additions of licensed persons/registered institutions

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2015 CE Name CE No. Licence Type Types of Regulated Activity AlpInvest Partners Limited BFP028 Licensed Corporation 1 Beauty of China Capital Management Limited BFK520 Licensed Corporation 4, 9 Blue Ocean Asset Management Limited BFX200 Licensed Corporation 4, 9 Brookside Capital Asia Advisors, Limited BFR426 Licensed Corporation 9 CG Partners Asset Management Co., Limited BFN572 Licensed Corporation 9 China-Hong Kong Link Securities Company Limited BFL303 Licensed Corporation 1 Chomolungma Asset Management Limited BDU208 Licensed Corporation 4, 9 Discovery Bay Capital Management Limited BFS547 Licensed Corporation 4, 9 Equities First Holdings Hong Kong Limited BFJ407 Licensed Corporation 1 First Investment Management Limited BFW987 Licensed Corporation 9 Gladius Investment Group Asia Limited BFS310 Licensed Corporation 9 Hang Fat Capital Limited BFT108 Licensed Corporation 1 Koala Securities Limited BFI038 Licensed Corporation 1 Modus Asset Management Limited BFU728 Licensed Corporation 9 Passage Investment Management Limited BFR054 Licensed Corporation 9 Prestige Securities Limited BFI474 Licensed Corporation 1 Titan Financial Services Limited BFR957 Licensed Corporation 1, 6 Wilshire Hong Kong Limited BFL137 Licensed Corporation 9 Yaozhi International Limited BFJ340 Licensed Corporation 9 China Everbright Bank Company Limited AGN963 Registered Institution 1, 4 Nippon Wealth Limited BFG834 Registered Institution 1, 4 AGARWAL Shubham BFX405 Licensed Representative 1, 2 AGENA Sergio Hidenori BFZ539 Licensed Representative 10 AIBA Yusuke BEL332 Licensed Representative 1 AMITABH Unnayan BGB390 Licensed Representative 1 AU Chun Man, Raymond AME568 Licensed Representative 4 BAI Jie BGB222 Licensed Representative 6 BAJARIA Sejal ATC149 Licensed Representative 1 BANSAL Samarth BFS275 Licensed Representative 1, 2, 7 BAO Xitong BFW991 Licensed Representative 1, 4, 6 BATCHELOR Holly Reid BFY288 Licensed Representative 1 BEATTIE Nigel John ACM773 Licensed Representative 7 BHURTAH Joynay BGA484 Licensed Representative 1 BI Zhongyuan BGA703 Licensed Representative 1, 4 BRADLEY Joseph BEB455 Licensed Representative 1 BREL Maxime BFZ187 Licensed Representative 1, 2, 7 BROWN Alison Rosemary AQR075 Licensed Representative 1, 4, 9 BURROWS Daniel John BAB234 Licensed Representative 1, 6 CAI Yuzhe BFZ214 Licensed Representative 1, 6 CALLANAN William Francis BFY181 Licensed Representative 9 CAO Lei BGB371 Licensed Representative 1, 4, 6 CAO Lei BGD700 Licensed Representative 6 CAO Wenjia BFY122 Licensed Representative 1, 4, 6 CHAI Hui BGB074 Licensed Representative 1, 4 CHAN Caroline Wing Han AQS919 Licensed Representative 1, 2 CHAN Cheuk Mun AHR326 Licensed Representative 4, 9 CHAN Cheuk Wing BBU902 Licensed Representative 1, 6 CHAN Chi Kwong, Paul APB687 Licensed Representative 1 CHAN Chi Yuen BFY658 Licensed Representative 1 CHAN Chun Hin BCO771 Licensed Representative 1, 2 CHAN Chun Kong AQH859 Licensed Representative 1 CHAN Chun Yiu, Thomas BGB913 Licensed Representative 1, 4, 9 CHAN Chung Ching BFZ509 Licensed Representative 1, 2 Page 1 of 25

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Page 1: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2015

