ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS ... · FAN Long: BNM963 Licensed...

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Page 1 of 25 CE Name CE No. Licence Type Types of Regulated Activity Alphadyne Asset Management (Hong Kong) Limited BMW568 Licensed Corporation 9 Corres International HK Co., Limited BLN406 Licensed Corporation 1 Durer Investment Limited BNG092 Licensed Corporation 4, 9 FinTrek Capital (Hong Kong) Co., Limited BMP341 Licensed Corporation 1, 4 First Seafront International Capital Limited BLL818 Licensed Corporation 1, 6 Global Fortune United (Hong Kong) Limited BMY783 Licensed Corporation 9 Hong Kong Securities Limited BMQ618 Licensed Corporation 1 JL Capital Investment Limited BMX893 Licensed Corporation 9 LUPU (Hong Kong) Limited BMW179 Licensed Corporation 4, 9 Ocean Global Capital Management Limited BMW057 Licensed Corporation 4, 9 Regan International Securities Limited BME174 Licensed Corporation 1 Step Capital Management (HK) Limited BML133 Licensed Corporation 9 VisTreasure Securities Limited BMS480 Licensed Corporation 1 Yew Tree Limited BHQ297 Licensed Corporation 1 Zundiao Securities Limited BMR631 Licensed Corporation 1 ALLISON Andrew James BNJ950 Licensed Representative 9 Amit Singh BNN372 Licensed Representative 1 AN Tianqiong Angel BND227 Licensed Representative 1, 2 AW Adrian Matthew AWY725 Licensed Representative 1, 4 BAI Jingya BNF409 Licensed Representative 1, 4, 6 BAO Ding BNF390 Licensed Representative 1, 4, 6 BARAM Geoffrey Ian ANA198 Licensed Representative 1, 4, 6 BEDSON Samuel Mark BNH774 Licensed Representative 6 BHATTACHARYYA Utathya BNI298 Licensed Representative 9 BIER Gabriele BNI506 Licensed Representative 6 BOGORICIN OLIVEIRA Marcio BNL128 Licensed Representative 1 BOOTHE MARCEL CONSTANTINE BND275 Licensed Representative 1 BRAILEY Simon Geoffrey AVD351 Licensed Representative 1, 4 BRENNAN JR Thomas Michael ALS353 Licensed Representative 1, 4 CAI Xiaohua BNI772 Licensed Representative 1, 6 CARTER Harriet Ellen Jane BNE453 Licensed Representative 1, 4, 6 CARVALHO FURQUIM Lucas Henrique BNJ260 Licensed Representative 2 CHAI Suet Yee BCG583 Licensed Representative 1, 4, 9 CHAN Bonnie See Wa BNK872 Licensed Representative 1 CHAN Carson AQJ831 Licensed Representative 1 CHAN Chi Kiu BAP128 Licensed Representative 1 CHAN Chun Yin, Billy AVR824 Licensed Representative 1 CHAN Chung Fai AXM814 Licensed Representative 1 CHAN Ho Hin BNI501 Licensed Representative 6 CHAN Ho Tang Horton BNI483 Licensed Representative 1, 6 CHAN Hon Hoi BNJ577 Licensed Representative 1, 4, 5, 9 CHAN Ka Ho BNJ176 Licensed Representative 1, 2 CHAN Ka Wai BNJ689 Licensed Representative 1 CHAN Kin Ho BNK084 Licensed Representative 1 CHAN Kristy BNK027 Licensed Representative 1, 4, 9 CHAN Lok Man BMO599 Licensed Representative 4 CHAN Lok Yee BNJ943 Licensed Representative 4 CHAN Matthew Wing Tou BGH189 Licensed Representative 1, 2 CHAN Pak Yeung Edwin BGB569 Licensed Representative 1, 4 CHAN Po Ming BLK193 Licensed Representative 1, 2, 3 CHAN Po Shan BNH357 Licensed Representative 1, 4 CHAN Pui Shuen AQM267 Licensed Representative 1, 4 ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2018

Transcript of ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS ... · FAN Long: BNM963 Licensed...

Page 1: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS ... · FAN Long: BNM963 Licensed Representative: 1, 6 FANG Chuang Yuan: BNK823 Licensed Representative: 9 FENG Jiahui: BNI978

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CE Name CE No. Licence Type Types of Regulated Activity

Alphadyne Asset Management (Hong Kong) Limited BMW568 Licensed Corporation 9

Corres International HK Co., Limited BLN406 Licensed Corporation 1

Durer Investment Limited BNG092 Licensed Corporation 4, 9

FinTrek Capital (Hong Kong) Co., Limited BMP341 Licensed Corporation 1, 4

First Seafront International Capital Limited BLL818 Licensed Corporation 1, 6

Global Fortune United (Hong Kong) Limited BMY783 Licensed Corporation 9

Hong Kong Securities Limited BMQ618 Licensed Corporation 1

JL Capital Investment Limited BMX893 Licensed Corporation 9

LUPU (Hong Kong) Limited BMW179 Licensed Corporation 4, 9

Ocean Global Capital Management Limited BMW057 Licensed Corporation 4, 9

Regan International Securities Limited BME174 Licensed Corporation 1

Step Capital Management (HK) Limited BML133 Licensed Corporation 9

VisTreasure Securities Limited BMS480 Licensed Corporation 1

Yew Tree Limited BHQ297 Licensed Corporation 1

Zundiao Securities Limited BMR631 Licensed Corporation 1

ALLISON Andrew James BNJ950 Licensed Representative 9

Amit Singh BNN372 Licensed Representative 1

AN Tianqiong Angel BND227 Licensed Representative 1, 2

AW Adrian Matthew AWY725 Licensed Representative 1, 4

BAI Jingya BNF409 Licensed Representative 1, 4, 6

BAO Ding BNF390 Licensed Representative 1, 4, 6

BARAM Geoffrey Ian ANA198 Licensed Representative 1, 4, 6

BEDSON Samuel Mark BNH774 Licensed Representative 6

BHATTACHARYYA Utathya BNI298 Licensed Representative 9

BIER Gabriele BNI506 Licensed Representative 6

BOGORICIN OLIVEIRA Marcio BNL128 Licensed Representative 1

BOOTHE MARCEL CONSTANTINE BND275 Licensed Representative 1

BRAILEY Simon Geoffrey AVD351 Licensed Representative 1, 4

BRENNAN JR Thomas Michael ALS353 Licensed Representative 1, 4

CAI Xiaohua BNI772 Licensed Representative 1, 6

CARTER Harriet Ellen Jane BNE453 Licensed Representative 1, 4, 6

CARVALHO FURQUIM Lucas Henrique BNJ260 Licensed Representative 2

CHAI Suet Yee BCG583 Licensed Representative 1, 4, 9

CHAN Bonnie See Wa BNK872 Licensed Representative 1

CHAN Carson AQJ831 Licensed Representative 1

CHAN Chi Kiu BAP128 Licensed Representative 1

CHAN Chun Yin, Billy AVR824 Licensed Representative 1

CHAN Chung Fai AXM814 Licensed Representative 1

CHAN Ho Hin BNI501 Licensed Representative 6

CHAN Ho Tang Horton BNI483 Licensed Representative 1, 6

CHAN Hon Hoi BNJ577 Licensed Representative 1, 4, 5, 9

CHAN Ka Ho BNJ176 Licensed Representative 1, 2

CHAN Ka Wai BNJ689 Licensed Representative 1

CHAN Kin Ho BNK084 Licensed Representative 1

CHAN Kristy BNK027 Licensed Representative 1, 4, 9

CHAN Lok Man BMO599 Licensed Representative 4

CHAN Lok Yee BNJ943 Licensed Representative 4

CHAN Matthew Wing Tou BGH189 Licensed Representative 1, 2

CHAN Pak Yeung Edwin BGB569 Licensed Representative 1, 4

CHAN Po Ming BLK193 Licensed Representative 1, 2, 3

CHAN Po Shan BNH357 Licensed Representative 1, 4

CHAN Pui Shuen AQM267 Licensed Representative 1, 4

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2018

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CE Name CE No. Licence Type Types of Regulated Activity

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2018

CHAN Sau To BNK726 Licensed Representative 1

CHAN Siu Ling BDL628 Licensed Representative 1, 2

CHAN Sze Man BNK169 Licensed Representative 1

CHAN Tsz Him BNI826 Licensed Representative 1

CHAN Tsz Wang Edward BNJ076 Licensed Representative 4

CHAN Wah Kung BNI492 Licensed Representative 1, 2

CHAN Zi Wei, Gerald BAH851 Licensed Representative 6

CHANG Chiung-Wen AOE329 Licensed Representative 1

CHE Sen Hei BNI034 Licensed Representative 1, 6

CHEN Chen Kuo BNJ549 Licensed Representative 1, 4

CHEN Chia-ching BNJ667 Licensed Representative 9

CHEN Hong Chuan BNJ353 Licensed Representative 1, 4

CHEN JINHONG BNF498 Licensed Representative 1

CHEN Li Sian BNJ721 Licensed Representative 4

CHEN Lihan BNJ668 Licensed Representative 1, 4

CHEN Ming-Li APT080 Licensed Representative 1

CHEN Qian BNI820 Licensed Representative 1, 6

CHEN Runhua BNG352 Licensed Representative 1, 4, 6

CHEN Tian BNJ130 Licensed Representative 1, 4

CHEN Tianyi BNE736 Licensed Representative 1, 4, 6

CHEN Ting BNI312 Licensed Representative 1, 2

CHEN Xiaohan BNI764 Licensed Representative 1, 2

CHEN Xin AHR481 Licensed Representative 9

CHEN Xueyao BNH168 Licensed Representative 1, 6

CHEN Zeen AWR548 Licensed Representative 1, 4

CHENG Bryden Tsz Him BNH982 Licensed Representative 1, 2

CHENG De BNL445 Licensed Representative 2

CHENG Liu BNN573 Licensed Representative 1, 2, 4

CHENG Ngok Ching BNK951 Licensed Representative 1

CHEUNG Brian Tang Ching BNI775 Licensed Representative 1, 6

CHEUNG Chin To Gary BNG639 Licensed Representative 1, 4, 5, 9

CHEUNG Hang Lok AWK552 Licensed Representative 4, 9

CHEUNG Ka Ho BNN012 Licensed Representative 4, 9

CHEUNG Ka Wai BNJ807 Licensed Representative 1, 2

CHEUNG Ka Yan Flora BJK926 Licensed Representative 9

CHEUNG Kai Hung BGL610 Licensed Representative 1, 2

CHEUNG King Lam BMO728 Licensed Representative 1

CHEUNG Kiu To BNJ801 Licensed Representative 2

CHEUNG Siu Man AED162 Licensed Representative 1, 4, 9

CHEUNG Sum Ping, Jeremy BNH612 Licensed Representative 1, 2

CHEUNG Yan Yin BNF992 Licensed Representative 1, 6

CHEUNG Yee Man, Katharine BMO579 Licensed Representative 1

CHEW Boon Lian BNL163 Licensed Representative 1, 4, 6

CHIONG Sai Lung AHM814 Licensed Representative 4, 9

CHIOU Hsin-Ying AZL661 Licensed Representative 4

CHIU Dicken BNJ014 Licensed Representative 4, 9

CHIU Ho Ming AWI112 Licensed Representative 1

CHIU Ka Chun BGV489 Licensed Representative 4

CHO Jung Hyung APA430 Licensed Representative 4, 9

CHO Yeong Jun BNF062 Licensed Representative 1, 4, 6

CHOI Allen AJM479 Licensed Representative 4, 9

CHOI Hok Chung BNI037 Licensed Representative 1

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CE Name CE No. Licence Type Types of Regulated Activity

