licensed Representative (Provisional Licence) 1, 6

WONG Hei Yin BLN902 Licensed Representative (Provisional Licence) 1, 2

WONG Hoi Yan APO633 Licensed Representative (Provisional Licence) 1, 4, 9

WONG Ka Ho BLK239 Licensed Representative (Provisional Licence) 1, 2

WONG Ka Wing BLP057 Licensed Representative (Provisional Licence) 1, 4, 9

WONG Lie Ping ABW904 Licensed Representative (Provisional Licence) 1

WONG Po Ching AUD880 Licensed Representative (Provisional Licence) 1

WONG Pui Shan Aggie BLN923 Licensed Representative (Provisional Licence) 1

WONG Yuen Wa Heidi Kate BLN676 Licensed Representative (Provisional Licence) 1

WOO Chun Hey, Adrian ASP237 Licensed Representative (Provisional Licence) 1, 2

Page 22 of 27

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

WOO Hon Man, Herman AGN338 Licensed Representative (Provisional Licence) 1

WOO Kai Hon BLJ364 Licensed Representative (Provisional Licence) 3

WU TONG BLI953 Licensed Representative (Provisional Licence) 6

XIAO Jian ATV900 Licensed Representative (Provisional Licence) 4, 9

XIE Wenqiao BLN402 Licensed Representative (Provisional Licence) 1, 4, 6

XIE Yuhong BLR085 Licensed Representative (Provisional Licence) 1

XIE Zheshi BLJ203 Licensed Representative (Provisional Licence) 1, 7

XIONG Qingxi BLM032 Licensed Representative (Provisional Licence) 4, 9

XU Chenxi BLO521 Licensed Representative (Provisional Licence) 4, 9

XU HUA BLF599 Licensed Representative (Provisional Licence) 1, 6

XU Qing BKT753 Licensed Representative (Provisional Licence) 10

XU Ruiyi BLM930 Licensed Representative (Provisional Licence) 1, 4

XU XI BLM056 Licensed Representative (Provisional Licence) 1, 2

XUE Qian BLP754 Licensed Representative (Provisional Licence) 1, 4

YAN Lyupeng BLK403 Licensed Representative (Provisional Licence) 1, 4, 9

YAN Wen BLH219 Licensed Representative (Provisional Licence) 10

YANG Yuansheng BLO220 Licensed Representative (Provisional Licence) 4

YANG Zequan BLO153 Licensed Representative (Provisional Licence) 1, 4

YE Mingyuan AMJ300 Licensed Representative (Provisional Licence) 1, 4

YE Qianyu BLL842 Licensed Representative (Provisional Licence) 1, 2

YEO Sze Yueh Beatrice BLG088 Licensed Representative (Provisional Licence) 1, 4

YIM Tsz Kwan BLN146 Licensed Representative (Provisional Licence) 1

YIN Bo AXT105 Licensed Representative (Provisional Licence) 1, 2

YIP Yan Ki Candy BFX699 Licensed Representative (Provisional Licence) 1, 4, 9

YU Chun Kuei ARP310 Licensed Representative (Provisional Licence) 1

YU Shuaihao BLK697 Licensed Representative (Provisional Licence) 1, 2, 4, 5

YU Yat BLL624 Licensed Representative (Provisional Licence) 1, 2

ZAHM Nathan Christopher BLD328 Licensed Representative (Provisional Licence) 1, 4