CE Name CE No. Licence Type Types of Regulated Activity

AlpInvest Partners Limited BFP028 Licensed Corporation 1

Beauty of China Capital Management Limited BFK520 Licensed Corporation 4, 9

Blue Ocean Asset Management Limited BFX200 Licensed Corporation 4, 9

Brookside Capital Asia Advisors, Limited BFR426 Licensed Corporation 9

CG Partners Asset Management Co., Limited BFN572 Licensed Corporation 9

China-Hong Kong Link Securities Company Limited BFL303 Licensed Corporation 1

Chomolungma Asset Management Limited BDU208 Licensed Corporation 4, 9

Discovery Bay Capital Management Limited BFS547 Licensed Corporation 4, 9

Equities First Holdings Hong Kong Limited BFJ407 Licensed Corporation 1

First Investment Management Limited BFW987 Licensed Corporation 9

Gladius Investment Group Asia Limited BFS310 Licensed Corporation 9

Hang Fat Capital Limited BFT108 Licensed Corporation 1

Koala Securities Limited BFI038 Licensed Corporation 1

Modus Asset Management Limited BFU728 Licensed Corporation 9

Passage Investment Management Limited BFR054 Licensed Corporation 9

Prestige Securities Limited BFI474 Licensed Corporation 1

Titan Financial Services Limited BFR957 Licensed Corporation 1, 6

Wilshire Hong Kong Limited BFL137 Licensed Corporation 9

Yaozhi International Limited BFJ340 Licensed Corporation 9

China Everbright Bank Company Limited AGN963 Registered Institution 1, 4

Nippon Wealth Limited BFG834 Registered Institution 1, 4

AGARWAL Shubham BFX405 Licensed Representative 1, 2

AGENA Sergio Hidenori BFZ539 Licensed Representative 10

AIBA Yusuke BEL332 Licensed Representative 1

AMITABH Unnayan BGB390 Licensed Representative 1

AU Chun Man, Raymond AME568 Licensed Representative 4

BAI Jie BGB222 Licensed Representative 6

BAJARIA Sejal ATC149 Licensed Representative 1

BANSAL Samarth BFS275 Licensed Representative 1, 2, 7

BAO Xitong BFW991 Licensed Representative 1, 4, 6

BATCHELOR Holly Reid BFY288 Licensed Representative 1

BEATTIE Nigel John ACM773 Licensed Representative 7

BHURTAH Joynay BGA484 Licensed Representative 1

BI Zhongyuan BGA703 Licensed Representative 1, 4

BRADLEY Joseph BEB455 Licensed Representative 1

BREL Maxime BFZ187 Licensed Representative 1, 2, 7

BROWN Alison Rosemary AQR075 Licensed Representative 1, 4, 9

BURROWS Daniel John BAB234 Licensed Representative 1, 6

CAI Yuzhe BFZ214 Licensed Representative 1, 6

CALLANAN William Francis BFY181 Licensed Representative 9

CAO Lei BGB371 Licensed Representative 1, 4, 6

CAO Lei BGD700 Licensed Representative 6

CAO Wenjia BFY122 Licensed Representative 1, 4, 6

CHAI Hui BGB074 Licensed Representative 1, 4

CHAN Caroline Wing Han AQS919 Licensed Representative 1, 2

CHAN Cheuk Mun AHR326 Licensed Representative 4, 9

CHAN Cheuk Wing BBU902 Licensed Representative 1, 6

CHAN Chi Kwong, Paul APB687 Licensed Representative 1

CHAN Chi Yuen BFY658 Licensed Representative 1

CHAN Chun Hin BCO771 Licensed Representative 1, 2

CHAN Chun Kong AQH859 Licensed Representative 1

CHAN Chun Yiu, Thomas BGB913 Licensed Representative 1, 4, 9

CHAN Chung Ching BFZ509 Licensed Representative 1, 2

Page 1 of 25

Page 2: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2015

CE Name CE No. Licence Type Types of Regulated Activity

CHAN Esther Mei Sze BFY475 Licensed Representative 6

CHAN Hong Ming, Frank AJG444 Licensed Representative 1

CHAN Ka Kin BFX331 Licensed Representative 1

CHAN Pak Yeung Edwin BGB569 Licensed Representative 1, 4

CHAN Pui Kei BGC822 Licensed Representative 1

CHAN Pui Kwan BBG437 Licensed Representative 9

CHAN Raymond Pha Giong AFP268 Licensed Representative 1, 4

CHAN Sin Hang, Zoe BGA492 Licensed Representative 1, 4, 9

CHAN Suk Kuen, Alison AIR198 Licensed Representative 1, 4

CHAN Tsz In BFZ091 Licensed Representative 1, 4, 9

CHAN Wai APB789 Licensed Representative 1, 4

CHAN Wai Cheong BFY873 Licensed Representative 1, 4, 9

CHAN Wai Kin, Ronald BFY644 Licensed Representative 1, 4

CHAN Yan Ki BGA591 Licensed Representative 1

CHAN Yuk AZL980 Licensed Representative 6

CHAN Zi Wei, Gerald BAH851 Licensed Representative 1, 4, 6

CHANG Jin BFZ371 Licensed Representative 1

CHANG Lawrence BGA353 Licensed Representative 1, 6

CHANG Ronald Ming Te BEJ723 Licensed Representative 1, 9

CHANG Tae Won BGA449 Licensed Representative 1, 4, 6

CHARN Kang Chuen BGA475 Licensed Representative 1

CHAU Mei Wah Carol AFM849 Licensed Representative 1

CHAU Ting Fai BGC458 Licensed Representative 1

CHAU Wai Kin BGB955 Licensed Representative 1, 2

CHAU Yuk Lan BGC843 Licensed Representative 1, 9

CHEN Cheng BFY640 Licensed Representative 1, 4, 6

CHEN Chi Hung AOX772 Licensed Representative 1, 2

CHEN Jiahao BGB217 Licensed Representative 9

CHEN Jiahui BGC177 Licensed Representative 1, 6

CHEN Jiaxi BFX533 Licensed Representative 1, 6

CHEN Jie BFX830 Licensed Representative 1, 4, 6

CHEN Jonathan BFY988 Licensed Representative 1, 9

CHEN Leimiaojie BFZ048 Licensed Representative 4, 9

CHEN Mengyao BFY104 Licensed Representative 4

CHEN Wen-Ling BGC424 Licensed Representative 1

CHEN Yongshan BFZ092 Licensed Representative 4

CHEN Yufei AUM509 Licensed Representative 4, 9

CHEN Yumei BFW973 Licensed Representative 1, 4, 6

CHEN Zhiyuan BGB379 Licensed Representative 1

CHENG Bradley Eric BGA951 Licensed Representative 1, 2

CHENG Hsiao-Feng BFY633 Licensed Representative 1, 6

CHENG Ka Ho AQM088 Licensed Representative 4, 9

CHENG Shi BGC800 Licensed Representative 4

CHENG Zi Xuan, Erikson BFY179 Licensed Representative 1

CHEUK Yeung Shing BFY673 Licensed Representative 1, 2

CHEUNG Chun Ting BFZ227 Licensed Representative 4

CHEUNG Hay Nam, Bruce ABY336 Licensed Representative 1, 2

CHEUNG Ka Man BFZ630 Licensed Representative 1

CHEUNG Ka Yu BGD224 Licensed Representative 1

CHEUNG Kai Ming BGB954 Licensed Representative 1, 4, 6

CHEUNG Ying Ki BFZ239 Licensed Representative 1, 2

CHEW Kwang Liang BGB380 Licensed Representative 1, 4, 6

CHEW Pei Yi, Jolynn BGC819 Licensed Representative 2

Page 2 of 25

Page 3: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2015

CE Name CE No. Licence Type Types of Regulated Activity

CHEW Siong Yew, Alvin BAK955 Licensed Representative 9