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2018

CHOI Yujin Chloe ATO430 Licensed Representative 1, 2

CHOW Chak Shing AGG820 Licensed Representative 1, 4

CHOW Man Ting BNH477 Licensed Representative 1

CHOW Sheila Sho Nan AQL403 Licensed Representative 1, 4, 9

CHOW Wai Ho BNJ103 Licensed Representative 1

CHOY Hoi Yin BNI851 Licensed Representative 1

CHU Chi Lan, Cherrent AXZ067 Licensed Representative 1

CHU Ming Hing Kenny BNI995 Licensed Representative 1, 4

CHUI Yuk Lam BIJ123 Licensed Representative 1

CHUNG Da Young BNH707 Licensed Representative 1, 4

CHUNG Kai Cheong AZL636 Licensed Representative 1, 6

CHUNG Long Fung BNI578 Licensed Representative 1, 4, 6

CHUNG Oscar Chor Chun BNI033 Licensed Representative 1

CHUNG Paul Chun Kiu BNJ819 Licensed Representative 1

CHUNG Shun Ho AVM902 Licensed Representative 1

CHUNG Yuen Man AWX223 Licensed Representative 1

CLARK Matthew John BNL478 Licensed Representative 1, 4

COCHRANE Samuel Thomas BNJ872 Licensed Representative 1, 2, 7

COEN Benjamin George ARM240 Licensed Representative 1, 2

COHEN Eyal BFS116 Licensed Representative 9

CONSTANTINIDES Pantelis Ioannis BNI493 Licensed Representative 1, 6

DING Jiechao BNJ567 Licensed Representative 1, 9

DONG Fanghu BNH846 Licensed Representative 1, 2

DONG Shanshan BNJ406 Licensed Representative 4

DONG Yuning BNJ160 Licensed Representative 1

DOU Yidong BHX714 Licensed Representative 4

DOWNES Larissa Anne AGI658 Licensed Representative 4

DU Wei Han BNH343 Licensed Representative 1

DU Xiyuan BNG836 Licensed Representative 1, 4, 6

DU Yuantao BNH040 Licensed Representative 4

DUAN Libo BNH868 Licensed Representative 1, 2

ENOMOTO Takayuki BNG188 Licensed Representative 1, 2

FAN Long BNM963 Licensed Representative 1, 6

FANG Chuang Yuan BNK823 Licensed Representative 9

FENG Jiahui BNI978 Licensed Representative 1, 4, 6

FLUET Emily Facchina BNI118 Licensed Representative 1, 2

FRANJOU Lionel Claude Pascal AQE634 Licensed Representative 1

FRICK Thomas Rhoads BFJ278 Licensed Representative 4, 9

FU Eugene Chun Sum BNJ548 Licensed Representative 1, 6

FU Hanbo BNJ330 Licensed Representative 6

FU Kexin BNI539 Licensed Representative 1, 4

FU Shaohua BNL576 Licensed Representative 1, 6

FU Tianye BNH822 Licensed Representative 1, 4, 6

FUNG Ha Yung BJR433 Licensed Representative 1, 4, 5

FUNG Kwok Lun BNG807 Licensed Representative 1, 2

GAO Liyun BAB050 Licensed Representative 1, 2

GAO Mengyang BNJ100 Licensed Representative 1, 4, 6

GAO Wen BHR562 Licensed Representative 4

GAO Xing BGI426 Licensed Representative 4, 9

GAO Yitong BNJ285 Licensed Representative 9

GARG Sameer BND258 Licensed Representative 9

GARUDE Alankar BIY256 Licensed Representative 4

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CE Name CE No. Licence Type Types of Regulated Activity

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2018

GE Yiran BNM263 Licensed Representative 1, 4

GOH Kia Lin AOQ774 Licensed Representative 1

GOH Zhuang Yi BNG401 Licensed Representative 1

GOORANAH Avrish BNG841 Licensed Representative 2, 5

GROMAK Andrey BNJ916 Licensed Representative 1, 4, 6

GUO Jiawei BNK699 Licensed Representative 1, 4

GUO Keli BNF148 Licensed Representative 1, 4, 6

GUO Mengchen BNJ727 Licensed Representative 1, 4

GUO Mengxi BNJ391 Licensed Representative 6

GUO Rui BNG888 Licensed Representative 1

GUPTA Anshuman BNH991 Licensed Representative 4

HA Jae uk BNJ329 Licensed Representative 1, 4, 6

HAI Rihan BNI902 Licensed Representative 1, 2

HAN Fang BNJ538 Licensed Representative 1, 2

HAN Yu BNJ594 Licensed Representative 9

HAN Zhixiao BJM473 Licensed Representative 1, 4

HANEY Charlotte Anne BNH999 Licensed Representative 1, 4

HANG Kai BNJ612 Licensed Representative 9

HAU Sin Hang BNJ515 Licensed Representative 6

HE Letian BNH135 Licensed Representative 1, 2

HE Liu BNL217 Licensed Representative 1, 6

HE Yangyang BNI497 Licensed Representative 1, 6

HE Yanqing BNL377 Licensed Representative 4

HO Chin Ho BNL117 Licensed Representative 1

HO Chun Yu, Jonathan ARO147 Licensed Representative 1

HO Darren King Man BNJ839 Licensed Representative 4, 9

HO Gi Lok, Sindy BNH899 Licensed Representative 1

HO Ka Yu BNH508 Licensed Representative 1

HO Shan Shan Rosanna BNH002 Licensed Representative 9

HO Tsz Yeung BCD049 Licensed Representative 1, 4, 9

HO Wai Hin BNH576 Licensed Representative 6

HO Wai Man BNI773 Licensed Representative 1, 2

HOFFMANN Sebastian AYI538 Licensed Representative 4

HONG Enze BNG993 Licensed Representative 4, 9

HONG Junchan BLO695 Licensed Representative 6

HOU QIANSHENG BNH473 Licensed Representative 1, 4, 6

HSIAO Kai Cheung BNJ278 Licensed Representative 1, 2

HSIAO Wen-liang BNG350 Licensed Representative 4

HUANG Haoya BNL472 Licensed Representative 1

HUANG Xiaolong BNF398 Licensed Representative 1

HUANG Xiya BNI394 Licensed Representative 6

HUANG Yang BNH452 Licensed Representative 4

HUANG Yihua BNI032 Licensed Representative 9

HUI Ka Yiu BFA961 Licensed Representative 9

HUI Ling Ling BJN940 Licensed Representative 1

HUI Yiu Chung, Sam BNI743 Licensed Representative 1, 6

HUNG Li-chin BNH858 Licensed Representative 1, 4, 9

HUNT David Anthony John BNH782 Licensed Representative 1, 2

HUO Zheng BNJ908 Licensed Representative 1, 6

IP Tsz Ying BNJ661 Licensed Representative 1

JAIN Nikhil BNJ259 Licensed Representative 1, 2, 7

JAJU Vipul BNH794 Licensed Representative 9

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CE Name CE No. Licence Type Types of Regulated Activity

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2018

JENKINSON Patrick John BNH921 Licensed Representative 1, 2

JIA Lixue BNJ740 Licensed Representative 6

JIA Shengbai BNF817 Licensed Representative 1, 4, 6

JIA Shuzhen BNG459 Licensed Representative 1, 4, 6

JIANG Mingbo BNL437 Licensed Representative 1

JIANG Yingyun BKL592 Licensed Representative 10

JIE Wenting BNI344 Licensed Representative 1, 4

JIN Bang BNJ982 Licensed Representative 4

JIN Biao Alec ARW137 Licensed Representative 9

JIN Changyu BNH510 Licensed Representative 1, 6

JIN Xin BNH250 Licensed Representative 1, 4, 6

JIN Yanzhe BNK527 Licensed Representative 1, 2

JOSHI Deepak AZI921 Licensed Representative 1, 2

JU Linlin BNH088 Licensed Representative 1, 4, 6

JUAN Cheng-Han BNI724 Licensed Representative 1

JUNG Mohammad Abdullah Sahir Bin BNH569 Licensed Representative 1, 2

KAM Wing Ki BIK396 Licensed Representative 1

KAMAL Talha BNG757 Licensed Representative 9

KAMOI Satoshi AVA226 Licensed Representative 1, 4, 6

KAMPMAN Onno Pepijn BNN300 Licensed Representative 1, 2, 7

KANG Seokwon BNK675 Licensed Representative 1, 4

KANG Suhgoo AXB367 Licensed Representative 1, 4, 6

KARWAL Vijay Paul ASS433 Licensed Representative 1, 4, 6

KAWAGUCHI Shimpei BNH664 Licensed Representative 9

KEUNG Ka Hong, Kevin AIU261 Licensed Representative 1

KHANDELWAL Ankit BNH033 Licensed Representative 1, 2

KIKUHARA Yoshiaki BNI692 Licensed Representative 1

KIM Jee Suk BFD119 Licensed Representative 1, 2, 4

KIM Jeong Yoon BHJ637 Licensed Representative 1, 9

KIM Seung Kwang BNJ827 Licensed Representative 1, 2

KIM Soyeon BNJ597 Licensed Representative 1, 4, 6

KIM Sunghun BJR042 Licensed Representative 1, 4

KNIGHT Richard James Henry BNH001 Licensed Representative 1

KO Chun Ho, Dexter BNL079 Licensed Representative 4, 9

KOH Youngjun BNJ133 Licensed Representative 4

KOICHIBARA Sachiko BNG230 Licensed Representative 1

KONG Nien Sian BNK733 Licensed Representative 4

KRUGER James Roderick Lockhart AOX034 Licensed Representative 1, 6

KUMAR Amit BNM182 Licensed Representative 1

KWOK Hon Cheung BNH796 Licensed Representative 1, 4, 9

KWOK Karbo Larry BNH018 Licensed Representative 6

KWOK Tsz Wan BNL412 Licensed Representative 1, 2

KWOK Yin Fan AYC902 Licensed Representative 1, 2, 4, 5, 9

LAI Ming Yan BNK808 Licensed Representative 6

LAI Pui Hang BNG079 Licensed Representative 1, 4

LAKHANI Jhanvi Dilip BNE652 Licensed Representative 6

LAM CHEUK YING IVY BNI988 Licensed Representative 10

LAM Derek Matthew AXV404 Licensed Representative 6

LAM Molly Mo Yin BAZ754 Licensed Representative 1

LAM On Ying BNJ388 Licensed Representative 1, 4

LAM Sin BNK383 Licensed Representative 1, 6

LAM Trevor Michael BNH658 Licensed Representative 6

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CE Name CE No. Licence Type Types of Regulated Activity

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2018

LAM Tsz Fung BNK300 Licensed Representative 1

LAM Wai Shun Wilson BND802 Licensed Representative 10

LAM Yuet Kelly BNJ683 Licensed Representative 4, 9

LAU Kwan Yin BNI434 Licensed Representative 1

LAW Hoi Kong BNH635 Licensed Representative 1, 6

LAW Tin Wai Tiffany BNI686 Licensed Representative 1, 6

LAW Wai Han BNH675 Licensed Representative 1, 4

LE Quoc Benoit Khanh Jacques BNE908 Licensed Representative 1, 4

LEE Chin Hang BNI825 Licensed Representative 6

LEE Chyuan Ching BNJ505 Licensed Representative 6

LEE In-gyu BBQ892 Licensed Representative 1, 4

LEE James BNI691 Licensed Representative 4

LEE Jun Hee BNJ188 Licensed Representative 1, 4, 9

LEE Ka Shing AEI379 Licensed Representative 1, 4, 9

LEE Kai Xuan Almeric BNJ622 Licensed Representative 1

LEE Kit BNH149 Licensed Representative 1, 4, 9

LEE Ming Han BNL589 Licensed Representative 4, 9

LEE Nick Andre Pei Li BNJ326 Licensed Representative 1, 2

LEE Samuel See Wai BIH474 Licensed Representative 1, 4

LEE Shiryu James BNH482 Licensed Representative 1

LEE TAEHO BNH276 Licensed Representative 4

LEE Tak Law BNL407 Licensed Representative 1, 2

LEE Tik Wa AFD428 Licensed Representative 1

LEE Tsz Ho BNH517 Licensed Representative 1, 4, 9

LEE Wai Lee BAT980 Licensed Representative 4, 9

LEE Yuet, Eunice BNJ674 Licensed Representative 1, 4

LEI Liping BNJ405 Licensed Representative 1, 2

LEUNG Eddie Ka Ho BNG628 Licensed Representative 1, 4

LEUNG Francis Feng Hua AQI797 Licensed Representative 1

LEUNG Fung Kuen Cindy BNJ529 Licensed Representative 1

LEUNG Hing Tak BNI150 Licensed Representative 1, 2

LEUNG Ho Wang BFX358 Licensed Representative 1, 2

LEUNG Ka Wai BNG687 Licensed Representative 9

LEUNG Kin Yee ARU276 Licensed Representative 4

LEUNG Robin Chun Yin BNG164 Licensed Representative 4

LEUNG Tsun Yin BNH641 Licensed Representative 1

LEUNG Wing Hang BNJ750 Licensed Representative 1

LI Ang BNN210 Licensed Representative 1, 4

LI Chit Hon BNL479 Licensed Representative 4

LI David Sijun BEW621 Licensed Representative 6

LI Gen BNJ096 Licensed Representative 1, 4

LI Guo BMU801 Licensed Representative 1, 4, 9

LI Huiqun BNH363 Licensed Representative 4

LI JIE BNI490 Licensed Representative 1, 6

LI Kui Wa BNJ023 Licensed Representative 1

LI Mingyuan BNH924 Licensed Representative 1, 4, 6

LI Na BNJ843 Licensed Representative 1, 4, 6

LI Peiyu BNJ144 Licensed Representative 1, 2, 4

LI Shaobo BNI705 Licensed Representative 1, 6

LI Shiu Yan BNJ008 Licensed Representative 1, 6

LI Tsz Kin Ken BNH407 Licensed Representative 9

LI Xinye BNG674 Licensed Representative 1, 2

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CE Name CE No. Licence Type Types of Regulated Activity