ZENG Shuai BEM599 Licensed Representative (Provisional Licence) 9

ZENG Zhujun ATQ773 Licensed Representative (Provisional Licence) 10

ZHAI Yinan BLK925 Licensed Representative (Provisional Licence) 1, 2, 6

ZHANG HUAN BLJ202 Licensed Representative (Provisional Licence) 10

ZHANG Jun BLJ926 Licensed Representative (Provisional Licence) 4, 9

ZHANG Shuo BLN911 Licensed Representative (Provisional Licence) 1

ZHANG Tianyu BLM854 Licensed Representative (Provisional Licence) 1, 4, 6

ZHANG Yiwen BLM908 Licensed Representative (Provisional Licence) 4

ZHAO He BLN655 Licensed Representative (Provisional Licence) 1, 4, 6

ZHAO Xiang BLN130 Licensed Representative (Provisional Licence) 4, 9

ZHAO Yang BLK372 Licensed Representative (Provisional Licence) 4, 9

ZHENG Jiantao BLK421 Licensed Representative (Provisional Licence) 3

ZHENG SHUANG BLN132 Licensed Representative (Provisional Licence) 4, 9

ZHONG Liang BCK493 Licensed Representative (Provisional Licence) 10

Page 23 of 27

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

ZHOU Huan BLL165 Licensed Representative (Provisional Licence) 1, 4, 6

ZHOU Xin BLO642 Licensed Representative (Provisional Licence) 1, 4, 9

ZHUANG Jie BKV931 Licensed Representative (Provisional Licence) 1, 6

ZOU Guanzhong BLN412 Licensed Representative (Provisional Licence) 4, 9

ZOU Longwen BLN436 Licensed Representative (Provisional Licence) 1, 6

ANAND Vivek BLL186 Licensed Representative (Temporary Licence) 5

ARORA Rohit ART681 Licensed Representative (Temporary Licence) 4

AZUMI Rina BKP917 Licensed Representative (Temporary Licence) 1, 2

BABA Taichi BAZ165 Licensed Representative (Temporary Licence) 1, 2

BACALHAU CEPEDA MORENO Vasco AUI287 Licensed Representative (Temporary Licence) 1, 4

BAKER Shaun Christopher BLL069 Licensed Representative (Temporary Licence) 1, 2

BARROWS Ross Christopher BFC529 Licensed Representative (Temporary Licence) 4

BARUS Felicia Asrinanda AUT955 Licensed Representative (Temporary Licence) 4

BECCHETTI James Patrick AWQ678 Licensed Representative (Temporary Licence) 1

BEDOUET Jerome Frederic Francois BIN300 Licensed Representative (Temporary Licence) 1, 2

BLACKSHAW Joanne Isabel BLP474 Licensed Representative (Temporary Licence) 1, 4

BROWNE Erin F BHB894 Licensed Representative (Temporary Licence) 1, 4

CARPENTER Seth Bernard BLO850 Licensed Representative (Temporary Licence) 4

CELERMAJER Jacob Michael BLL179 Licensed Representative (Temporary Licence) 1

CHADHA Dushyant BIE137 Licensed Representative (Temporary Licence) 1

CHANDREN Edi BIX619 Licensed Representative (Temporary Licence) 4

CHANG Sei Yoon BFI932 Licensed Representative (Temporary Licence) 1

CHARTRES Pierre BLI962 Licensed Representative (Temporary Licence) 1

CHEN Timothy C K BEC091 Licensed Representative (Temporary Licence) 4

CHOPRA Raashi BEE682 Licensed Representative (Temporary Licence) 4

CHOPRA Sameer BAU420 Licensed Representative (Temporary Licence) 1, 4

CHUNG Jeehyun BEX928 Licensed Representative (Temporary Licence) 1

CLAPPIER Alexis, Remy, Marie, Laurent BLL477 Licensed Representative (Temporary Licence) 1, 2

CORK Jenna Louise AVS375 Licensed Representative (Temporary Licence) 1

DADABHOY Jamshed Rustom BFK188 Licensed Representative (Temporary Licence) 4

DARMONO Permadawani BJH031 Licensed Representative (Temporary Licence) 4

DE BLONAY Guy Charles Desmond BBF372 Licensed Representative (Temporary Licence) 1

DE KONING Henrik Arie BJK856 Licensed Representative (Temporary Licence) 1

DELAHAYE Thibaut Vincent Pierre ACR439 Licensed Representative (Temporary Licence) 1

DENNIS Geoffrey Edwin James BGM299 Licensed Representative (Temporary Licence) 4

DUCOMBLE Franky BIN462 Licensed Representative (Temporary Licence) 1, 2

DUTTON Charles Keith Hawkins AEM367 Licensed Representative (Temporary Licence) 4

EARY Richard James AEK574 Licensed Representative (Temporary Licence) 4

EGUCHI Hiroyasu BBL849 Licensed Representative (Temporary Licence) 1, 4

EPSTEIN Ronald Jay BDJ465 Licensed Representative (Temporary Licence) 1, 4

FANG Chenjun BJQ180 Licensed Representative (Temporary Licence) 4

FEHM GEB. POMMER Uta BLN649 Licensed Representative (Temporary Licence) 1, 4

Page 24 of 27

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

FENG Kaiyun BKO099 Licensed Representative (Temporary Licence) 1

FOGARTY Brendan John BLL811 Licensed Representative (Temporary Licence) 1, 2

FORD Alexander William BIN326 Licensed Representative (Temporary Licence) 1, 2

FOSTER Derek Patrick Jack ARU732 Licensed Representative (Temporary Licence) 1, 2

GANDHI Veekesh Suresh BBA377 Licensed Representative (Temporary Licence) 1, 4

GILBERT Benjamin Joseph William AVB999 Licensed Representative (Temporary Licence) 4

GOLDSMITH Michael William BLM862 Licensed Representative (Temporary Licence) 4

GOYAL Surendra Kumar BEO301 Licensed Representative (Temporary Licence) 4

GOYAL Surendra Kumar BEO301 Licensed Representative (Temporary Licence) 4

GRETCH Eric D BLH894 Licensed Representative (Temporary Licence) 10

HADIWIDJOJO Pramadwiandika BEV992 Licensed Representative (Temporary Licence) 1, 4