CHIN Yee Man ANH625 Licensed Representative 10

CHING Po Yin BFS735 Licensed Representative 1, 4

CHINVETKITVANIT Chayanid BFZ547 Licensed Representative 1, 2

CHIU Ariel Yen-min BGD859 Licensed Representative 9

CHIU Chun Po BGB008 Licensed Representative 6

CHIU Hok Chung BGC396 Licensed Representative 9

CHIU Kelvin Ho Yin BGA879 Licensed Representative 1

CHIU Simon Siu Hung ALW291 Licensed Representative 1, 4, 9

CHO Chun Yin BGA971 Licensed Representative 1, 2

CHO Jungho AJD291 Licensed Representative 1, 4, 9

CHO Kevin BGB221 Licensed Representative 4, 6

CHOI Ho-jae BGA640 Licensed Representative 1, 4, 6

CHOI Suet Ying BGA482 Licensed Representative 1

CHOI Suzie BFZ079 Licensed Representative 1, 2

CHONG Sheung Tat BGB437 Licensed Representative 1

CHOUDHARY Abhishek BGB563 Licensed Representative 1, 2, 7

CHOW Chi Man AQG776 Licensed Representative 1, 4

CHOY Lai Ho, Leo BEW131 Licensed Representative 1, 2, 4

CHU Chun Shing BGD147 Licensed Representative 1, 2, 3

CHU Yat Kiu BGA584 Licensed Representative 1

CHUANG Hao-Yuan AVA663 Licensed Representative 4, 9

CHUANG Miin I, Zoe BGB071 Licensed Representative 4

CHUK Yuen Ting, Fion BGC775 Licensed Representative 1, 2, 9

CHUNG Chi Chiu BFZ561 Licensed Representative 2

CHUNG Hei Tong BGB389 Licensed Representative 1, 2

CHUNG Hiu Mei BGA487 Licensed Representative 1

CHUNG Hoh BGA457 Licensed Representative 1, 4

CHUNG Nga Hong BFY424 Licensed Representative 1

CLEMENTE J Samson JR Llavore BFV209 Licensed Representative 1

COHEN Ayal Salomon BGB772 Licensed Representative 1

CURA Jerome De La Cruz BGB050 Licensed Representative 1, 2, 7

DELORME Augustin, Marie, Jerome BGB271 Licensed Representative 4, 6, 9

D'HAUSSY Charles Francois Valery BFZ323 Licensed Representative 1

DHUPELIA Sunil AUW922 Licensed Representative 6

DING Wenjie BFZ549 Licensed Representative 1

DONG Fei BGA619 Licensed Representative 1, 4

DU Zichao BGA459 Licensed Representative 1, 4, 6

EUCHUKANONCHAI Kasina BGD420 Licensed Representative 1, 4, 6

FAN Boyang BGB374 Licensed Representative 1

FAN Jingjing BGA352 Licensed Representative 1, 6

FAN Ming BGB768 Licensed Representative 4

FANG Fang BFX004 Licensed Representative 9

FENG Yue AWD853 Licensed Representative 9

FRANCIS Adam James Antony BFY018 Licensed Representative 1, 2

FRASIER Hamilton Reid AQJ467 Licensed Representative 9

FU Si BGC140 Licensed Representative 1, 4

FU Tsz Hei BGA854 Licensed Representative 1, 2

FUNG Ming Lit BGE059 Licensed Representative 1

FUNG Wing Yeung AGN727 Licensed Representative 1

FUNG Yin Wing AZB937 Licensed Representative 1, 2

GAN Jun BFX695 Licensed Representative 4

GAO Ya BGC216 Licensed Representative 1, 4, 9

Page 3 of 25

Page 4: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2015

CE Name CE No. Licence Type Types of Regulated Activity

GAO Yang BGA730 Licensed Representative 1

GAO Zhi BFY249 Licensed Representative 6

GE Hongliang BGA952 Licensed Representative 1

GOH Cheng Siang, Gregory AMP599 Licensed Representative 1

GOSIENGFIAO Fay Chong BGA680 Licensed Representative 1, 6

GU Yechen BGB507 Licensed Representative 1

GUAN Tianyu BFZ337 Licensed Representative 1, 6

GUO Chenxi BFZ327 Licensed Representative 9

GUO Chenyang BGC464 Licensed Representative 1, 4, 9

HAN Hye Won BGD423 Licensed Representative 1, 4

HAN Shiyun BBK290 Licensed Representative 1, 4, 9

HAO Chen BGB965 Licensed Representative 1, 6

HE Lansi BFX501 Licensed Representative 1

HE Siyang BGE017 Licensed Representative 4, 9

HERGESHEIMER Niklaus Charles BFN303 Licensed Representative 1, 2

HIOE Kwok Ho Nick BFZ230 Licensed Representative 1, 4

HIRASAKI Koji AZI774 Licensed Representative 1

HO Chun Tung BGA781 Licensed Representative 1

HO Karen AXL899 Licensed Representative 1, 2

HO Kin Chun BGB398 Licensed Representative 1, 6

HO Sherry Rubie BFZ505 Licensed Representative 1, 2, 9

HO Sin Yi ADA785 Licensed Representative 1, 4

HO Suet Lee AQP757 Licensed Representative 1

HO Sze Yuen, Ocean BFZ364 Licensed Representative 1, 2

HO Ting Hei Nixon BGB204 Licensed Representative 1

HO Wing Yee BGB740 Licensed Representative 1, 4

HO Yuan-Hsiang AXW317 Licensed Representative 9

HO Yui Him BGB436 Licensed Representative 1

HON Ka Chim Jeremy BGB220 Licensed Representative 1, 2, 5

HONG Dekang BGB716 Licensed Representative 1, 2

HONG Leyuan BFY987 Licensed Representative 1

HSU Hsiu Ping AYJ219 Licensed Representative 9

HU Hiiga BET277 Licensed Representative 1, 4, 9

HU Tianyi BFX650 Licensed Representative 1, 4

HU Xiyuan BET949 Licensed Representative 4

HUA Dandan BFX159 Licensed Representative 9

HUANG Kai BGB450 Licensed Representative 4

HUANG Libo BFY256 Licensed Representative 1, 4, 6

HUANG Min BFZ189 Licensed Representative 1, 4

HUANG Rawen Zhi Hong AXL663 Licensed Representative 9

HUANG Xiaotong BGA557 Licensed Representative 3

HUANG Zidong BFY826 Licensed Representative 1, 2

HUI Man BGA616 Licensed Representative 9

HUME Guy Vincent BGB743 Licensed Representative 1, 4, 6

HUNG Ka Wing Jimson BDV934 Licensed Representative 1, 2

HUSAINIE Syed Sherjan BGC384 Licensed Representative 1, 6

INOUE Keita BFZ504 Licensed Representative 1

IP Choi Ying BFY803 Licensed Representative 1

IP Wai Hung AFO416 Licensed Representative 1

ISAAC Matthew Paul BGB536 Licensed Representative 1

ITO Hiroaki BFY639 Licensed Representative 1, 2

JAENICKE Johannes Friedrich Sebastian BFY433 Licensed Representative 6

JAIN Ashish BGA354 Licensed Representative 1

Page 4 of 25

Page 5: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2015

CE Name CE No. Licence Type Types of Regulated Activity

JAVED Mark Anjum BGA618 Licensed Representative 1, 2

JEFFREY Kevin Alan BFX287 Licensed Representative 4

JI Chunhua BGA564 Licensed Representative 4

JOHNSON Paul Anthony BFZ266 Licensed Representative 1, 2

JOUNG Byung Hyun BGB072 Licensed Representative 1, 4

KAKU Shujitsu BGC191 Licensed Representative 1, 4, 6

KALMAR Mathias Martin BFY107 Licensed Representative 4, 9

KAM Stephen Cheuk Hang AEI384 Licensed Representative 1, 4, 9

KANG Chuang BGA486 Licensed Representative 1, 4, 6

KANG Ho Keun BEI240 Licensed Representative 1

KANG Na Hee BGA572 Licensed Representative 1, 6