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2018

LI Xuetong BNJ561 Licensed Representative 1

LI Zhuoqing BNJ129 Licensed Representative 1, 4

LIANG Kailin BNJ109 Licensed Representative 2

LIANG Wei BNJ850 Licensed Representative 10

LIANG Wenqian BNH880 Licensed Representative 1, 4, 6

LIANG Zun BNL470 Licensed Representative 1, 6

LIAO Michael Jia Jun BNJ694 Licensed Representative 2, 5

LIM In Ja ANT250 Licensed Representative 1, 4, 6

LIM Seow Keng BNG472 Licensed Representative 4, 9

LIN Chaohan BNH490 Licensed Representative 4, 6

LIN Hsinyu BNJ513 Licensed Representative 9

LIN Shaoyu BNI916 Licensed Representative 1, 4, 9

LIN Zuodong BNJ825 Licensed Representative 9

LING Da AYG050 Licensed Representative 4, 9

LING Hing Cheung AWN388 Licensed Representative 1

LIU Chang AOJ599 Licensed Representative 6

LIU Changtai BNM900 Licensed Representative 1, 4

LIU Chuen Fai Jeffy BNL362 Licensed Representative 6

LIU Diana BNF050 Licensed Representative 1, 4, 6

LIU Hao BNH973 Licensed Representative 1, 4

LIU Hongyu BNG545 Licensed Representative 1, 4, 6

LIU Jiani BNJ556 Licensed Representative 1, 4

LIU Jiongyu BNK627 Licensed Representative 6

LIU Majin BNK629 Licensed Representative 1, 2

LIU Mengxiao BNI018 Licensed Representative 1, 4, 5, 9

LIU Muzi BNJ935 Licensed Representative 1, 6

LIU Qing BGH970 Licensed Representative 1, 4, 9

LIU Sufeng BBJ505 Licensed Representative 1, 4

LIU Tao BNH492 Licensed Representative 4, 9

LIU Wan Yi Winnie BNL118 Licensed Representative 1, 2

LIU Xunwu BNJ308 Licensed Representative 6

LIU Yang AMN665 Licensed Representative 1, 6

LIU Ying BNI047 Licensed Representative 10

LIU Yu AYH745 Licensed Representative 1, 4, 6

LIU Zhenyu BAI289 Licensed Representative 4, 9

LU Yi Chun AZX329 Licensed Representative 1, 4, 6, 9

LUI Hoi Ching BNH546 Licensed Representative 9

LUI Marie Carrilyn BNK815 Licensed Representative 1, 4, 6

LUI Yau Lok BNH806 Licensed Representative 1

LUO Di BHH206 Licensed Representative 1, 4, 9

LUO Siqun BJC964 Licensed Representative 1

LUO Xiaochan AZK018 Licensed Representative 9

LUO Yuhan BHK003 Licensed Representative 4, 9

LYU Peipei BNG845 Licensed Representative 1, 4, 6

LYU Yiou BNJ029 Licensed Representative 1, 4, 6

MA Hiu Fai AOR615 Licensed Representative 1, 4, 9

MA Hiu Nga, Michelle AWE190 Licensed Representative 1, 4

MA Kit Sang, Jason BAZ553 Licensed Representative 1, 4

MA Pui Wah BNI645 Licensed Representative 1, 4

MA Un Kong BHJ817 Licensed Representative 4, 9

MAK Ka Ho, Matthew BNH922 Licensed Representative 1, 4, 6

MAK Ming Hoi BJR444 Licensed Representative 1

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CE Name CE No. Licence Type Types of Regulated Activity

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2018

MAK Tsz Kin AGE828 Licensed Representative 1

MAK Yung Pan Andrew BMI336 Licensed Representative 1, 4, 9

MAO Dizhou BLE223 Licensed Representative 1

MAO Zhengguang BNG437 Licensed Representative 1, 2

MARWAT Umair Khan BNH989 Licensed Representative 1, 2, 7

MAXTON Ellen Grace BIN464 Licensed Representative 1, 2

MAXWELL Olivia Louise BNJ619 Licensed Representative 1, 2

MOK Pak Yuen BDX270 Licensed Representative 1

MOK Sui Lung BNC930 Licensed Representative 1

MOK Wing Sze BNI355 Licensed Representative 1, 2

NAKABAYASHI Mitsugu BNJ261 Licensed Representative 1, 4, 6

NAN Chunyan BDQ082 Licensed Representative 4, 9

NG Ka Wai APO972 Licensed Representative 1, 4

NG Kam Fung, Frances ABS929 Licensed Representative 1

NG Kwan Ho John BNI579 Licensed Representative 1, 4, 6

NG Po Ling AYI107 Licensed Representative 10

NG Tsz Chung BNI417 Licensed Representative 1

NG Tzu Ying Adrian BCG135 Licensed Representative 4, 9

NG Wang Leung AEJ671 Licensed Representative 1

NG Yee Chun BNF984 Licensed Representative 1, 4

NGAI Ching Yau APW464 Licensed Representative 1

NING Szu Wei BNE452 Licensed Representative 1, 6

O'BRIEN Neill Maurice BNH891 Licensed Representative 1

OHASHI Kenzo BNJ771 Licensed Representative 1

OISMAYO Hafid BNI206 Licensed Representative 1, 2, 7

OSEKITA Folasefeoluwa Ayoifeoluwape Oluwamisimi BNL373 Licensed Representative 1, 2

PAN Jiahao BNF786 Licensed Representative 9

PANG Lai Chi AVV215 Licensed Representative 1, 4, 6

PANG Shuo BNJ512 Licensed Representative 4

PANG Wai Yuen, Marvin AAI320 Licensed Representative 1, 2

PARK Eun Young AVT464 Licensed Representative 1, 4

PASINI Alberto BNM187 Licensed Representative 4, 9

PATEL Pinakin Kantilal BBG312 Licensed Representative 4, 9

PENG Kuijian BNN386 Licensed Representative 1, 2

PICCOLO Martina BNJ738 Licensed Representative 1

PLESSER Thomas BNG481 Licensed Representative 1, 6

PONG Shan Shan, Sandra BNI528 Licensed Representative 1, 2

POON Patrick ALZ356 Licensed Representative 1

PRANOTO Malvin Wisnuyudha BNH736 Licensed Representative 1

QI Xin AWL701 Licensed Representative 9

QI Yujie BNJ553 Licensed Representative 1

QIAN Chenhao BNI093 Licensed Representative 1, 2, 7

QIU Shi BEF213 Licensed Representative 4

QU Yuying BNM223 Licensed Representative 1, 2

REN Peiran BNI275 Licensed Representative 1

REYNAERTS Frank Johan B. BNJ376 Licensed Representative 1, 4

RHEINGANS-YOO Ross William BMR642 Licensed Representative 1, 2

RIBEIRO Mauricio Ferreira Meira AUC957 Licensed Representative 1, 4

RIDLEY Barry Steven AQX335 Licensed Representative 1

ROBINE Charles-Antoine, Marie, Godfroy ATC945 Licensed Representative 1, 2

RONG Yu BGY934 Licensed Representative 9

ROSLYN Marshall David BNL036 Licensed Representative 1, 6

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CE Name CE No. Licence Type Types of Regulated Activity

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2018

ROY Moushumi BNG351 Licensed Representative 2

RUBIO MOLINA PRADOS Francisco Eugenio BNH339 Licensed Representative 9

SAADANE Mohammed Fatih Zineddine BNJ831 Licensed Representative 1, 2

SAMI Muhammad Talha BNI727 Licensed Representative 1, 2

SANG Haoran BNH925 Licensed Representative 1, 4, 6

SANTER Johann Peter AON268 Licensed Representative 1

SATO Takashi BNJ949 Licensed Representative 1

SEE Kit Long APY536 Licensed Representative 1, 2

SHAH Kshitij Manish BMR353 Licensed Representative 4, 9

SHAO Weixiong BNG597 Licensed Representative 1, 2

SHAO Yi BNN841 Licensed Representative 1, 6

SHE Huanqi BNJ748 Licensed Representative 1

SHEN James Sun BNH100 Licensed Representative 1, 4

SHEN Jun BNJ542 Licensed Representative 1, 6

SHEN Le BNH896 Licensed Representative 4

SHEN Luqing BNL372 Licensed Representative 4

SHU Han BKY918 Licensed Representative 1, 4, 9

SHUM Chun Wai APF965 Licensed Representative 4

SIM Seong Leol BNK488 Licensed Representative 1, 2

SINGH Nidhi BNI914 Licensed Representative 1

SINGH Santosh Kumar BNG997 Licensed Representative 4

SINN Yee Man, Elizabeth ACH959 Licensed Representative 9

SO Chun Fei BGE655 Licensed Representative 1

SO Eunjae BNK454 Licensed Representative 4

SO Monique Ellie Mo Shun BNI837 Licensed Representative 1

SO Pak Hay, Pascal BNH146 Licensed Representative 1, 2

SONG Fang BNI481 Licensed Representative 1, 6

SONG Hao BNH693 Licensed Representative 1, 4, 9

SONG Ping BNA762 Licensed Representative 1, 4

SONG Yebo BHC278 Licensed Representative 1, 2, 7

STANLEY Thomas Edward BNI065 Licensed Representative 1, 2

SU Sheng Yuan BNN011 Licensed Representative 1, 4

SU Zirui BNH918 Licensed Representative 1, 4, 6

SUN Bijun BNG808 Licensed Representative 1, 2, 7

SUN Lu BNH976 Licensed Representative 1, 4, 6

SUN Qianya BNH306 Licensed Representative 1, 2

SUN Siwen BNG843 Licensed Representative 1, 4, 6

SUN Xukanghong BNG638 Licensed Representative 1, 4, 9

TAI Ching Man BEI194 Licensed Representative 1

TALWAR Rohan BNL464 Licensed Representative 6

TAM Chun Wing Ray BNJ187 Licensed Representative 9

TAM Jun Yuan Matheu BNH816 Licensed Representative 1, 2

TAM Yue Fong Natalie BNL094 Licensed Representative 1, 2, 9

TAN Rowan Jin Sen BNJ152 Licensed Representative 1, 4, 6

TAN Ruohan BNI286 Licensed Representative 1, 4

TAN Su Wen BNL477 Licensed Representative 1

TANG Jiazi AWX863 Licensed Representative 9

TANG Keyin BNH660 Licensed Representative 1

TANG Tsz Fung BGX456 Licensed Representative 1, 9

TANG Yixing BNL318 Licensed Representative 4, 9

TANI Kenichiro ANZ614 Licensed Representative 1

TAY Hui Xin BMV799 Licensed Representative 1, 4

Page 10: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS ... · FAN Long: BNM963 Licensed Representative: 1, 6 FANG Chuang Yuan: BNK823 Licensed Representative: 9 FENG Jiahui: BNI978

Page 10 of 25

CE Name CE No. Licence Type Types of Regulated Activity

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2018

TERADA Hiroyuki BNG996 Licensed Representative 4

THAKKER Mehul BNH696 Licensed Representative 4

THOMAS Tristan Roland France BND765 Licensed Representative 1, 2

TON Suzanne To Quan AAZ188 Licensed Representative 1, 4, 9

TONG Nam BNL293 Licensed Representative 1, 4

TSAI Terng Luen BNH464 Licensed Representative 1, 4, 9

TSANG Sik Yue BNH617 Licensed Representative 1, 2

TSANG Tsz Kin BNL499 Licensed Representative 1, 4, 9

TSE Hong Un, Rosita ADI468 Licensed Representative 1, 4, 9

TSE Man Po, Andy AMD101 Licensed Representative 1

TSE Tsz Kwan BNJ328 Licensed Representative 1, 6

U Pou Keong AWY617 Licensed Representative 1, 2

WAN Sin Ching BNJ403 Licensed Representative 1, 2

WAN Tsz Hiu BNL575 Licensed Representative 1, 2

WAN Wai Hang BAZ965 Licensed Representative 4, 9

WAN Wei ASH820 Licensed Representative 4

WANG Baocong BNH662 Licensed Representative 4, 9

WANG Cheng BNH070 Licensed Representative 1, 4, 6

WANG Chunjun BNH308 Licensed Representative 1

WANG Edwin Meng Bai BMX625 Licensed Representative 1, 4

WANG Jiayi BNI804 Licensed Representative 1

WANG Jing BNH399 Licensed Representative 4

WANG Jingzhi BNK282 Licensed Representative 4

WANG Kailin BNJ180 Licensed Representative 1, 2, 4

WANG Lidong BNJ936 Licensed Representative 1, 4, 6

WANG Mingren BNJ583 Licensed Representative 1, 6

WANG Pei BNJ942 Licensed Representative 4, 9

WANG Sisi BNJ531 Licensed Representative 1, 6

WANG Ting BNJ934 Licensed Representative 1, 4

WANG Xiaoke BNE464 Licensed Representative 1, 2

WANG Xiaorui BNH572 Licensed Representative 2

WANG Xiaoxuan BJI011 Licensed Representative 4, 9

WANG Xueming BNN008 Licensed Representative 9

WANG Yi BNN211 Licensed Representative 4

WANG Yifang BNI063 Licensed Representative 1, 6

WANG Yue BNJ744 Licensed Representative 1, 2

WANG Yujin BEC368 Licensed Representative 4, 9

WANG Yumeng BNM125 Licensed Representative 1

WANG Zinian BNJ569 Licensed Representative 1, 6

WEISS Dane Michael BNI794 Licensed Representative 1

WENG Chenqi BNJ123 Licensed Representative 1, 6

WHORTON Eric Abraham BMB931 Licensed Representative 1, 4, 6

WILKS Richard John BNJ105 Licensed Representative 6

WONG Hok Man BNI770 Licensed Representative 1, 6

WONG Ka Ying BNJ671 Licensed Representative 4, 9

WONG Ken Wei AIR851 Licensed Representative 1, 6

WONG Kin Lok Milton BNL581 Licensed Representative 9

WONG King Chi BDO998 Licensed Representative 1, 4

WONG Pui Chi Gigi AZT110 Licensed Representative 1

WONG Sheung Long BNH878 Licensed Representative 1, 2

WONG Suet Ying BDI340 Licensed Representative 1

WONG Yan Long Ivan BNH606 Licensed Representative 1, 4, 9

Page 11: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS ... · FAN Long: BNM963 Licensed Representative: 1, 6 FANG Chuang Yuan: BNK823 Licensed Representative: 9 FENG Jiahui: BNI978