HAMBRO Evy Piers George AOR313 Licensed Representative (Temporary Licence) 1, 4

HAN Jennifer Koun AMY266 Licensed Representative (Temporary Licence) 4

HARTONO David Arie BIX625 Licensed Representative (Temporary Licence) 4

HEELAN Benjamin Michael BIN836 Licensed Representative (Temporary Licence) 1, 4

HENDRIKSE Harald Christiaan BEV944 Licensed Representative (Temporary Licence) 1, 4

HENNESSY Kevin David BLN404 Licensed Representative (Temporary Licence) 1, 2

HERMAN Neal Thomson AVO978 Licensed Representative (Temporary Licence) 4

HOLLICK Jonathan Christopher BIM661 Licensed Representative (Temporary Licence) 1, 4

HONG Ying Hui AWT694 Licensed Representative (Temporary Licence) 2, 5

HOPE Rupert Dickie BHM098 Licensed Representative (Temporary Licence) 1, 4

HOWARD-JOHNSON Mark BCA030 Licensed Representative (Temporary Licence) 1, 4

HUTCHINSON Lorraine Corinne BGL062 Licensed Representative (Temporary Licence) 1, 4

IENO Eiji Alex AXB793 Licensed Representative (Temporary Licence) 1, 2

JADROSICH Rafe Jason BLG300 Licensed Representative (Temporary Licence) 1, 4

JAIN Vijit BLH859 Licensed Representative (Temporary Licence) 4

JANSEN Michael BEI461 Licensed Representative (Temporary Licence) 1, 2

JAVED Madiha BHL188 Licensed Representative (Temporary Licence) 1, 4

JONAS Adam Michael BGR023 Licensed Representative (Temporary Licence) 1, 4

KARIA Shamil BLJ719 Licensed Representative (Temporary Licence) 1

KAYNES David Charles BDA619 Licensed Representative (Temporary Licence) 4

KEDIA Sahil Sudhir AZW848 Licensed Representative (Temporary Licence) 1, 4

KIM Minkyu BEO107 Licensed Representative (Temporary Licence) 1

KIM Sanghoon BET098 Licensed Representative (Temporary Licence) 4

KRAMM Nils Alexander BDX207 Licensed Representative (Temporary Licence) 4

KUSHMA Michael Bernard BAJ311 Licensed Representative (Temporary Licence) 1

KWEK Kevin Siew Beng AZN097 Licensed Representative (Temporary Licence) 4

KYRTSIS Alexander BES318 Licensed Representative (Temporary Licence) 1

LAKE Fiona Maeve ART583 Licensed Representative (Temporary Licence) 4

LAM Kwok Chung Ivan BLL048 Licensed Representative (Temporary Licence) 1, 2

LANG Thiemo BLM120 Licensed Representative (Temporary Licence) 1, 4

LEE Tien Soon BJT065 Licensed Representative (Temporary Licence) 1, 4

Page 25 of 27

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

LIANI Tal Yehi BEL903 Licensed Representative (Temporary Licence) 1, 4

LIE Vivi Handoyo BEN583 Licensed Representative (Temporary Licence) 4

LIM Johan Yoeng Unn BBS389 Licensed Representative (Temporary Licence) 1

LIN Fang-Chu BEV959 Licensed Representative (Temporary Licence) 1

LJUBENOV Igor BLM019 Licensed Representative (Temporary Licence) 1, 2

LO Yin Ping BFG802 Licensed Representative (Temporary Licence) 10

MAAOUNI Walid BLL493 Licensed Representative (Temporary Licence) 1, 2

MARTIN Christopher Sloan BLO386 Licensed Representative (Temporary Licence) 1

MAZOY SANCHEZ Jose Manuel BIN599 Licensed Representative (Temporary Licence) 1

MIEDEMA Jeldert BLF654 Licensed Representative (Temporary Licence) 1

MIKKELSEN Hans Ole Aerendahl BDJ464 Licensed Representative (Temporary Licence) 1, 4

MINAGAWA Ryozo BFA665 Licensed Representative (Temporary Licence) 4

MUKHIJA Tanuj BJA905 Licensed Representative (Temporary Licence) 1, 4

MULLER-WIDMER Michael Horst BLN919 Licensed Representative (Temporary Licence) 1, 4

MURPHY Kevin Francis BLI618 Licensed Representative (Temporary Licence) 1, 4

NA PATTALOONG Natchutha BIO006 Licensed Representative (Temporary Licence) 4

NAIR Prashant Gopinathan BEN187 Licensed Representative (Temporary Licence) 4

NAKAJIMA Masashige BLO099 Licensed Representative (Temporary Licence) 1

NAPIER Jason Clive BIN751 Licensed Representative (Temporary Licence) 4

NAYLOR-LEYLAND Edward Frederick BLG378 Licensed Representative (Temporary Licence) 1