KAWASAKI Kiyotaka BGA460 Licensed Representative 4

KE Tak Lai AXP786 Licensed Representative 1

KIKUCHI Naoya BFY272 Licensed Representative 1

KIM Han BGD165 Licensed Representative 1, 4, 9

KIM James Yong Min AWW389 Licensed Representative 1, 4, 9

KIM Ji Hyun BGB395 Licensed Representative 1, 2, 4, 5

KIM Joohee Norah BFZ075 Licensed Representative 1, 2

KIM Kyumeong BGB070 Licensed Representative 1, 6

KIM Kyung Han AQQ105 Licensed Representative 1, 4, 6

KONG King Wing BGA687 Licensed Representative 1

KONG Quinton BFZ516 Licensed Representative 6

KONG Wai Wa BAX161 Licensed Representative 1, 2, 4

KRUSTINS Krisjanis BGE367 Licensed Representative 10

KUANG Kaiwen BGB219 Licensed Representative 1, 4, 9

KUANG Yang BGB223 Licensed Representative 1, 6

KWAN Chun Fung AXJ933 Licensed Representative 1, 2, 7

KWAN Chung Kin BGB583 Licensed Representative 1, 2, 4, 5

KWAN Sze Man ANN401 Licensed Representative 1

KWOK Clarence Ming Hin APO057 Licensed Representative 1

KWOK Michelle Long Ting BFZ077 Licensed Representative 1, 2

LAI Man Kit BGA391 Licensed Representative 4

LAI Michael BGA390 Licensed Representative 1, 4

LAI Wai Tong AGC736 Licensed Representative 1, 4

LAM Chi Yip BGB719 Licensed Representative 1

LAM Ching Yan, Lydia BFY292 Licensed Representative 1

LAM Chun Wa BGB957 Licensed Representative 1, 4, 6

LAM Chun Yiu BFX506 Licensed Representative 1

LAM Hung Yiu BGB552 Licensed Representative 1, 2

LAM Man Tim BFY891 Licensed Representative 4

LAM Phyllis Kay BGB554 Licensed Representative 6

LAM Sheung Yu BGA612 Licensed Representative 1

LAM Siu Man AIH364 Licensed Representative 1

LAMY Francois, Yves, Bernard BFY635 Licensed Representative 1, 6

LAN John Xiang BGA385 Licensed Representative 1, 4

LANGE Julien BGC442 Licensed Representative 1, 2, 4

LAU Arthur Nicholas Tsz-him BFZ391 Licensed Representative 1, 6

LAU Ho Wai BGB959 Licensed Representative 2

LAU Po Yan BGB015 Licensed Representative 1

LAU Pui Ki BFX860 Licensed Representative 1

LAU Tsz Ching Julia BFW808 Licensed Representative 1, 4, 6

LAU Tsz Hung BGC190 Licensed Representative 1, 2

LAU Tsz Yeung BEQ722 Licensed Representative 1

Page 5 of 25

Page 6: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2015

CE Name CE No. Licence Type Types of Regulated Activity

LAU Wen Rong, Aaron BGA996 Licensed Representative 4, 9

LAW Tsz Shing BGB433 Licensed Representative 1

LEE Chun Hung BFZ355 Licensed Representative 1

LEE Tse Ting BFY805 Licensed Representative 1, 6

LEE Eun Joo BFY275 Licensed Representative 1, 2

LEE Ka Ho ATO877 Licensed Representative 6

LEE Ka Ho BFX681 Licensed Representative 1

LEE Kwok Ho BFY630 Licensed Representative 4

LEE Man Hon BGC141 Licensed Representative 1

LEE Marcus BFY695 Licensed Representative 4, 9

LEE PANG Yat Sum, Rita BDW135 Licensed Representative 4, 9

LEE So Chun Carrie BFZ168 Licensed Representative 1

LEE Wai Kit, Felix BGA582 Licensed Representative 1

LEE Wing Hei BFZ502 Licensed Representative 1

LEONARD Jermaine Richard BGC193 Licensed Representative 10

LEUNG Chi Keung ADF407 Licensed Representative 1

LEUNG Chun Man Boris BFZ541 Licensed Representative 6

LEUNG Hung Kin BFZ496 Licensed Representative 1, 2

LEUNG Ka Man AID020 Licensed Representative 1, 4, 6

LEUNG Shuk Ping BGA592 Licensed Representative 9

LEUNG Tsz Lun AIX751 Licensed Representative 1

LEUNG Wing Hung, Toby BGA638 Licensed Representative 1

LI Bryan Chee Keung AQU428 Licensed Representative 1, 4, 6

LI Chen BGB440 Licensed Representative 1

LI Chenguang BGA964 Licensed Representative 6

LI Chuen Ho BFY111 Licensed Representative 1

LI Chun Kit AGG744 Licensed Representative 1, 2, 7

LI Haoxiang BFX483 Licensed Representative 6

LI Jia BFZ226 Licensed Representative 9

LI Jiapeng BGB556 Licensed Representative 6

LI Jingwen BGC195 Licensed Representative 1

LI Man Hei BFY832 Licensed Representative 1, 6

LI Ming AMW601 Licensed Representative 1, 2

LI Ming Keung AVD367 Licensed Representative 1

LI Nga Yan BGB018 Licensed Representative 1, 6

LI Qian BGD421 Licensed Representative 1, 4, 6

LI Qiaochu BGB368 Licensed Representative 1

LI Rui BGA836 Licensed Representative 1, 6

LI Shuangxing BGC184 Licensed Representative 1, 4

LI Sung Hsuan BGC222 Licensed Representative 1

LI Tangtan BFZ213 Licensed Representative 1

LI Tsz Wing, Cherie BGA688 Licensed Representative 1, 4

LI Tze Ngong AMX714 Licensed Representative 1, 9

LI Wing Man BGB397 Licensed Representative 1, 2

LI Xiang BFX734 Licensed Representative 1, 6

LI Xiaoyu BGB342 Licensed Representative 1, 2

LI Yanli BFY995 Licensed Representative 4

LI Yixia BGB573 Licensed Representative 4

LI Yixun BGC436 Licensed Representative 1, 6

LI Yutao BGB753 Licensed Representative 4, 6

LI Zhihang BGC847 Licensed Representative 1

LIANG Xiangyu BGB591 Licensed Representative 6

LIAO Wen Wei BFZ332 Licensed Representative 1, 6

Page 6 of 25

Page 7: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2015

CE Name CE No. Licence Type Types of Regulated Activity

LIM Hyohoon BFY599 Licensed Representative 1, 6

LIM Julian Frederick Yu AVW353 Licensed Representative 1, 2

LIN Binbin BFY985 Licensed Representative 1, 6

LIN Chin-che BGC811 Licensed Representative 1, 6

LIN Ken BGC483 Licensed Representative 1, 4

LIN Meihua BFX863 Licensed Representative 1, 4, 9

LIN Zhongheng BGA642 Licensed Representative 4

LING Caihong BFX869 Licensed Representative 1

LING Maximilian Shui Hung BGA793 Licensed Representative 1, 2

LIU Fujia BFW805 Licensed Representative 1, 4

LIU Jin BFZ637 Licensed Representative 4, 9

LIU Ka Yip BFY252 Licensed Representative 1

LIU Kin Man BGB550 Licensed Representative 1, 2

LIU Ruoyi BFZ342 Licensed Representative 1, 6

LIU Sha BDV116 Licensed Representative 4, 9

LIU Shengduo BGB270 Licensed Representative 9

LIU Yingxi BFZ062 Licensed Representative 1, 2

LIU Yun BFY281 Licensed Representative 1, 2

LO Chun Fung BGB598 Licensed Representative 1, 4, 9

LO Ka Yue BFX713 Licensed Representative 1

LO Shui Wah AOB249 Licensed Representative 2

LO Tai Leung, Sam AIH728 Licensed Representative 1, 2

LO Wai Kiu AYI485 Licensed Representative 1

LOH Yian Ning BGB961 Licensed Representative 10