Page 11 of 25

CE Name CE No. Licence Type Types of Regulated Activity

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2018

WONG Yi Ling, Elaine BNH516 Licensed Representative 1

WONG Yuen Yee, Vicky AUX364 Licensed Representative 1

WOON Audrey Hui BEE288 Licensed Representative 1, 2

WU Carolyn Shoutong BNJ196 Licensed Representative 1, 2, 7

WU Clinton Yumo BNH160 Licensed Representative 1, 4

WU Di BNI721 Licensed Representative 9

WU Jiajun BMQ963 Licensed Representative 4, 9

WU Jing BNL527 Licensed Representative 1, 6

WU Jinghua BEO471 Licensed Representative 1

WU Jingsu BDF049 Licensed Representative 1, 4

WU Lin Sheng BNJ555 Licensed Representative 1, 4, 6

WU Ming Tung, Angus BNN099 Licensed Representative 9

WU Rundong BNI781 Licensed Representative 10

WU Wanling BNF152 Licensed Representative 1, 4, 6

WU Yajun BNH607 Licensed Representative 1, 4, 6

WU Yiwen BNH356 Licensed Representative 1, 2

XIA Dongsun BNJ745 Licensed Representative 1

XIA Xue BMW966 Licensed Representative 1

XIA Yilang BNI785 Licensed Representative 1, 4

XIANG Lu BNJ112 Licensed Representative 1, 4

XING Chongyang BNN388 Licensed Representative 4

XING Fan BNG640 Licensed Representative 1, 2

XIONG Jingyue BNC199 Licensed Representative 1, 6

XU Feili BNJ670 Licensed Representative 1, 4

XU Haitao AXS426 Licensed Representative 1, 6

XU Wei BNH130 Licensed Representative 1, 2

XU Zhichao BNJ183 Licensed Representative 1, 6

XU Zhuoyi BNH302 Licensed Representative 1, 4

YAMAKAWA Asako BFE367 Licensed Representative 1

YAN Ke BNG652 Licensed Representative 1, 4

YAN Minling BNI376 Licensed Representative 1

YANG Chen BNJ315 Licensed Representative 1, 6

YANG Haiwen BNI428 Licensed Representative 1

YANG Hoyeol BNN324 Licensed Representative 1, 9

YAO Yao BNG889 Licensed Representative 1, 4

YEUNG Chun Kit Oscar BNK835 Licensed Representative 1, 4, 9

YEUNG Nga Yan BNL126 Licensed Representative 1, 4, 9

YEUNG Wai Hung ARL945 Licensed Representative 1

YEUNG Yip Kei Freddy ASQ568 Licensed Representative 1

YIN Anna BNL579 Licensed Representative 1, 2

YIN Shuai BNJ291 Licensed Representative 9

YING Po Yee, Jessie ANB104 Licensed Representative 1

YIP Cheuk Kwan BNG570 Licensed Representative 4, 9

YIP Chi Yan, Christopher ALF219 Licensed Representative 4, 9

YIP Kit Hang BNJ378 Licensed Representative 1

YOO Jihyeon BNH154 Licensed Representative 1, 2

YOUNG Wai AFM340 Licensed Representative 1, 6

YU BAI Daniel BIK230 Licensed Representative 4, 9

YU Chin Wai, Bonny BLT876 Licensed Representative 1, 4

YU Daniel Ting Yao BMX868 Licensed Representative 1, 4, 9

YU Debra BNN116 Licensed Representative 1, 4, 6

YU Jie BNF382 Licensed Representative 1, 6

Page 12: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS ... · FAN Long: BNM963 Licensed Representative: 1, 6 FANG Chuang Yuan: BNK823 Licensed Representative: 9 FENG Jiahui: BNI978

Page 12 of 25

CE Name CE No. Licence Type Types of Regulated Activity

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2018

YU Mun Shan Pearl BNJ551 Licensed Representative 1, 6

YU Shuyao BJH798 Licensed Representative 1, 4, 6

YU Tak Wai Winnie BBH216 Licensed Representative 6

YU Zerong BNF870 Licensed Representative 1, 4, 9

YUAN Tianyu BNK425 Licensed Representative 1, 2

YUEN Wing Yee AQG441 Licensed Representative 4, 9

YUEN Yan Chi BIG336 Licensed Representative 4, 5

ZENG Duying BNH913 Licensed Representative 4, 9

ZHAN Yueying BNI774 Licensed Representative 1, 6

ZHANG Anqi BNJ849 Licensed Representative 1

ZHANG Chenbin BNM186 Licensed Representative 1, 4, 9

ZHANG Jie BNL500 Licensed Representative 1, 4

ZHANG Lingli BNL430 Licensed Representative 1, 6

ZHANG Linnan BNL378 Licensed Representative 1

ZHANG QI BNJ666 Licensed Representative 1, 4, 6

ZHANG Shuo BNL423 Licensed Representative 1

ZHANG Xingyun AYT719 Licensed Representative 10

ZHANG Yan BND768 Licensed Representative 1, 4, 6

ZHANG Yibo AZX335 Licensed Representative 1, 4

ZHANG Yilei BNL465 Licensed Representative 4, 6

ZHANG Yu BNH447 Licensed Representative 1, 4

ZHANG Yue BNL473 Licensed Representative 4, 5, 9

ZHANG Yujia BNJ947 Licensed Representative 4

ZHANG Yundi BNH374 Licensed Representative 2, 5

ZHANG Yunxi BNJ669 Licensed Representative 1, 4

ZHAO Danni BBE751 Licensed Representative 1, 4

ZHAO Dongfang BNK367 Licensed Representative 1, 6

ZHAO Lin BNJ907 Licensed Representative 10

ZHAO Mianlu BNG698 Licensed Representative 4

ZHAO Qing BNC883 Licensed Representative 1, 2

ZHAO Tianning BNI991 Licensed Representative 1, 4

ZHAO Xiao Le AGC972 Licensed Representative 1

ZHEN Yanqing BNH342 Licensed Representative 1

ZHENG Ruifeng BNJ941 Licensed Representative 1, 4

ZHENG Yi BNJ836 Licensed Representative 1, 2

ZHONG Jie BNJ751 Licensed Representative 1, 2

ZHOU Huan BNL587 Licensed Representative 1

ZHOU Kai Feng BNJ486 Licensed Representative 1

ZHOU Shuoying BNG897 Licensed Representative 1, 4, 6

ZHOU Yuhao BNM901 Licensed Representative 4, 9

ZHOU Zhicheng BNJ995 Licensed Representative 1, 4

ZHU Kexin BNJ818 Licensed Representative 4

ZHU Ting BNC885 Licensed Representative 2, 5

ZHU Wei BNH083 Licensed Representative 1, 4, 9

ZHU Xiaokang BNL517 Licensed Representative 1, 6

ZHU Yiqing BNF384 Licensed Representative 1, 4, 6

ZHU Yue Cindy BNJ559 Licensed Representative 6

ZOU Bingfeng BNG012 Licensed Representative 4, 9

ZOU Yutong BNI783 Licensed Representative 10

AN Bin AUN707 Licensed Representative - Responsible Officer 9

BIN Guoqiang BNG046 Licensed Representative - Responsible Officer 4, 9

CAI Wei AKI200 Licensed Representative - Responsible Officer 1, 6

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Page 13 of 25

CE Name CE No. Licence Type Types of Regulated Activity

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2018

CHAN Kon Kai ADW708 Licensed Representative - Responsible Officer 9

CHAN Wei Beng ABX133 Licensed Representative - Responsible Officer 1, 4, 9

CHANDLER Michael Lee AGC927 Licensed Representative - Responsible Officer 1

CHEUNG Wing Hong Shannon AEL680 Licensed Representative - Responsible Officer 1

CHONG Hey AXK219 Licensed Representative - Responsible Officer 1, 4

CHUI Loong Chik, Nelson AGP035 Licensed Representative - Responsible Officer 4, 9

CHUN Ka Yee, Angela AFW118 Licensed Representative - Responsible Officer 9

DING Michael B BEC499 Licensed Representative - Responsible Officer 4, 9

DODD Simon John AMX566 Licensed Representative - Responsible Officer 1, 2

FAN Kai BNA760 Licensed Representative - Responsible Officer 9

GANDON Romain Henri Francois AWI827 Licensed Representative - Responsible Officer 4, 5

GAO Bing BLZ743 Licensed Representative - Responsible Officer 4, 9

GOKHALE Prashant Achyut AGO373 Licensed Representative - Responsible Officer 4

GU Ziqiao BMW241 Licensed Representative - Responsible Officer 4, 9

JACOB Josh Purackal AWN394 Licensed Representative - Responsible Officer 1, 4

JIA Hongrui BFZ382 Licensed Representative - Responsible Officer 1, 4, 6, 9

KWOK Sze Kong AJO748 Licensed Representative - Responsible Officer 4, 9

LAI Ming Hon, Justin AWY011 Licensed Representative - Responsible Officer 9

LAU Chi Yin BND487 Licensed Representative - Responsible Officer 1

LEUNG Chin Ho BJH258 Licensed Representative - Responsible Officer 4, 9

LIANG Sihai BMQ165 Licensed Representative - Responsible Officer 1, 4

LU Zhichao BBH879 Licensed Representative - Responsible Officer 9

MASANAO Tomoya BNH754 Licensed Representative - Responsible Officer 1, 4, 9

MEI Shengan BMW544 Licensed Representative - Responsible Officer 4, 9

NG Tan Hung Charlotte AGH833 Licensed Representative - Responsible Officer 1, 6

PAN Hong BMX630 Licensed Representative - Responsible Officer 9

PEI Guanqing BNG393 Licensed Representative - Responsible Officer 4, 9

PELLIER Alain Jean-Claude AWI823 Licensed Representative - Responsible Officer 4, 5

QI Shiyuan BMW820 Licensed Representative - Responsible Officer 9

SCHABEL Walter Friedrich AWW208 Licensed Representative - Responsible Officer 9

SHI Zhan BMQ171 Licensed Representative - Responsible Officer 1, 4

TAN Kai BFC674 Licensed Representative - Responsible Officer 4, 5, 9

TILANI Raveen Lachmandas BMW821 Licensed Representative - Responsible Officer 9

WANG Da Qing BAB056 Licensed Representative - Responsible Officer 9

WANG Yaowu BGK551 Licensed Representative - Responsible Officer 1, 2, 4, 6, 9

WONG Chung Mun AAA153 Licensed Representative - Responsible Officer 1, 2, 3, 4, 5, 9

YANG Guang AMI593 Licensed Representative - Responsible Officer 9

YANG Yong AYJ431 Licensed Representative - Responsible Officer 9

ZHANG Cong BLX820 Licensed Representative - Responsible Officer 4, 9

ZHU Lei BNH645 Licensed Representative - Responsible Officer 1, 4, 9

ABRAMOWITZ Alex Myles BNN479 Licensed Representative (Provisional Licence) 1, 4, 6

ADAMS Michael Geoffrey William AVO883 Licensed Representative (Provisional Licence) 1, 6

AKITO Shuichi BNN806 Licensed Representative (Provisional Licence) 2, 5

Amit Singh BNN372 Licensed Representative (Provisional Licence) 1

ARIMA Daiki BNL586 Licensed Representative (Provisional Licence) 1, 4, 6

ARTHUR Anthony James BNM919 Licensed Representative (Provisional Licence) 1, 4

ASHWORTH William David BBN729 Licensed Representative (Provisional Licence) 1, 4

AU Ka Chun BNO609 Licensed Representative (Provisional Licence) 1

AU Sau Ha BNO579 Licensed Representative (Provisional Licence) 1, 4

BAI Jie BGB222 Licensed Representative (Provisional Licence) 1, 4, 6

BANGLANI Saurabh BNN025 Licensed Representative (Provisional Licence) 1

BAO Shijie BNN323 Licensed Representative (Provisional Licence) 4, 5, 9

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Page 14 of 25

CE Name CE No. Licence Type Types of Regulated Activity

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2018

BAO Weiwei AYS974 Licensed Representative (Provisional Licence) 4, 9

BERDER Antoine Eric Francois Marie BNN308 Licensed Representative (Provisional Licence) 1, 4, 9

BOSMA Wouter Hendrikus Nicolaas BNO573 Licensed Representative (Provisional Licence) 1, 2, 7

BRAND Mathieu Edouard Nicolas BNO502 Licensed Representative (Provisional Licence) 6