NEVATIA SUMANGAL RAJESH BLK492 Licensed Representative (Temporary Licence) 4

NISHIMURA Seiji BLJ206 Licensed Representative (Temporary Licence) 1

NOGUCHI Mayumi BAL380 Licensed Representative (Temporary Licence) 1

NOMA Kota BDQ873 Licensed Representative (Temporary Licence) 1

OBIN Andrew Burris BDI734 Licensed Representative (Temporary Licence) 1, 4

OH James BLL823 Licensed Representative (Temporary Licence) 1

OHMES Robert Frederick BGK749 Licensed Representative (Temporary Licence) 1, 4

ORTELLI Mario Zaccaria Carlo BBJ794 Licensed Representative (Temporary Licence) 4

OSIANDER Ernst Josef BEE962 Licensed Representative (Temporary Licence) 1

PARK Sung Mee BFT696 Licensed Representative (Temporary Licence) 4

POLOVY Charles Michel Guillaume Edouard BHO026 Licensed Representative (Temporary Licence) 1, 2

RAY Sambuddha BLJ721 Licensed Representative (Temporary Licence) 4

REDEKER Hans Gunter Wilhelm BFF385 Licensed Representative (Temporary Licence) 1, 4, 5

REEMER Jeffrey Ross BIR381 Licensed Representative (Temporary Licence) 1, 4

RIDGE Nigel Lee BLP473 Licensed Representative (Temporary Licence) 1, 4

RIESNER Michael Lothar Kurt AWK175 Licensed Representative (Temporary Licence) 1

ROCCATI Alessandro BKY347 Licensed Representative (Temporary Licence) 10

ROONEY Monique Elizabeth BGE212 Licensed Representative (Temporary Licence) 1, 4

SAHOO Abhishek BJN732 Licensed Representative (Temporary Licence) 4

SAKAMOTO Gosuke BBQ740 Licensed Representative (Temporary Licence) 1

SANDERSE Menno Gerard Cornelis AUX424 Licensed Representative (Temporary Licence) 1, 4

SAUNDERS Philip Gordon Strode ADB492 Licensed Representative (Temporary Licence) 4

Page 26 of 27

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

SILK Kimberley BLN953 Licensed Representative (Temporary Licence) 1, 2

SINGER David Antony AWS936 Licensed Representative (Temporary Licence) 1

SIRIPASSORN Kritapas BDQ319 Licensed Representative (Temporary Licence) 4

SONNELAND Joshua Paul BBR119 Licensed Representative (Temporary Licence) 4

SPARTALIS Sophie Despina BIM602 Licensed Representative (Temporary Licence) 1, 4

SPROULES Brendan Allan BGO985 Licensed Representative (Temporary Licence) 4

STEAD David Andrew AQT298 Licensed Representative (Temporary Licence) 1, 2

SUMMERFIELD David Angus AEP603 Licensed Representative (Temporary Licence) 1

TAN Jia Qi Chloe BLJ693 Licensed Representative (Temporary Licence) 1, 4

TANG Serena Wing Yin BHK683 Licensed Representative (Temporary Licence) 1, 4, 5

TECHAWATANAWANA Atthaka BLK087 Licensed Representative (Temporary Licence) 1, 2

TEEGER Sam Thomas BHK845 Licensed Representative (Temporary Licence) 4

TEO Su Wen Cheryl BJS028 Licensed Representative (Temporary Licence) 1, 4

TUMULAK Andrew BLK817 Licensed Representative (Temporary Licence) 1, 2

UNAL Gokhan BHG359 Licensed Representative (Temporary Licence) 1

VARGHESE Shinoy BGU248 Licensed Representative (Temporary Licence) 10

WADEWITZ Thomas Richard BGL493 Licensed Representative (Temporary Licence) 4

WATANABE Ritsuo BAZ846 Licensed Representative (Temporary Licence) 1, 4

WEYNS Guy Joseph M. BLM858 Licensed Representative (Temporary Licence) 4

WILLIAMS Craig Anthony BDU133 Licensed Representative (Temporary Licence) 4

WONG Ee Kay Geoffrey BFZ518 Licensed Representative (Temporary Licence) 1, 4

WONG Ferry Wijaya ARB231 Licensed Representative (Temporary Licence) 4

WOOLFORD Craig John BFD306 Licensed Representative (Temporary Licence) 4

XIE Jiaoyue BHU354 Licensed Representative (Temporary Licence) 1, 4

ZHONG Xiaoling BGW439 Licensed Representative (Temporary Licence) 10

Bank of Communications (Hong Kong) Limited BJN782 Registered Institution 1, 4

Page 27 of 27