LOU Lai Sa BGA896 Licensed Representative 1

LU Haichen BGE637 Licensed Representative 10

LU Qingyuan BFY691 Licensed Representative 1

LU Shiwei BFZ179 Licensed Representative 1, 2, 4

LUK Chi Yang Jonathan BFY606 Licensed Representative 4, 5, 9

LUO Junyao BGB505 Licensed Representative 10

LV Sihui BGB553 Licensed Representative 1

LYU Yu BGA441 Licensed Representative 4

MA Jui Hsiang ARJ662 Licensed Representative 4, 9

MA Nao BFY246 Licensed Representative 4, 9

MA Sau Yung BGA922 Licensed Representative 1

MA Wing Yin, Janice BGA515 Licensed Representative 1

MAK Chun Yam BGA991 Licensed Representative 1, 9

MAK Wing Yee BGA799 Licensed Representative 4, 9

MAUGEST Pierre Emmanuel BGB340 Licensed Representative 1, 6

MC DERMOTT Glen Michael ARM737 Licensed Representative 1, 4

MCCAFFERTY James Stephen BAM438 Licensed Representative 4

MCDONALD Anthony Delano AVV776 Licensed Representative 1, 2

MCKENNA Angela Sou-wai AWT846 Licensed Representative 1

MENG Haoting BFW977 Licensed Representative 1, 4, 6

MENG Jun BFY877 Licensed Representative 1, 4, 6

MIGNON Hartly AQH432 Licensed Representative 1, 4

MIYAKE Haruka BGA966 Licensed Representative 1

MO Guowei BGC454 Licensed Representative 1, 6

MODI Nishank Pramod BGA623 Licensed Representative 1, 2, 9

MOHINANI Pradeep AEN512 Licensed Representative 9

MOORE Ciaran Charles BGA622 Licensed Representative 1

MUI Andy Tin Yan BFZ493 Licensed Representative 3

MUI Yu Yuk AVM402 Licensed Representative 1, 4, 7

Page 7 of 25

Page 8: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2015

CE Name CE No. Licence Type Types of Regulated Activity

NEO Avon AKM123 Licensed Representative 1

NESSI Andreas Martin BFY117 Licensed Representative 1, 4, 9

NEUBERT Daniel Mc Neil BGB245 Licensed Representative 1, 2

NG Chiu Ming BFX845 Licensed Representative 1

NG Hoi Yin ARO900 Licensed Representative 1

NG Julian Chi Wo BFZ525 Licensed Representative 1, 4, 6

NG Wai Man, Amy BGA692 Licensed Representative 1

NG Yvonne Pui Shan AHY080 Licensed Representative 1, 4, 9

NGAI Ho Wai Christopher BFY250 Licensed Representative 6

NGAN Man Por Edmond BGC228 Licensed Representative 1

NGUY Chloe Tsz Ting BFZ071 Licensed Representative 1

NI Zhicheng BGD662 Licensed Representative 9

NING Xinyuan BFX866 Licensed Representative 1

NIU Chenlin BGB029 Licensed Representative 4, 6

NOMURA Hironoshin BFX977 Licensed Representative 4

OH Ji Won BGB258 Licensed Representative 1

PAN Qi BBV884 Licensed Representative 1, 4, 9

PANG Fuk Kwan, Carol BGA806 Licensed Representative 1

PANJABI Ashwin Mohan BGC200 Licensed Representative 2, 5

PARK Christina Jin Shim BGB455 Licensed Representative 1, 4, 9

PARK Jong IL Howard BGE380 Licensed Representative 1

PARK Jun BGA448 Licensed Representative 1, 4, 6

PARK Sung Bae BFZ080 Licensed Representative 1, 4, 6

PAT Ka Man AXN889 Licensed Representative 1, 4

PEFANIS Anastasios Tassos BGB532 Licensed Representative 1, 4, 6

PEPPING Joseph BFY463 Licensed Representative 1, 4, 6

PETRIE Thomas BFY856 Licensed Representative 1, 2

PHEY Guo Quan, Lewis BFX188 Licensed Representative 1, 2, 7

PISHVAIE Sirus BGA968 Licensed Representative 1, 2, 7

PODDAR Neha BFW809 Licensed Representative 1, 2

PONG Hoi Yiu, Heidi BGB548 Licensed Representative 6

POON Dickson Pearson Guanda BFY982 Licensed Representative 1, 6

POON Sin Wai, Charade BGB438 Licensed Representative 1, 4

POON Yeuk Wan, Carolyn AHT395 Licensed Representative 1

PUN Chan Fong BGC810 Licensed Representative 1, 6

QIAN Jin BFX731 Licensed Representative 1, 6

QIN Fen BGA853 Licensed Representative 6

QIN Qin BGA894 Licensed Representative 4

QIN Zhen BGB949 Licensed Representative 1

QU Haokun BFZ557 Licensed Representative 1, 4, 6

QU Shiyu BGB422 Licensed Representative 9

Rachit Raj BFF384 Licensed Representative 1, 2

REEVES Andrew James AJK532 Licensed Representative 1, 2

REN Guanlei BFX733 Licensed Representative 1, 6

REN Lixing BGA681 Licensed Representative 2

REN Yi BGA394 Licensed Representative 1, 4

ROBINSON David Stuart BFZ351 Licensed Representative 1

ROY Pierre AIB931 Licensed Representative 9

SACHANANDANI Bharat Kumar AJD185 Licensed Representative 1, 2

SALONGA Benjamin III Puzon BGB038 Licensed Representative 1, 2, 7

SAN Chung Tat, Nelson BGB704 Licensed Representative 1

SCALLAN Kevin Fintan BGB731 Licensed Representative 1, 2

SEOL Brandon Doebin BGB531 Licensed Representative 1, 4, 6

Page 8 of 25

Page 9: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2015

CE Name CE No. Licence Type Types of Regulated Activity

SEONG Kyeong Sik BFZ082 Licensed Representative 1, 4, 6

SERFATI Stephane David BGA752 Licensed Representative 1, 2, 4, 5

SHA Sha BFX499 Licensed Representative 1, 6

SHAH Ryan Shailesh BFI955 Licensed Representative 1

SHAN An Fu BFY654 Licensed Representative 1, 4

SHAN Ling BGB366 Licensed Representative 1, 4, 6

SHANG Qian BGC151 Licensed Representative 1, 6

SHEN Hao BGA710 Licensed Representative 1, 4, 9

SHEN Hu BFW328 Licensed Representative 4

SHEN Shijun BGA586 Licensed Representative 1, 6

SHEN Zheyi BFY255 Licensed Representative 1, 4, 6

SHI Wen BFZ560 Licensed Representative 1, 4, 6

SHIU Gi Pin APW369 Licensed Representative 1

SHU Liangfeng BGB337 Licensed Representative 2

SI Jia BGE553 Licensed Representative 4, 9

SIAO Li Gee, Ricky BFY282 Licensed Representative 1, 4, 9

SIMMONS James Alexander APB737 Licensed Representative 1

SIN Tsui Yan BGB052 Licensed Representative 1, 4, 9

SIU Chung Wa BGA702 Licensed Representative 4

SIU Po Cheung BGD956 Licensed Representative 1

SO Jessica Tze Kay BFY858 Licensed Representative 1, 6

SO Sin Ting ATE245 Licensed Representative 1

SONG Rui BGA602 Licensed Representative 1

SONG Ting BGA886 Licensed Representative 1, 4

SONG Xiao Wei AUC824 Licensed Representative 4

SONG Zhiyi BGB785 Licensed Representative 1, 4

STUBBS Sue Lyn BGC437 Licensed Representative 1, 6

SUEN Yiu Cho BGB443 Licensed Representative 1, 2

SUN Biyang BGA587 Licensed Representative 1, 6

SUN Juran BFZ367 Licensed Representative 1, 4, 6

SUN Xiangmei BGB030 Licensed Representative 4, 6

SUN Yingtao BGA520 Licensed Representative 1, 6

SUN Yu BGA555 Licensed Representative 4