BROWN Mark Sturdevant BNH642 Licensed Representative (Provisional Licence) 4

CAI Han BNO401 Licensed Representative (Provisional Licence) 4

CAMPBELL David John ASM179 Licensed Representative (Provisional Licence) 1

CHAN Alison Chiu Yu BNO027 Licensed Representative (Provisional Licence) 1, 4

CHAN Janice Wing Yee APV159 Licensed Representative (Provisional Licence) 4, 9

CHAN Kon Kai ADW708 Licensed Representative (Provisional Licence) 9

CHAN Kwok Tat, Daryl ACP833 Licensed Representative (Provisional Licence) 1, 2

CHAN Lai Yin BNN404 Licensed Representative (Provisional Licence) 1, 2, 3

CHAN Mo Tze, Wendy AFL901 Licensed Representative (Provisional Licence) 1, 4

CHAN Po Ming BLK193 Licensed Representative (Provisional Licence) 1, 2, 3

CHAN Sau Shan AGC410 Licensed Representative (Provisional Licence) 4, 9

CHAN See Chun BNP412 Licensed Representative (Provisional Licence) 1, 2

CHAN Woei BFA802 Licensed Representative (Provisional Licence) 9

CHANG Chih Jou BNP020 Licensed Representative (Provisional Licence) 1, 4, 6

CHAO Yi BNI723 Licensed Representative (Provisional Licence) 1, 4

CHEN Agnes AWB693 Licensed Representative (Provisional Licence) 1, 4, 9

CHEN Da BNL355 Licensed Representative (Provisional Licence) 1, 4, 6

CHEN Long BNN107 Licensed Representative (Provisional Licence) 1, 4, 9

CHEN Minzhi AYJ302 Licensed Representative (Provisional Licence) 1, 4

CHEN Ping AIB835 Licensed Representative (Provisional Licence) 1, 2, 4, 5

CHEN Sijia BGL658 Licensed Representative (Provisional Licence) 1, 4, 6

CHEN Wei Lun BNP013 Licensed Representative (Provisional Licence) 1, 4, 6

CHEN Yau Ming BNM201 Licensed Representative (Provisional Licence) 1, 4, 6

CHEN Yilan BNP022 Licensed Representative (Provisional Licence) 1, 4, 6

CHEN Yingyong BNL497 Licensed Representative (Provisional Licence) 9

CHEN Zhexu BNO686 Licensed Representative (Provisional Licence) 1, 4, 6

CHENG Ka Yan BNO768 Licensed Representative (Provisional Licence) 2, 5

CHENG Karen BNP158 Licensed Representative (Provisional Licence) 1, 6

CHENG Liu BNN573 Licensed Representative (Provisional Licence) 1, 2, 4

CHENG Wai Bun ARD828 Licensed Representative (Provisional Licence) 2

CHENG Xiaohan BNO501 Licensed Representative (Provisional Licence) 4

CHENG Yin-Ting BNO320 Licensed Representative (Provisional Licence) 1, 4, 9

CHEUNG Hor Yee, Patricia ANE746 Licensed Representative (Provisional Licence) 1, 4, 9

CHEUNG Siu Man BNO146 Licensed Representative (Provisional Licence) 1, 4

CHEUNG Tsung On Steven BNN717 Licensed Representative (Provisional Licence) 1, 4

CHEUNG Wing Ho, Billy ACJ034 Licensed Representative (Provisional Licence) 1, 4

CHEUNG Yau Lung AQA982 Licensed Representative (Provisional Licence) 1, 9

CHEUNG Yee Shun, Wilson AOJ215 Licensed Representative (Provisional Licence) 1

CHIN Sze Wei BNN527 Licensed Representative (Provisional Licence) 1, 4, 9

CHIRAPAISARNKUL Arin BNK986 Licensed Representative (Provisional Licence) 1, 2

CHIU Chun Yu BNO286 Licensed Representative (Provisional Licence) 1, 2

CHIU Dicken BNJ014 Licensed Representative (Provisional Licence) 4, 9

CHIU Lai Tim BNO181 Licensed Representative (Provisional Licence) 1

CHO Jung Hyung APA430 Licensed Representative (Provisional Licence) 4, 9

CHOI Man Choi Celia BNO807 Licensed Representative (Provisional Licence) 1

CHOI Ming Tai BDC658 Licensed Representative (Provisional Licence) 1, 4

CHOI Miu Wa BNO944 Licensed Representative (Provisional Licence) 1, 4

CHOI Wing Fai Sanus BNL574 Licensed Representative (Provisional Licence) 4, 9

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Page 15 of 25

CE Name CE No. Licence Type Types of Regulated Activity

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2018

CHOI Yu Pong BNN718 Licensed Representative (Provisional Licence) 1

CHOI Yujin Chloe ATO430 Licensed Representative (Provisional Licence) 1, 2

CHOU Yun-san BNN782 Licensed Representative (Provisional Licence) 1, 6

CHOW Lok Yim BNN348 Licensed Representative (Provisional Licence) 1, 4, 6

CHOW Wa Shing BNO669 Licensed Representative (Provisional Licence) 1, 6

CHOW Wing Nga Alison AXR663 Licensed Representative (Provisional Licence) 1

CHU Shan Shan, Marjorie AJK801 Licensed Representative (Provisional Licence) 1, 4, 9

CHUI Lai Chun Hadiee BKK042 Licensed Representative (Provisional Licence) 1

CHUNG Chi Ho BNP023 Licensed Representative (Provisional Licence) 1

CHUNG Ka Yu BNO907 Licensed Representative (Provisional Licence) 10

CHUNG Yan Yee, Andrew ACW577 Licensed Representative (Provisional Licence) 4

COCHI Xavier Claude Andre BNM946 Licensed Representative (Provisional Licence) 1, 2

COCHRANE Samuel Thomas BNJ872 Licensed Representative (Provisional Licence) 1, 2, 7

COULDREY Ranulf David Richard BKY385 Licensed Representative (Provisional Licence) 1, 4

DAYAL Rohan BNO412 Licensed Representative (Provisional Licence) 1, 6

DENG Yu BNP015 Licensed Representative (Provisional Licence) 1

DING Ning BNN540 Licensed Representative (Provisional Licence) 1, 4

DONG Jingjing BNN569 Licensed Representative (Provisional Licence) 1, 4, 6

DU Haiyang BNO911 Licensed Representative (Provisional Licence) 6

DU PLESSIS Kim Alexandra BNO800 Licensed Representative (Provisional Licence) 1, 4

DU Wei BNO592 Licensed Representative (Provisional Licence) 4

DUBIN Jared Ross BNN537 Licensed Representative (Provisional Licence) 9

DUNYACH Quentin Jean-jacques BNP199 Licensed Representative (Provisional Licence) 1, 4

FONG Yuen Yi BNO898 Licensed Representative (Provisional Licence) 10

FRAIRE Matias Gabriel BNM192 Licensed Representative (Provisional Licence) 1, 6

FRICK Thomas Rhoads BFJ278 Licensed Representative (Provisional Licence) 4, 9

FU Tianye BNH822 Licensed Representative (Provisional Licence) 1, 4, 6

GAO Boyang BNO889 Licensed Representative (Provisional Licence) 10

GAO Lu BNO307 Licensed Representative (Provisional Licence) 1, 2

GAO Wen BHR562 Licensed Representative (Provisional Licence) 4

GARG Sameer BND258 Licensed Representative (Provisional Licence) 9

GENG Jiachen BNM912 Licensed Representative (Provisional Licence) 1, 4, 9

GO Ka Ho, Jason BNO016 Licensed Representative (Provisional Licence) 6

GOH Kia Lin AOQ774 Licensed Representative (Provisional Licence) 1

GOUGH James Ashley Peter AHJ403 Licensed Representative (Provisional Licence) 1, 2, 7

GRAFTON James Christopher AQJ413 Licensed Representative (Provisional Licence) 1

GU Lijian BNO716 Licensed Representative (Provisional Licence) 1, 4, 6

GUEST Oliver Benjamin BNP459 Licensed Representative (Provisional Licence) 1

GUO Ge BNO197 Licensed Representative (Provisional Licence) 4, 9

GUO Xinlong BNN747 Licensed Representative (Provisional Licence) 1, 4, 9

GUO Yifan BNG244 Licensed Representative (Provisional Licence) 4

GUO Zhen BNN906 Licensed Representative (Provisional Licence) 4

GUO Zhijian BNM903 Licensed Representative (Provisional Licence) 1

HAO Boyuan BNM908 Licensed Representative (Provisional Licence) 1, 4, 9

HAO Jimmy Hsien Yi ATM933 Licensed Representative (Provisional Licence) 1, 4, 9

HE Lizhou BNP170 Licensed Representative (Provisional Licence) 1, 4, 9

HE Min AZK772 Licensed Representative (Provisional Licence) 1, 4

HE Shan BNO483 Licensed Representative (Provisional Licence) 1, 4

HE Sida BNN764 Licensed Representative (Provisional Licence) 1, 6

HE Yingzhuang BNO186 Licensed Representative (Provisional Licence) 1, 2, 4

HIRST Linmarie BNM172 Licensed Representative (Provisional Licence) 2, 5

HO Choy Mei Sarah BNO303 Licensed Representative (Provisional Licence) 1, 2

Page 16: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS ... · FAN Long: BNM963 Licensed Representative: 1, 6 FANG Chuang Yuan: BNK823 Licensed Representative: 9 FENG Jiahui: BNI978

Page 16 of 25

CE Name CE No. Licence Type Types of Regulated Activity

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2018

HO Kar Ming BNN793 Licensed Representative (Provisional Licence) 1, 2

HO Lok Lam BNN771 Licensed Representative (Provisional Licence) 1

HO Ting Lok BNN775 Licensed Representative (Provisional Licence) 1, 4

HOLMES John Palmer ADW190 Licensed Representative (Provisional Licence) 4, 9

HSIA Wucheng BNJ760 Licensed Representative (Provisional Licence) 4

HU Hanwen BDZ919 Licensed Representative (Provisional Licence) 1, 6

HU Qiuyu BNM917 Licensed Representative (Provisional Licence) 4

HU Wai Lee, Barry AHF352 Licensed Representative (Provisional Licence) 1

HU Zhen BNM906 Licensed Representative (Provisional Licence) 4, 5, 9

HU Zhihui BNN545 Licensed Representative (Provisional Licence) 9

HUA Shitian BMQ575 Licensed Representative (Provisional Licence) 1, 4, 6

HUANG Kaihong BNJ746 Licensed Representative (Provisional Licence) 4

HUANG Kunqi BNN760 Licensed Representative (Provisional Licence) 1, 6

HUANG Xin BMV679 Licensed Representative (Provisional Licence) 6

HUANG Yingcong BNN967 Licensed Representative (Provisional Licence) 1

HUNG Chun Ho BNO534 Licensed Representative (Provisional Licence) 1, 2

HUO Dengjin BAN046 Licensed Representative (Provisional Licence) 6

IWAO Kentaro BLC869 Licensed Representative (Provisional Licence) 1, 2

IYER Ananthanarayan Srinivasan BNL005 Licensed Representative (Provisional Licence) 2, 5

JAIN Shubham BNM913 Licensed Representative (Provisional Licence) 9

JIAN Qiao BNO564 Licensed Representative (Provisional Licence) 1, 4, 6

JIANG Di BNN791 Licensed Representative (Provisional Licence) 1, 6

JIANG Haiyuan BNK729 Licensed Representative (Provisional Licence) 1, 2, 4

JIANG Xuefeng BNN572 Licensed Representative (Provisional Licence) 1, 4

JIM Lik Fu BNN109 Licensed Representative (Provisional Licence) 1, 4, 5, 9

JIN Jiaqi BNN353 Licensed Representative (Provisional Licence) 1, 2

JOSHI Deepak AZI921 Licensed Representative (Provisional Licence) 1, 2

JUAN Hillary Ching BNM921 Licensed Representative (Provisional Licence) 1, 4

JUNG Yi-Ping ATR846 Licensed Representative (Provisional Licence) 4

KAMPMAN Onno Pepijn BNN300 Licensed Representative (Provisional Licence) 1, 2, 7

KAN Ching Fai, Mark BNN853 Licensed Representative (Provisional Licence) 1, 4, 9

KANG Haojun BNO596 Licensed Representative (Provisional Licence) 1, 4

KANG Seokwon BNK675 Licensed Representative (Provisional Licence) 1, 4

KANG Seung Yeon BNN541 Licensed Representative (Provisional Licence) 1, 4

KANG You Jin BNN544 Licensed Representative (Provisional Licence) 1, 4

KAO Wan Ling Eileen BNN694 Licensed Representative (Provisional Licence) 1, 4, 5, 9

KARWAL Vijay Paul ASS433 Licensed Representative (Provisional Licence) 1, 4, 6

KEDIA Prashant Alok BNN909 Licensed Representative (Provisional Licence) 1

KELLY BMT541 Licensed Representative (Provisional Licence) 1, 4

KIM Jee Suk BFD119 Licensed Representative (Provisional Licence) 1, 2, 4

KIM Min Soo BNP458 Licensed Representative (Provisional Licence) 4, 9

KIM Warren Ho-Joong AVY508 Licensed Representative (Provisional Licence) 1

KLEIN TANK Alexander Henricus Antonius BNN177 Licensed Representative (Provisional Licence) 9

KO Wing Man BNO090 Licensed Representative (Provisional Licence) 9

KOTECHA Anuj Ashok AXS269 Licensed Representative (Provisional Licence) 1

KUBOTA Akiko BNJ337 Licensed Representative (Provisional Licence) 1, 2, 9

KUMAR Amit BNM182 Licensed Representative (Provisional Licence) 1

LAI Ming Yan BNK808 Licensed Representative (Provisional Licence) 6

LAI Tung Shing BNP374 Licensed Representative (Provisional Licence) 1, 2

LAM Choi Ha AED681 Licensed Representative (Provisional Licence) 1, 4

LAM Gary Kang Wai BAT451 Licensed Representative (Provisional Licence) 1, 4, 9

LAM Kong Wah BNO549 Licensed Representative (Provisional Licence) 1, 2, 4, 9

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Page 17 of 25

CE Name CE No. Licence Type Types of Regulated Activity

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2018

LAM Sin BNK383 Licensed Representative (Provisional Licence) 1, 6

LAM Wing Sze BAK601 Licensed Representative (Provisional Licence) 1

LAU Hoi Chi BGN354 Licensed Representative (Provisional Licence) 3

LAU Chi Hong BNO588 Licensed Representative (Provisional Licence) 4, 9

LAU Chun Ho BNO450 Licensed Representative (Provisional Licence) 1

LE Xuan Hai Au BNN722 Licensed Representative (Provisional Licence) 1, 3

LEE Eun Young APW799 Licensed Representative (Provisional Licence) 4

LEE Heng Wei BNN844 Licensed Representative (Provisional Licence) 1, 6

LEE Kai Xuan Almeric BNJ622 Licensed Representative (Provisional Licence) 1

LEE Pei Zhen Shynna April BNJ257 Licensed Representative (Provisional Licence) 1, 2, 3

LEE Siu Lun, Stanley BKZ014 Licensed Representative (Provisional Licence) 1, 2

LEE Wai Ling BNM266 Licensed Representative (Provisional Licence) 4

LEUNG Chi Man Fred BNN959 Licensed Representative (Provisional Licence) 1, 2, 4

LEUNG Chun Yin, Edwin AXW272 Licensed Representative (Provisional Licence) 4, 9

LEUNG Hoi Yan BNO070 Licensed Representative (Provisional Licence) 1, 2

LEUNG Kiu Sum ALI069 Licensed Representative (Provisional Licence) 9

LEUNG Wai Chung BNO002 Licensed Representative (Provisional Licence) 1, 2, 3, 4

LEUNG Wing Shan BNM218 Licensed Representative (Provisional Licence) 4

LI Ang BNN210 Licensed Representative (Provisional Licence) 1, 4

LI Cheng BNO577 Licensed Representative (Provisional Licence) 1, 4

LI Chengda BNP167 Licensed Representative (Provisional Licence) 1

LI Chi Wa BNN723 Licensed Representative (Provisional Licence) 1, 2

LI Dengji BMT588 Licensed Representative (Provisional Licence) 1, 6

LI Jingyi BNN754 Licensed Representative (Provisional Licence) 1, 6

LI Renwang BNN146 Licensed Representative (Provisional Licence) 4, 9

LI Rong BNF381 Licensed Representative (Provisional Licence) 1, 2

LI Seymour BNO608 Licensed Representative (Provisional Licence) 1, 6

LI Shuangxing BGC184 Licensed Representative (Provisional Licence) 1, 9

LI Shuhao BNO837 Licensed Representative (Provisional Licence) 6

LI Xianglong BNN295 Licensed Representative (Provisional Licence) 1, 4

LI Yuanshan BNN773 Licensed Representative (Provisional Licence) 1

LI Yuk Kwan BNM904 Licensed Representative (Provisional Licence) 6

LI Yunlu BNN133 Licensed Representative (Provisional Licence) 1, 4, 6

LI Yuyang BNN892 Licensed Representative (Provisional Licence) 1, 4, 6

LI Ziyue BNO562 Licensed Representative (Provisional Licence) 1, 4

LIANG Qingyang BNN877 Licensed Representative (Provisional Licence) 1, 6

LIANG Wenqian BNH880 Licensed Representative (Provisional Licence) 1, 4, 6

LIANG Yuanyuan BNL111 Licensed Representative (Provisional Licence) 10

LIAO Shuchen BNF982 Licensed Representative (Provisional Licence) 1, 4, 6

LIAO Yixing BNN849 Licensed Representative (Provisional Licence) 1, 6

LIM In Ja ANT250 Licensed Representative (Provisional Licence) 1, 4, 6

LIN Huijuan BNM899 Licensed Representative (Provisional Licence) 4, 9

LIN Tong BNO843 Licensed Representative (Provisional Licence) 6

LIN Xinxiang, Leroy BNL351 Licensed Representative (Provisional Licence) 2, 5

LING Yee Man, May ANG116 Licensed Representative (Provisional Licence) 1, 2

LIU Chengxuan BNL367 Licensed Representative (Provisional Licence) 1, 4, 6

LIU Ho Fung Alvin BNN657 Licensed Representative (Provisional Licence) 9

LIU Hongyu BNG545 Licensed Representative (Provisional Licence) 1, 4, 6

LIU Jing BNO984 Licensed Representative (Provisional Licence) 1, 4

LIU Jingyi BNO058 Licensed Representative (Provisional Licence) 1, 2

LIU Jining BNK980 Licensed Representative (Provisional Licence) 1, 6

LIU Lianrui BNO584 Licensed Representative (Provisional Licence) 1, 6

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Page 18 of 25

CE Name CE No. Licence Type Types of Regulated Activity

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2018

LIU Qiong BNN250 Licensed Representative (Provisional Licence) 4, 5, 9

LIU Shuyi BNL432 Licensed Representative (Provisional Licence) 1, 4

LIU Wujun BNL008 Licensed Representative (Provisional Licence) 1, 4, 6

LIU Xiyu BNN606 Licensed Representative (Provisional Licence) 4, 9

LIU Xiyuan BNO403 Licensed Representative (Provisional Licence) 1, 4

LIU Yang BNO842 Licensed Representative (Provisional Licence) 1, 6

LIU Yixi BNN401 Licensed Representative (Provisional Licence) 1

LIU Zhengye BNN048 Licensed Representative (Provisional Licence) 1, 4, 6

LIU Zongyuan BNO601 Licensed Representative (Provisional Licence) 6

LONG Felicity Louise BNO374 Licensed Representative (Provisional Licence) 1

LOU Yilin BNO289 Licensed Representative (Provisional Licence) 1, 6

LU Na BNP594 Licensed Representative (Provisional Licence) 1

LU Yue BNN209 Licensed Representative (Provisional Licence) 1, 4, 6

LU Zhuoyi BNP024 Licensed Representative (Provisional Licence) 1, 6

LUDEMA Gregory Alan BNO917 Licensed Representative (Provisional Licence) 1, 2

LUI Marie Carrilyn BNK815 Licensed Representative (Provisional Licence) 1, 4, 6

LUN Nga See BNL195 Licensed Representative (Provisional Licence) 1, 4, 6

LUO Cheng BNO774 Licensed Representative (Provisional Licence) 1, 4, 6

LUO Chengjie BNO981 Licensed Representative (Provisional Licence) 1, 4

LUO Sha BNL483 Licensed Representative (Provisional Licence) 1, 4, 6

LYU Jinling BNN450 Licensed Representative (Provisional Licence) 1, 6

MA Li BNN862 Licensed Representative (Provisional Licence) 1, 6

MAHIDHARA Radhika BNN231 Licensed Representative (Provisional Licence) 1

MAN Chi Hung BNO069 Licensed Representative (Provisional Licence) 1, 2, 4

MAXWELL Olivia Louise BNJ619 Licensed Representative (Provisional Licence) 1, 2

MCWILLIAM James Richard AVY126 Licensed Representative (Provisional Licence) 1

MELHUISH Alexandra Hero Catriona BNN589 Licensed Representative (Provisional Licence) 1, 4

MEN Zhaoyang BNG215 Licensed Representative (Provisional Licence) 9

MITSUSADA Kenji BAC404 Licensed Representative (Provisional Licence) 1, 9

MOTWANI Romil Ramesh BNO709 Licensed Representative (Provisional Licence) 1

MU Yihan BNN643 Licensed Representative (Provisional Licence) 4, 9

MUI Jonathan BNN406 Licensed Representative (Provisional Licence) 1, 4, 9

NAGAI Yuichiro BNK088 Licensed Representative (Provisional Licence) 4

NAKABAYASHI Mitsugu BNJ261 Licensed Representative (Provisional Licence) 1, 4, 6

NG Tsun Ming BNN908 Licensed Representative (Provisional Licence) 1

NGOH You'an AWB831 Licensed Representative (Provisional Licence) 9

OH Sang Hoon AXH658 Licensed Representative (Provisional Licence) 4

OU Wenxu BNO293 Licensed Representative (Provisional Licence) 1, 4, 9

PAN Jie BNO111 Licensed Representative (Provisional Licence) 1

PAN Ninghe BNH310 Licensed Representative (Provisional Licence) 4

PAN Ying BGE440 Licensed Representative (Provisional Licence) 4

PARK Min AFA670 Licensed Representative (Provisional Licence) 1, 2, 4, 5

PARK Yoo Bin BNO892 Licensed Representative (Provisional Licence) 1, 2, 7

PATEL Ajay Bhupendra BNN966 Licensed Representative (Provisional Licence) 1

PENG Jianhong BNN213 Licensed Representative (Provisional Licence) 4, 9

PENG Kuijian BNN386 Licensed Representative (Provisional Licence) 1, 2

PRACHAKIT Lalitta BNN396 Licensed Representative (Provisional Licence) 1

PU Der-Yu BNO719 Licensed Representative (Provisional Licence) 4

PUN Yu San AXT651 Licensed Representative (Provisional Licence) 1, 2

QI Linna BNO050 Licensed Representative (Provisional Licence) 6

QIAN Yewen ASP246 Licensed Representative (Provisional Licence) 1, 6

QIAO Lu BNP245 Licensed Representative (Provisional Licence) 1, 4, 6

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Page 19 of 25

CE Name CE No. Licence Type Types of Regulated Activity

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2018

QIN Yu BNL547 Licensed Representative (Provisional Licence) 1, 6

QU Jiaqi BGH782 Licensed Representative (Provisional Licence) 1, 6

RAMAMOORTHY Swapna BNH701 Licensed Representative (Provisional Licence) 1, 2

RATHI Sourabh BNN322 Licensed Representative (Provisional Licence) 1, 2, 7

RIDLEY Barry Steven AQX335 Licensed Representative (Provisional Licence) 1

RU Tao AZP245 Licensed Representative (Provisional Licence) 1, 6

SADHUKHAN Subhankar BNH967 Licensed Representative (Provisional Licence) 9

SAKAGUCHI Junichi BNL516 Licensed Representative (Provisional Licence) 1, 4, 9

SANTOSH KAMAT Karthik BNN560 Licensed Representative (Provisional Licence) 1, 2

SASAJIMA Katsuhito BNN182 Licensed Representative (Provisional Licence) 1

SAXENA Akshay BNO869 Licensed Representative (Provisional Licence) 1, 4, 6

SHANG Ning AVL540 Licensed Representative (Provisional Licence) 1, 4, 9

SHAO Yi BNN841 Licensed Representative (Provisional Licence) 1, 6

SHEN Jinting BNP257 Licensed Representative (Provisional Licence) 4, 9

SHI Chen BNP131 Licensed Representative (Provisional Licence) 1, 6

SHI Ruichao ATH910 Licensed Representative (Provisional Licence) 9

SIU Liz BNO782 Licensed Representative (Provisional Licence) 1, 2

SMITH Robert Adam BCB694 Licensed Representative (Provisional Licence) 1, 4

SO Eunjae BNK454 Licensed Representative (Provisional Licence) 4

SPUNGIN Charles Adrian Edward BNH017 Licensed Representative (Provisional Licence) 1, 4, 9

SU Dong BNO602 Licensed Representative (Provisional Licence) 1, 4

SUBRAMONIAM Sunita BDZ962 Licensed Representative (Provisional Licence) 1, 4

SUEN Chak Yeung AUB978 Licensed Representative (Provisional Licence) 1, 2, 4

SUEN Kar Man Christine BNO921 Licensed Representative (Provisional Licence) 4, 9

SUN Qiong BNJ871 Licensed Representative (Provisional Licence) 1, 2

SUN Xinyue BNN093 Licensed Representative (Provisional Licence) 1, 4

SUNDARAM Santhosh Kumar BNO086 Licensed Representative (Provisional Licence) 1, 4

TAI Te-Chun AIB824 Licensed Representative (Provisional Licence) 1, 2, 4, 5

TAI Wai Lok BNO979 Licensed Representative (Provisional Licence) 1

TAKAMI Yuta BNK971 Licensed Representative (Provisional Licence) 1, 2

TAM Justin Man Ho BNN907 Licensed Representative (Provisional Licence) 1, 2

TAM Pak Chuen AAE860 Licensed Representative (Provisional Licence) 1

TAM Tsz Shing AJO423 Licensed Representative (Provisional Licence) 1

TAM Yue Fong Natalie BNL094 Licensed Representative (Provisional Licence) 1, 2, 9