SWAIN Manoj Kumar BGA827 Licensed Representative 1, 2

SZE Kwun Yu, Jason AXD898 Licensed Representative 1, 2

TAI Karen Kai Lun BGB756 Licensed Representative 1

TAI Tak Yee, Yvonne ADU050 Licensed Representative 1, 4

TAM Wai Lun Leonard BFY666 Licensed Representative 1, 4, 9

TAN JACK H BFY637 Licensed Representative 1

TAN Jiaping BFZ641 Licensed Representative 4

TAN Kaijie AOL208 Licensed Representative 1

TAN Tian BFZ369 Licensed Representative 1, 6

TANG Chin Kit BGE010 Licensed Representative 1

TANG Minzu BFY657 Licensed Representative 6

TANG Raelene BGD671 Licensed Representative 1, 4, 6

TANG Thomas Yaw Fay ARH348 Licensed Representative 1, 4, 9

TANG Tsz Kwong AWF971 Licensed Representative 1, 2, 4, 5

TANG Wai Wan Danny BGC162 Licensed Representative 1, 7

TANG Wing To ALZ917 Licensed Representative 1, 2

TAY Lingshan, Esther BGB266 Licensed Representative 1

TAYLOR Edward Richard John AXH019 Licensed Representative 1

TEO Kheang Hui Robin BGD840 Licensed Representative 1, 4

TEO Kim Guan ANX459 Licensed Representative 1, 2

Page 9 of 25

Page 10: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2015

CE Name CE No. Licence Type Types of Regulated Activity

TEO Yung Keong BFY076 Licensed Representative 4

THANT Kyi Zar BFY999 Licensed Representative 1

TIAN Fan BGB442 Licensed Representative 1

TIAN Jin BFY294 Licensed Representative 6

TIKOLO Oluwatobi Temitope Martins BFZ225 Licensed Representative 1, 2, 7

TING Hao-wei AJN350 Licensed Representative 1, 4, 9

TIU CO Rodrigo Chua BFZ617 Licensed Representative 1

TONG Xin BFV215 Licensed Representative 1, 4, 6

TRAN Fon Francis AWR700 Licensed Representative 9

TSAI Allen Pei-jan ALV361 Licensed Representative 4, 9

TSAI Tsung Yu BGC774 Licensed Representative 1, 6

TSANG Cheuk Chee Chloe BFZ387 Licensed Representative 1, 2, 7

TSANG Ka Ho BGB435 Licensed Representative 1

TSANG Wai Lun BGA742 Licensed Representative 1

TSE Sze Wan BGC770 Licensed Representative 1, 6

TSE Wai Man ADB018 Licensed Representative 1, 4

TSOI Anthony BGB555 Licensed Representative 1, 4, 9

TSUI Wai Sin BGA556 Licensed Representative 1

TSUI Yi BFZ563 Licensed Representative 6

USAI Andrea BGA577 Licensed Representative 10

VITRY Frantz AWH797 Licensed Representative 1, 2, 7

WAH Chee Hang Leo ABV411 Licensed Representative 10

WAH Ka Yin AGY607 Licensed Representative 1

WAN Hei Yeung AZF510 Licensed Representative 9

WAN Yuanjun BFX523 Licensed Representative 1, 6

WANG Chun Yai BGB059 Licensed Representative 9

WANG Danny Dongru BGB570 Licensed Representative 1, 6

WANG Dianhong BFZ366 Licensed Representative 4

WANG Huifeng BGA440 Licensed Representative 1, 4, 6

WANG Huimin BGA480 Licensed Representative 1, 6

WANG Jie BGE556 Licensed Representative 4, 9

WANG Mian BGE020 Licensed Representative 1, 4, 9

WANG Qian APC737 Licensed Representative 1, 4, 9

WANG Qingpeng BGB506 Licensed Representative 1

WANG Songzhou BGD163 Licensed Representative 1, 6

WANG Wendan BGA506 Licensed Representative 4

WANG Xiaojun BFX807 Licensed Representative 1, 4, 6

WANG Yuan BFY612 Licensed Representative 1, 6

WANG Zijian BGG797 Licensed Representative 1, 2

WAT Hiu Ching AMZ188 Licensed Representative 4, 9

WATANABE Joji BGA574 Licensed Representative 1, 2, 4, 5

WEI Xiaopeng BFX401 Licensed Representative 4, 9

WEINERT Robert Thomas BGB557 Licensed Representative 1

WEST Mark Donald BFX305 Licensed Representative 1

WONG Cheuk Ki AXZ792 Licensed Representative 1

WONG Chi Ho BGB737 Licensed Representative 9

WONG Ching Wah ATH364 Licensed Representative 1, 4

WONG Christopher Timothy BFY617 Licensed Representative 6

WONG Chun Ting BGC804 Licensed Representative 1, 6

WONG Chun Yu BGC479 Licensed Representative 1, 2, 4

WONG Chung Wai AGM503 Licensed Representative 1, 4

WONG Dick Hong APR439 Licensed Representative 1, 4

WONG Hiu Cheung BFY879 Licensed Representative 1

Page 10 of 25

Page 11: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2015

CE Name CE No. Licence Type Types of Regulated Activity

WONG Hui, Anita ABW923 Licensed Representative 1, 4

WONG Ka Lee AZG056 Licensed Representative 1, 4

WONG Kin Pan BFZ622 Licensed Representative 1

WONG King Leong BGA568 Licensed Representative 1

WONG Kwun Shing BDC143 Licensed Representative 1

WONG Meng Yue BGE590 Licensed Representative 1, 2, 4, 5

WONG Sin Man, Selena BGA609 Licensed Representative 1, 6

WONG Siu Ming BGB205 Licensed Representative 1

WONG Sook Wah BFY435 Licensed Representative 1, 4

WONG To Lun BGB504 Licensed Representative 1

WONG Tsz Hin Chris AYH771 Licensed Representative 1, 4, 7

WONG Wai Yin BGB746 Licensed Representative 1, 4

WONG Wing Yuen, Chris AEQ064 Licensed Representative 2, 5

WONG Yui Man Dominic BGB211 Licensed Representative 1

WRIGHT Lindsay Megan AKY945 Licensed Representative 1, 4

WU Canghai BFY432 Licensed Representative 1, 2

WU Fangyu BGB723 Licensed Representative 6

WU Linpeng BGA438 Licensed Representative 1, 4, 9

WUN Tsz Hin BGE372 Licensed Representative 4, 9

WYSOCKI Michal Franciszek BFZ217 Licensed Representative 1, 2, 9

XIA Buwang BFZ344 Licensed Representative 1, 4, 6

XIA Yang BGB713 Licensed Representative 6

XIAO Qian BGA973 Licensed Representative 4

XIAO Xiaochuan BGD218 Licensed Representative 1

XIE Di BFY650 Licensed Representative 1, 6

XIE Yi BFZ396 Licensed Representative 1

XIE Yu BGD219 Licensed Representative 4

XING Huayu BFX747 Licensed Representative 1, 6

XU Shijing BFZ372 Licensed Representative 1

XUE Yuan BFY105 Licensed Representative 4

YAMAGUCHI Masataka BGB080 Licensed Representative 1, 2

YAMATO Mikihiko BGA463 Licensed Representative 4

YAN Ka Ho BGB456 Licensed Representative 1, 2, 3

YAN Qin BGB033 Licensed Representative 1, 6

YAN Zhichao BFZ074 Licensed Representative 1, 2

YANG Chi Hung BEM329 Licensed Representative 1, 6

YANG Jia BCH643 Licensed Representative 9

YANG Jie ARS746 Licensed Representative 1, 4

YANG Weizhou BFZ031 Licensed Representative 4

YANG Yan AXG818 Licensed Representative 1, 4, 9

YANG Yehui BFZ374 Licensed Representative 4

YAO Li BGB019 Licensed Representative 1

YAP Chuan Sheng Sean BGB530 Licensed Representative 1, 4, 6