TAN Deyi APZ847 Licensed Representative (Provisional Licence) 1, 4, 5

TAN Jeffrey Wei Sing AGN701 Licensed Representative (Provisional Licence) 1, 4

TAN Wei Chong Fabian BNO712 Licensed Representative (Provisional Licence) 6

TAN Zhuo BNM972 Licensed Representative (Provisional Licence) 4

TANG Lai Woon BNO297 Licensed Representative (Provisional Licence) 1

TANG Tat Hung Darren BKA592 Licensed Representative (Provisional Licence) 1, 2

TANI Kenichiro ANZ614 Licensed Representative (Provisional Licence) 1

TAO Xiaojue BNI839 Licensed Representative (Provisional Licence) 1, 2, 4, 5

THEAGESAN Sumita BNO593 Licensed Representative (Provisional Licence) 1, 4

TIAN Yu BNM995 Licensed Representative (Provisional Licence) 1, 6

TO Yuen Ting BIS544 Licensed Representative (Provisional Licence) 1, 4, 9

TONG Cheng BNM260 Licensed Representative (Provisional Licence) 1, 4, 9

TOW Wen Wei BNM175 Licensed Representative (Provisional Licence) 1, 4, 9

TOWNSEND Tomasz Gary BNN795 Licensed Representative (Provisional Licence) 1

TSAI Che Nan BNN713 Licensed Representative (Provisional Licence) 9

TSAI Song-Yi BNP094 Licensed Representative (Provisional Licence) 1, 2

TSAI Tsung Lin BNO015 Licensed Representative (Provisional Licence) 1, 4

TSANG Ching Fai AIO026 Licensed Representative (Provisional Licence) 1, 4

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Page 20 of 25

CE Name CE No. Licence Type Types of Regulated Activity

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2018

TSANG Ka Ho BGB435 Licensed Representative (Provisional Licence) 1, 2

TSANG Sek Yan BFK484 Licensed Representative (Provisional Licence) 10

TSE Ka Shing Jason BNO867 Licensed Representative (Provisional Licence) 1, 4, 6

TSENG Hsiu Chun BNO682 Licensed Representative (Provisional Licence) 1, 4

TURNER Alexandra Louise BGM618 Licensed Representative (Provisional Licence) 1

VEYRET Pierre BNO571 Licensed Representative (Provisional Licence) 1, 2

VINCENT Pierre-victor Nicolas Marie BNO849 Licensed Representative (Provisional Licence) 2

WAN Ka Yee BNO591 Licensed Representative (Provisional Licence) 1

WAN Pak Hang BNC266 Licensed Representative (Provisional Licence) 9

WANG Guofan BHU040 Licensed Representative (Provisional Licence) 4

WANG James Zong Hao BNP171 Licensed Representative (Provisional Licence) 4

WANG Lei BNN451 Licensed Representative (Provisional Licence) 1, 4

WANG Luoduan BNO717 Licensed Representative (Provisional Licence) 1, 4, 6

WANG Mengyao BNO283 Licensed Representative (Provisional Licence) 1, 4, 6

WANG Shiyan BDP424 Licensed Representative (Provisional Licence) 4

WANG Shujie BNP253 Licensed Representative (Provisional Licence) 4

WANG Tai Jen BNP287 Licensed Representative (Provisional Licence) 1

WANG Tianfang BNN586 Licensed Representative (Provisional Licence) 1, 6

WANG Ting BNJ934 Licensed Representative (Provisional Licence) 1, 4

WANG Wei BNO306 Licensed Representative (Provisional Licence) 4, 9

WANG Xiaolei BNN901 Licensed Representative (Provisional Licence) 1, 4

WANG Yanxu BNO691 Licensed Representative (Provisional Licence) 1, 4, 9

WANG Yi BNN211 Licensed Representative (Provisional Licence) 4

WANG Yichen BNJ874 Licensed Representative (Provisional Licence) 1, 2, 7

WANG Yueh-wen BNL353 Licensed Representative (Provisional Licence) 2, 5

WANG Zhaoqiang BNM252 Licensed Representative (Provisional Licence) 4, 9

WANG Zihao BNM203 Licensed Representative (Provisional Licence) 4, 9

WAT Tsun Tao BNO906 Licensed Representative (Provisional Licence) 1, 4

WEE Liang Sin AHK048 Licensed Representative (Provisional Licence) 1, 4

WEI Chao BNO688 Licensed Representative (Provisional Licence) 1, 2

WONG Cheuk Kwan BCT992 Licensed Representative (Provisional Licence) 9

WONG Chi Tung, Sam BFU597 Licensed Representative (Provisional Licence) 1

WONG Chun Hei BNP562 Licensed Representative (Provisional Licence) 1, 6

WONG Chung Mun AAA153 Licensed Representative (Provisional Licence) 1, 2, 3, 4, 5, 9

WONG Fong Ki BNN662 Licensed Representative (Provisional Licence) 1, 4

WONG Hau Ting Shirley BNN912 Licensed Representative (Provisional Licence) 1, 2

WONG Ken Wei AIR851 Licensed Representative (Provisional Licence) 1, 6

WONG Ki Ming BEA240 Licensed Representative (Provisional Licence) 4, 9

WONG King Chi BDO998 Licensed Representative (Provisional Licence) 1, 4

WONG Kwok Leung ASK759 Licensed Representative (Provisional Licence) 4, 9

WONG Siu Yue Michael BNO859 Licensed Representative (Provisional Licence) 4, 9

WONG Tsz Sum BNO490 Licensed Representative (Provisional Licence) 1, 4

WONG Yuen Ting, Brenda BNO001 Licensed Representative (Provisional Licence) 1, 4, 9

WOON Audrey Hui BEE288 Licensed Representative (Provisional Licence) 1, 2

WU Carolyn Shoutong BNJ196 Licensed Representative (Provisional Licence) 1, 2, 7

WU Di BNJ741 Licensed Representative (Provisional Licence) 4

WU Jing BNL527 Licensed Representative (Provisional Licence) 1, 6

WU Jingsu BDF049 Licensed Representative (Provisional Licence) 1, 4

WU Kai BNP204 Licensed Representative (Provisional Licence) 6

WU Li BNO677 Licensed Representative (Provisional Licence) 1, 4

WU Xiyu BNN577 Licensed Representative (Provisional Licence) 1, 4, 6

WU Yi BDP233 Licensed Representative (Provisional Licence) 1

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Page 21 of 25

CE Name CE No. Licence Type Types of Regulated Activity

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2018

WU Zhenbang BNN055 Licensed Representative (Provisional Licence) 1, 4, 6

WU Ziqing BNO978 Licensed Representative (Provisional Licence) 4, 9

XIA Gaohua BNO603 Licensed Representative (Provisional Licence) 6

XIAN Junqi BNM265 Licensed Representative (Provisional Licence) 1, 4

XIANG Zhen BNL498 Licensed Representative (Provisional Licence) 1, 6

XIAO Jiaqi BNO685 Licensed Representative (Provisional Licence) 1, 2

XIAO Wen BJU213 Licensed Representative (Provisional Licence) 1, 4, 9

XIAO Zhuoheng BNN875 Licensed Representative (Provisional Licence) 1, 4, 6

XING Chongyang BNN388 Licensed Representative (Provisional Licence) 4

XIONG Hang BNP419 Licensed Representative (Provisional Licence) 1, 4

XU Hangcheng BKU855 Licensed Representative (Provisional Licence) 1

XU Xiaoxi ANR491 Licensed Representative (Provisional Licence) 1, 4, 9

XU Xiuqi BNO488 Licensed Representative (Provisional Licence) 1

XU Yina BNO566 Licensed Representative (Provisional Licence) 4

XU Yingfei BNO572 Licensed Representative (Provisional Licence) 1, 9

YANG Bojun BNO404 Licensed Representative (Provisional Licence) 1, 6

YANG Jie BEE935 Licensed Representative (Provisional Licence) 1, 6

YANG Jingxi BNN299 Licensed Representative (Provisional Licence) 1, 4, 6

YANG Kaisheng BNN233 Licensed Representative (Provisional Licence) 1, 2, 7

YANG Xuping ALO476 Licensed Representative (Provisional Licence) 1

YAO Kun BEA915 Licensed Representative (Provisional Licence) 1

YAU Kwun Chi Eric BNN260 Licensed Representative (Provisional Licence) 1, 4

YAU Wai Ching ASZ106 Licensed Representative (Provisional Licence) 1, 4, 9

YE Lin BNN692 Licensed Representative (Provisional Licence) 1, 4

YEUM Jeehye BIJ241 Licensed Representative (Provisional Licence) 9

YEUNG Chi Yuen BCS456 Licensed Representative (Provisional Licence) 1, 4

YEUNG Chui Yu BNO066 Licensed Representative (Provisional Licence) 4, 5, 9

YEUNG Hiu Wai BNN157 Licensed Representative (Provisional Licence) 1, 6

YEUNG Po Yin Poey BNO292 Licensed Representative (Provisional Licence) 1, 4, 9

YIN Zeyu BNO373 Licensed Representative (Provisional Licence) 1, 4

YING Zhijie BNO299 Licensed Representative (Provisional Licence) 6

YIP Pak Sum BNN336 Licensed Representative (Provisional Licence) 1, 4

YIP Sin Wa BNO475 Licensed Representative (Provisional Licence) 1

YOSHIDA Natsumi BNO110 Licensed Representative (Provisional Licence) 1, 4, 6

YOU Hanqian BNO515 Licensed Representative (Provisional Licence) 9

YU Chenxing BNM204 Licensed Representative (Provisional Licence) 4

YU Fei BNL476 Licensed Representative (Provisional Licence) 1, 6

YU Lina BNN590 Licensed Representative (Provisional Licence) 6

YU Pedro BNO056 Licensed Representative (Provisional Licence) 1, 6

YUAN Jing AQF656 Licensed Representative (Provisional Licence) 6

YUAN Xiang BNK935 Licensed Representative (Provisional Licence) 1

YUNG Jacqueline Wai See BNO482 Licensed Representative (Provisional Licence) 2, 5

ZHANG Hanzhu BNO985 Licensed Representative (Provisional Licence) 1, 2

ZHANG Huimin BNN661 Licensed Representative (Provisional Licence) 9

ZHANG Jiaying BNN287 Licensed Representative (Provisional Licence) 1, 4, 9

ZHANG Jie BNH373 Licensed Representative (Provisional Licence) 1, 4, 6

ZHANG Jingting BNO703 Licensed Representative (Provisional Licence) 6

ZHANG Kun BNL518 Licensed Representative (Provisional Licence) 1, 2

ZHANG Quan BEM321 Licensed Representative (Provisional Licence) 1, 6

ZHANG Ruixin BNN881 Licensed Representative (Provisional Licence) 1, 6

ZHANG Shiyu BNO193 Licensed Representative (Provisional Licence) 4

ZHANG Tian BNO780 Licensed Representative (Provisional Licence) 1, 4, 9

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Page 22 of 25

CE Name CE No. Licence Type Types of Regulated Activity

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2018

ZHANG Wenzhou BNO706 Licensed Representative (Provisional Licence) 1, 6

ZHANG Xia BNN534 Licensed Representative (Provisional Licence) 1, 6

ZHANG Xiaotong BNO491 Licensed Representative (Provisional Licence) 4

ZHANG Xinru BNN851 Licensed Representative (Provisional Licence) 1, 6

ZHANG Xueyu BNO595 Licensed Representative (Provisional Licence) 1, 4, 6

ZHANG YAN BNO557 Licensed Representative (Provisional Licence) 6

ZHANG Yongcheng BNO698 Licensed Representative (Provisional Licence) 1, 2, 4

ZHANG Yue BNL473 Licensed Representative (Provisional Licence) 4, 5, 9

ZHANG Zhenyi BNL577 Licensed Representative (Provisional Licence) 4, 9

ZHAO Anbo BNN592 Licensed Representative (Provisional Licence) 4

ZHAO Juyi BNO905 Licensed Representative (Provisional Licence) 10

ZHAO Mengdi BNO845 Licensed Representative (Provisional Licence) 6

ZHAO Xinyue BNN872 Licensed Representative (Provisional Licence) 1, 4

ZHAO Yingjie BNN845 Licensed Representative (Provisional Licence) 4

ZHENG Xiaowei BNN087 Licensed Representative (Provisional Licence) 9

ZHENG Yi BNJ836 Licensed Representative (Provisional Licence) 1, 2

ZHOU Fei BEM286 Licensed Representative (Provisional Licence) 1, 4, 6

ZHOU Junye BNN653 Licensed Representative (Provisional Licence) 4

ZHOU Mengxuan BNN282 Licensed Representative (Provisional Licence) 1, 4, 9

ZHOU Ran BNN005 Licensed Representative (Provisional Licence) 1, 4, 9

ZHOU Shuoying BNG897 Licensed Representative (Provisional Licence) 1, 4, 6

ZHOU Yanru BNN868 Licensed Representative (Provisional Licence) 1, 6

ZHOU Yi BNN355 Licensed Representative (Provisional Licence) 4, 9

ZHOU Yuhao BNM901 Licensed Representative (Provisional Licence) 4, 9

ZHU Guoyi BNN524 Licensed Representative (Provisional Licence) 4, 9

ZHU Lizheng BNN848 Licensed Representative (Provisional Licence) 1, 4

ZHU Sicheng BNO598 Licensed Representative (Provisional Licence) 1, 6

ZHU Yifan BNP001 Licensed Representative (Provisional Licence) 1, 6

ZHU Yong BNO095 Licensed Representative (Provisional Licence) 1, 4

ZHU Yuchen BJY722 Licensed Representative (Provisional Licence) 1, 6

ZHUANG Dong BNN869 Licensed Representative (Provisional Licence) 1, 6

ZHUANG Jiejing BKF285 Licensed Representative (Provisional Licence) 1, 2

ZONG Yuzhang BNO311 Licensed Representative (Provisional Licence) 1, 4, 9

ZOU Qihan BNP172 Licensed Representative (Provisional Licence) 6

ZUO Mingzhi BNN320 Licensed Representative (Provisional Licence) 6

AHUJA Vivek Manohar ARI512 Licensed Representative (Temporary Licence) 1

ANG Sok Han BLF878 Licensed Representative (Temporary Licence) 1

AREGGER Adrian Philipp BNO893 Licensed Representative (Temporary Licence) 1

ARORA Rohit ART681 Licensed Representative (Temporary Licence) 4

ARRIGHI Delphine Valerie BNM184 Licensed Representative (Temporary Licence) 1

AUBIN Edouard Jean Laurent BLT655 Licensed Representative (Temporary Licence) 1, 4