YASU Yuma BGB937 Licensed Representative 1, 4, 9

YAU Ka Wing ASL909 Licensed Representative 1

YAU Man Ting BGA393 Licensed Representative 1, 4

YAU Rosanna BGB720 Licensed Representative 1

YE Ping BFX209 Licensed Representative 1, 2, 4

YE Tian BFX165 Licensed Representative 6

YE Yangqi BGA891 Licensed Representative 4

YE Zhijun BFZ096 Licensed Representative 1, 2, 4

YE Zijun APV627 Licensed Representative 4, 9

YEE Ka Fai BFZ618 Licensed Representative 1

Page 11 of 25

Page 12: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2015

CE Name CE No. Licence Type Types of Regulated Activity

YEH Ming Ming BGA349 Licensed Representative 1

YEUNG Chi Wang BFZ018 Licensed Representative 1, 2

YEUNG Chim Cheung ADL300 Licensed Representative 1

YEUNG Chin Hung, Edward ANM988 Licensed Representative 1, 4, 9

YEUNG Chun Chak BFZ639 Licensed Representative 1, 4

YEUNG Chun Yu BGC808 Licensed Representative 6

YEUNG Kai Tak, Andy ADD047 Licensed Representative 1, 4

YEUNG Pauline ATR855 Licensed Representative 9

YEUNG Yan Ho BGE771 Licensed Representative 4, 6

YI Rui BGA678 Licensed Representative 1

YI Xingxing BGC842 Licensed Representative 9

YIM Long Man BGD234 Licensed Representative 1, 6

YIN Chen Yun BFX406 Licensed Representative 1, 2

YIN Huiyun BGB003 Licensed Representative 9

YIN Yurong BFX732 Licensed Representative 1, 6

YIU Kam Fai BGC186 Licensed Representative 1

YIU Wing Sze, Winnie BFZ654 Licensed Representative 1, 4

YOU Zhizi BGC797 Licensed Representative 9

YU Jungho BFX811 Licensed Representative 1, 4, 6

YU Wai Pong BFZ073 Licensed Representative 1, 4

YU Wai Sun BFY027 Licensed Representative 1, 2

YU Yang BGB011 Licensed Representative 1, 2

YU Yuanzhen BFW876 Licensed Representative 2

YU Ziyi BFX990 Licensed Representative 1, 6

YUAN Meinian BFZ008 Licensed Representative 4

YUAN Ziwei BGA580 Licensed Representative 1, 2

YUE Hengyu BGA504 Licensed Representative 4

YUEN Chik Sang AML271 Licensed Representative 1

YUNG Ka Ming BBY785 Licensed Representative 4

ZHANG Cen BGC451 Licensed Representative 4, 9

ZHANG Dongyue BFZ001 Licensed Representative 1, 9

ZHANG Helen Leigh BGB528 Licensed Representative 4

ZHANG Hongyi BFX877 Licensed Representative 1, 6

ZHANG Hongyi BGE031 Licensed Representative 2

ZHANG Jiaqi BGA517 Licensed Representative 1

ZHANG Jiazhen BGB084 Licensed Representative 1

ZHANG Ke BGA342 Licensed Representative 1

ZHANG Mengcheng BFX166 Licensed Representative 1, 4, 9

ZHANG Ming Min BGB214 Licensed Representative 1, 4, 6

ZHANG Phoebe Xiaoyue BFW810 Licensed Representative 1, 4, 6

ZHANG Qian BGA414 Licensed Representative 1, 4

ZHANG Qianqian BGB534 Licensed Representative 1, 4, 6

ZHANG Qianyang BFX482 Licensed Representative 4

ZHANG Shiyun BFY598 Licensed Representative 1, 4, 9

ZHANG Shusheng BGA450 Licensed Representative 1, 4

ZHANG Sonia Jingshu BGB073 Licensed Representative 1, 6

ZHANG Tingting BFY402 Licensed Representative 6

ZHANG Wangyi BFZ312 Licensed Representative 1

ZHANG Wen BFZ206 Licensed Representative 1

ZHANG Xiaoyue BGA617 Licensed Representative 1, 4, 9

ZHANG Yuan BFX819 Licensed Representative 1, 4, 6

ZHANG Yuanning BFY190 Licensed Representative 1, 4, 6

ZHAO Kainan AVN246 Licensed Representative 1, 6

Page 12 of 25

Page 13: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2015

CE Name CE No. Licence Type Types of Regulated Activity

ZHAO Meiqi BFZ007 Licensed Representative 1

ZHAO Yao BFY025 Licensed Representative 1, 4

ZHAO Yue BGA679 Licensed Representative 1, 2

ZHENG Haining BGA849 Licensed Representative 1, 6

ZHENG Hairuo BGC455 Licensed Representative 1, 6

ZHENG Hui Jie BFZ362 Licensed Representative 1, 4, 6

ZHENG Wentao BGA855 Licensed Representative 1

ZHENG Xiaofeng ALH862 Licensed Representative 1

ZHONG Jing BFZ535 Licensed Representative 1, 2

ZHOU Bangkuan BGD470 Licensed Representative 1, 6

ZHOU Feng BFY254 Licensed Representative 1, 4

ZHU Wenting BGB195 Licensed Representative 1, 4

ZHU Xiaodan BCE756 Licensed Representative 4

ZHU Zhen BGB502 Licensed Representative 10

BAI Haifeng BEL574 Licensed Representative - Responsible Officer 1, 4, 9

BEATTIE Nigel John ACM773 Licensed Representative - Responsible Officer 1, 2, 4, 5

BUERKI Markus BDE585 Licensed Representative - Responsible Officer 3

CHAN Chun Tat AUV962 Licensed Representative - Responsible Officer 1

CHAN Pik Yin, Ivan ACM640 Licensed Representative - Responsible Officer 1

CHANTRIER Gilles Louis Roger BDE587 Licensed Representative - Responsible Officer 3

CHAU Kai Wing AFS381 Licensed Representative - Responsible Officer 1

CHAU Yee Man AEO603 Licensed Representative - Responsible Officer 9

CHENG Kit Bing Jennifer AWK702 Licensed Representative - Responsible Officer 1

CHEUNG Hor Yee, Patricia ANE746 Licensed Representative - Responsible Officer 4, 9

CHEUNG Tak Ming BGD988 Licensed Representative - Responsible Officer 1, 4

CHUNG Wai Shing AFP827 Licensed Representative - Responsible Officer 9

DE FILIPPO Vincent BFJ409 Licensed Representative - Responsible Officer 1

HO Wing Yuen ADJ692 Licensed Representative - Responsible Officer 9

HONG Youn Joung ARD649 Licensed Representative - Responsible Officer 1

LAI Kam Wo ABQ024 Licensed Representative - Responsible Officer 1, 2

LEE Francis AIM240 Licensed Representative - Responsible Officer 3

LEE Mathew Shih Hao AMN727 Licensed Representative - Responsible Officer 4, 9

LEUNG Tsz Lun AIX751 Licensed Representative - Responsible Officer 4

LI Zengyi ATQ757 Licensed Representative - Responsible Officer 9

LIU Guojiang BFO133 Licensed Representative - Responsible Officer 9

LUO John Zhan BFX644 Licensed Representative - Responsible Officer 1, 4

MO Wai Hong, Matthew ABY694 Licensed Representative - Responsible Officer 9

NISHI Tetsuhiro AUV963 Licensed Representative - Responsible Officer 1, 4, 7

PIOVARCSY Karol BFT767 Licensed Representative - Responsible Officer 2

RIEHL Peter William BFR442 Licensed Representative - Responsible Officer 9

SETHI Pavandeep BFS323 Licensed Representative - Responsible Officer 9

TAN Edna Lorraine AIR089 Licensed Representative - Responsible Officer 4

TEN BRUMMELER Alexander Rossli BFL132 Licensed Representative - Responsible Officer 9