BALASUBRAMANIAM Venkatesh BDT263 Licensed Representative (Temporary Licence) 4

BARDEN David William ACW077 Licensed Representative (Temporary Licence) 4

BARRON Jason BFI936 Licensed Representative (Temporary Licence) 1

BARROWS Ross Christopher BFC529 Licensed Representative (Temporary Licence) 4

BARUS Felicia Asrinanda AUT955 Licensed Representative (Temporary Licence) 4

BEDDARD Henry Terence AOQ827 Licensed Representative (Temporary Licence) 1, 2

BHESANIA Armeen BNL413 Licensed Representative (Temporary Licence) 4

BISHOP Alastair Timothy BFE366 Licensed Representative (Temporary Licence) 1, 4

BOXALL Steven Charles BDL788 Licensed Representative (Temporary Licence) 1

BRISCOE Andrew William Paul AZD018 Licensed Representative (Temporary Licence) 1

BROWN James Edward Peter BNO736 Licensed Representative (Temporary Licence) 1, 4

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Page 23 of 25

CE Name CE No. Licence Type Types of Regulated Activity

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2018

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

CHEONG Taeyong BGC155 Licensed Representative (Temporary Licence) 1

CHOPRA Raashi BEE682 Licensed Representative (Temporary Licence) 4

CHOPRA Swati BAW702 Licensed Representative (Temporary Licence) 4

CHUNG Woojin BNN382 Licensed Representative (Temporary Licence) 6

COGHILL James Arthur Lawrence AWC079 Licensed Representative (Temporary Licence) 4

COWAN James Charles Strathy BIB406 Licensed Representative (Temporary Licence) 1

COWLEY Megan Elizabeth BNM122 Licensed Representative (Temporary Licence) 1

CYPRYS Michael James BJN484 Licensed Representative (Temporary Licence) 1, 4

DHARSSI Afzal BNM267 Licensed Representative (Temporary Licence) 1, 2

DI MAGGIO Scott A BIV434 Licensed Representative (Temporary Licence) 4

DODDS Philip Marcus BGJ122 Licensed Representative (Temporary Licence) 1

EDWARDS Shane Grant AJG195 Licensed Representative (Temporary Licence) 1

ELLIS James William Edward AWP670 Licensed Representative (Temporary Licence) 4

GANDHI Veekesh Suresh BBA377 Licensed Representative (Temporary Licence) 4

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

GONZALES Emeterio III David AAI265 Licensed Representative (Temporary Licence) 4

GOODMAN III Robert Campe BNO751 Licensed Representative (Temporary Licence) 1, 4

GOYAL Megha BKR107 Licensed Representative (Temporary Licence) 1

GRASHOFF Dennis BGH024 Licensed Representative (Temporary Licence) 1

GREEN Nicholas James BHT971 Licensed Representative (Temporary Licence) 4

HADASSIN Saul BNP164 Licensed Representative (Temporary Licence) 4

HARDWICK Marie Gillian BNN484 Licensed Representative (Temporary Licence) 1

HARRISON Matthew Kelsey BEZ680 Licensed Representative (Temporary Licence) 1, 4

HEBERT JR Edward Michael BGN068 Licensed Representative (Temporary Licence) 4

HEDBERG Jason Joseph BMT577 Licensed Representative (Temporary Licence) 1

HEELAN Benjamin Michael BIN836 Licensed Representative (Temporary Licence) 4

HORNBACH Matthew Thomas AWZ985 Licensed Representative (Temporary Licence) 1, 4, 5

HOSOI Katsumi BID688 Licensed Representative (Temporary Licence) 4

HUANG Jinzheng Corwin BJC167 Licensed Representative (Temporary Licence) 1, 4

HUBBARD Cara BNN588 Licensed Representative (Temporary Licence) 1, 4

HUNG Chi-Tang AYQ579 Licensed Representative (Temporary Licence) 1

HUREWITZ Barry Scott BIN563 Licensed Representative (Temporary Licence) 4

IKEDA Atsushi BEM322 Licensed Representative (Temporary Licence) 4

ISAAC Gareth Dafydd Paul BLB673 Licensed Representative (Temporary Licence) 1, 4

ISSAOUI Tarek BNI725 Licensed Representative (Temporary Licence) 4

JASCZYK Damien Alexander AYI754 Licensed Representative (Temporary Licence) 1

JIANG Qianlei BHD907 Licensed Representative (Temporary Licence) 1, 4

JIN Hong Goock BLD547 Licensed Representative (Temporary Licence) 4

JOSEPH Arvin Sabu BLP059 Licensed Representative (Temporary Licence) 1

KANG Sangin BNK662 Licensed Representative (Temporary Licence) 1

KEDIA Sahil Sudhir AZW848 Licensed Representative (Temporary Licence) 4

KEDIA Sahil Sudhir AZW848 Licensed Representative (Temporary Licence) 4

KIM Jinwoo BGY980 Licensed Representative (Temporary Licence) 4

KIM Jonghyuk BNN482 Licensed Representative (Temporary Licence) 1, 2

KIM Minkyu BEO107 Licensed Representative (Temporary Licence) 1

KIM Robert Duho BMR539 Licensed Representative (Temporary Licence) 4

KINOSHITA Yoshiyuki BBL047 Licensed Representative (Temporary Licence) 4

KWOK Francis Pui-Cheun AUD012 Licensed Representative (Temporary Licence) 1

LANG Thiemo BLM120 Licensed Representative (Temporary Licence) 1

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Page 24 of 25

CE Name CE No. Licence Type Types of Regulated Activity

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2018

LEAHY Timothy James AWB788 Licensed Representative (Temporary Licence) 1

LEE Seok Won BNN710 Licensed Representative (Temporary Licence) 1

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

LEE Young Gon BNO013 Licensed Representative (Temporary Licence) 1, 2

LIE Vivi Handoyo BEN583 Licensed Representative (Temporary Licence) 4

LIM Siew Khee BMY539 Licensed Representative (Temporary Licence) 4

LIN Chia-Hua BNN330 Licensed Representative (Temporary Licence) 1

LIN Li-Chun BIG303 Licensed Representative (Temporary Licence) 4

LIU Wai Kin, Ricky BJD903 Licensed Representative (Temporary Licence) 1

MACDONALD Robert Cumming ACF190 Licensed Representative (Temporary Licence) 1

MANSELL Steven Robert BEI891 Licensed Representative (Temporary Licence) 4

MAYHEW John Richard BNM983 Licensed Representative (Temporary Licence) 1

MEIER Andreas Peter BLI878 Licensed Representative (Temporary Licence) 1, 2

MINAGAWA Ryozo BFA665 Licensed Representative (Temporary Licence) 4

MODY Andrea Crawford BIB416 Licensed Representative (Temporary Licence) 1

MORIMOTO Tatsuya BDW746 Licensed Representative (Temporary Licence) 1

MURAKAMI Shuhei BGZ147 Licensed Representative (Temporary Licence) 1, 4

NGOH Yi Sin BNO147 Licensed Representative (Temporary Licence) 4

NIKOLAKOPOULOU Ioana Roxana BNN744 Licensed Representative (Temporary Licence) 1, 2

NOPHAKET Thitithep BGU290 Licensed Representative (Temporary Licence) 4

PARKER Gary Philip BNM979 Licensed Representative (Temporary Licence) 1

PARKER Keith Joseph BNP181 Licensed Representative (Temporary Licence) 4

PAULSON Mark Ellis AYK942 Licensed Representative (Temporary Licence) 1

PEREZ FERNANDEZ Juan Luis BGE895 Licensed Representative (Temporary Licence) 4

PORTILLO Joseph Charles AXD722 Licensed Representative (Temporary Licence) 1

RAJENDRA Arivindra BNN134 Licensed Representative (Temporary Licence) 5

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

REDMAN Simon David BLF884 Licensed Representative (Temporary Licence) 1, 4

ROLLO James David William BNO611 Licensed Representative (Temporary Licence) 1, 4

ROY Mohul BNO309 Licensed Representative (Temporary Licence) 6

RUSSELL Henry Alden Verplanck BHT391 Licensed Representative (Temporary Licence) 1

SAFFAYE George Christopher BNM174 Licensed Representative (Temporary Licence) 1, 4

SAY Gui Hua Eugene BNK025 Licensed Representative (Temporary Licence) 1, 6

SEE Zhi Zen Cezzane BNO144 Licensed Representative (Temporary Licence) 4

SHAH Amish Chandrakant AUW978 Licensed Representative (Temporary Licence) 4

SHAH Romit Jitendra BNN947 Licensed Representative (Temporary Licence) 4

SHAH Sheena BJD081 Licensed Representative (Temporary Licence) 1, 4, 5

SHERIDAN Tiana Maria BNA730 Licensed Representative (Temporary Licence) 1, 4

SINGLA Anuj BLW779 Licensed Representative (Temporary Licence) 4

SMITH Grant Albert BNJ560 Licensed Representative (Temporary Licence) 1

SONG Ting-Wen APH123 Licensed Representative (Temporary Licence) 1, 2

SONNELAND Joshua Paul BBR119 Licensed Representative (Temporary Licence) 4

SPINELLI Marco Antonio BNO996 Licensed Representative (Temporary Licence) 4

STAFFORD Craig Martin ATC363 Licensed Representative (Temporary Licence) 4

STANLEY Martin Stephen William BNJ094 Licensed Representative (Temporary Licence) 1

STEWART Blair Thomson BEF850 Licensed Representative (Temporary Licence) 4

SUZUKI Yasuhito BLQ544 Licensed Representative (Temporary Licence) 1

SWAMINATHAN Anand AUW975 Licensed Representative (Temporary Licence) 4

TAN Toon Leng BDM837 Licensed Representative (Temporary Licence) 4

TAN Wei Ning Rachael BIE894 Licensed Representative (Temporary Licence) 4

TAN Weiqiang Alvin BNO597 Licensed Representative (Temporary Licence) 6

TAN Yawen BJP932 Licensed Representative (Temporary Licence) 4

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Page 25 of 25

CE Name CE No. Licence Type Types of Regulated Activity

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2018

TE John Victor Cabarles BJC545 Licensed Representative (Temporary Licence) 4

TESSLER Sarah Frances BNO044 Licensed Representative (Temporary Licence) 1, 2

TIWARI Atul Kumar BDT253 Licensed Representative (Temporary Licence) 4

TOON Sarah Louise BNJ887 Licensed Representative (Temporary Licence) 1

TSURUO Mitsunobu BHD023 Licensed Representative (Temporary Licence) 4

VAN OERLE Jeroen Matheus Yvon BNI984 Licensed Representative (Temporary Licence) 1

VERSTAPPEN Theodorus Mechtildis Franciscus BEW818 Licensed Representative (Temporary Licence) 1

VETTISE Nicole Suzanne AEC083 Licensed Representative (Temporary Licence) 1, 4

VISAIRAS RATTO Santos Martin APW262 Licensed Representative (Temporary Licence) 1

WALKER Adam David Michael BHU831 Licensed Representative (Temporary Licence) 1, 2

WALLACE Ashley Dorothy BFJ978 Licensed Representative (Temporary Licence) 4

WALSH Paul Richard BAF529 Licensed Representative (Temporary Licence) 1, 4

WANG Xiaoguang BNO499 Licensed Representative (Temporary Licence) 1

WEBB Charles Lawrence St John BMZ532 Licensed Representative (Temporary Licence) 1, 4

WEI Wei AWZ983 Licensed Representative (Temporary Licence) 1, 2

WELCH Michael Godfrey BGN066 Licensed Representative (Temporary Licence) 4

WHYMARK Casey Nevell BGJ216 Licensed Representative (Temporary Licence) 1

WIDJAJA Fransisca BNN762 Licensed Representative (Temporary Licence) 1

WILLIAMS Sam George BNN780 Licensed Representative (Temporary Licence) 1

WILLIAMSON Sarah Kim BDP921 Licensed Representative (Temporary Licence) 1

WILSON Barnaby James BJG982 Licensed Representative (Temporary Licence) 1, 4

WINOKER Steven Eric AUT771 Licensed Representative (Temporary Licence) 4

WONG Timothy Mun Tim BNB054 Licensed Representative (Temporary Licence) 1, 2

WOOD Adam Dennis BEN046 Licensed Representative (Temporary Licence) 1, 4

WRIGHT David Antony BHP250 Licensed Representative (Temporary Licence) 4

WU Ho Fai BNO989 Licensed Representative (Temporary Licence) 1, 2

WYETH Sarah BNI416 Licensed Representative (Temporary Licence) 10

YAMADA Shusuke BJG468 Licensed Representative (Temporary Licence) 4

ZELLER Hubert Leon Maurice BJL212 Licensed Representative (Temporary Licence) 1, 4

ZUBRINICH Kieran John ANQ331 Licensed Representative (Temporary Licence) 1