TSE Hiu Fung, Arthur BGA993 Licensed Representative - Responsible Officer 1, 9

WAN Hui Yeung BGB760 Licensed Representative - Responsible Officer 9

WAN Ka Ki, Katherine APY872 Licensed Representative - Responsible Officer 9

WANG Yingfeng BFJ344 Licensed Representative - Responsible Officer 9

WESTERKAMP George Johannes Joseph BFP140 Licensed Representative - Responsible Officer 1

WU Mimi Yu Ching AES151 Licensed Representative - Responsible Officer 9

XIONG Yun BFJ343 Licensed Representative - Responsible Officer 9

YEUNG Wai Fai, Andrew AFU161 Licensed Representative - Responsible Officer 1, 6

YIP Long Kau, Matthew APG908 Licensed Representative - Responsible Officer 9

YOON Dong Hyuk AOJ335 Licensed Representative - Responsible Officer 1

Page 13 of 25

Page 14: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2015

CE Name CE No. Licence Type Types of Regulated Activity

ZHANG Alexandra Y AXY680 Licensed Representative - Responsible Officer 9

ZHOU Quan AXC620 Licensed Representative - Responsible Officer 4, 9

AN Qi BGH033 Licensed Representative (Provisional Licence) 4, 9

ANAND Rahul BGE604 Licensed Representative (Provisional Licence) 1

AU Yuen Ying BGG935 Licensed Representative (Provisional Licence) 1

AWANOHARA Naoko AWE541 Licensed Representative (Provisional Licence) 1

BAI Yu BGE805 Licensed Representative (Provisional Licence) 4, 9

BARCLAY Samuel Anthony Lun BGD645 Licensed Representative (Provisional Licence) 1, 2, 7

BHATT Jay Ballabh BGG951 Licensed Representative (Provisional Licence) 1

BIAN Yiran BGG381 Licensed Representative (Provisional Licence) 1, 2

BOTHRA Gunjan BGA581 Licensed Representative (Provisional Licence) 1, 2

CADERAS Daniel BGB571 Licensed Representative (Provisional Licence) 4, 9

CAI Peng BGG428 Licensed Representative (Provisional Licence) 1, 4

CAI Sheng BGG939 Licensed Representative (Provisional Licence) 4

CAO Wenjia BFY122 Licensed Representative (Provisional Licence) 1, 4, 6

CAO Yicheng BGG421 Licensed Representative (Provisional Licence) 1, 6

CARTER Edward Jack Onslow BGD665 Licensed Representative (Provisional Licence) 1, 4

CEURVORST Alistair Paul BGE584 Licensed Representative (Provisional Licence) 1, 4, 9

CHA Je Hoon BGD831 Licensed Representative (Provisional Licence) 2

CHA Yong Jin BGE287 Licensed Representative (Provisional Licence) 4, 9

CHAN Andy Tak Chun BGH341 Licensed Representative (Provisional Licence) 1

CHAN Angela AMY550 Licensed Representative (Provisional Licence) 1, 4

CHAN Cheuk Wing BBU902 Licensed Representative (Provisional Licence) 1, 6

CHAN Chui Chu BBO927 Licensed Representative (Provisional Licence) 1

CHAN Hoi Ting BGD849 Licensed Representative (Provisional Licence) 1, 6

CHAN Ka Chun, Edwin BGB734 Licensed Representative (Provisional Licence) 1, 2, 7

CHAN Kin Yen, Kenneth BGD426 Licensed Representative (Provisional Licence) 1

CHAN Kwan Tak AYY175 Licensed Representative (Provisional Licence) 1

CHAN Kwing BGE914 Licensed Representative (Provisional Licence) 1, 2

CHAN Lap San Raymond AQH361 Licensed Representative (Provisional Licence) 4, 9

CHAN Lif Sing BGE146 Licensed Representative (Provisional Licence) 1, 2

CHAN Lung Wai, Chris BGG775 Licensed Representative (Provisional Licence) 1

CHAN Man, Anna AKY988 Licensed Representative (Provisional Licence) 1

CHAN Raymond Pha Giong AFP268 Licensed Representative (Provisional Licence) 1, 4

CHAN Sin Ting, Monica BGD460 Licensed Representative (Provisional Licence) 1, 4, 9

CHAN Soong Khuen Kevin BGG412 Licensed Representative (Provisional Licence) 1, 9

CHAN Sui Na Lois AYJ257 Licensed Representative (Provisional Licence) 1

CHAN Suk Han BGC389 Licensed Representative (Provisional Licence) 1, 4

CHAN Sze Nung BGG398 Licensed Representative (Provisional Licence) 1

CHAN Wai APB789 Licensed Representative (Provisional Licence) 1, 4

CHAN Yin Kwong BAG422 Licensed Representative (Provisional Licence) 1

CHAN Zhen Wei BGH259 Licensed Representative (Provisional Licence) 1, 4

CHANG Hsun-Chih AUG806 Licensed Representative (Provisional Licence) 4

CHANG Kam Ngai BGD703 Licensed Representative (Provisional Licence) 1, 2

CHANG Lawrence BGA353 Licensed Representative (Provisional Licence) 1, 6

CHANG Wen- I Phoebe BAX300 Licensed Representative (Provisional Licence) 1, 4, 6

CHEN Bing-Hai Christopher BGG639 Licensed Representative (Provisional Licence) 1, 2, 9

CHEN Bo BGE258 Licensed Representative (Provisional Licence) 1, 6

CHEN Fang BGG943 Licensed Representative (Provisional Licence) 6

CHEN Jiahua BGE946 Licensed Representative (Provisional Licence) 1, 4

CHEN Jiaxin BGG784 Licensed Representative (Provisional Licence) 1

CHEN Lingling BGE269 Licensed Representative (Provisional Licence) 1, 4, 6

CHEN Peng BGG974 Licensed Representative (Provisional Licence) 6

Page 14 of 25

Page 15: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2015

CE Name CE No. Licence Type Types of Regulated Activity

CHEN Qi BGE480 Licensed Representative (Provisional Licence) 1, 4, 9

CHEN Yueh Chun BGD871 Licensed Representative (Provisional Licence) 1, 6

CHEN Yufei AUM509 Licensed Representative (Provisional Licence) 4, 9

CHEN Yu-Fu BGE441 Licensed Representative (Provisional Licence) 1, 2, 9

CHEN Zhi BGG860 Licensed Representative (Provisional Licence) 1, 6

CHEN Zhuoming BGG933 Licensed Representative (Provisional Licence) 6

CHENG Cheng BGE030 Licensed Representative (Provisional Licence) 1, 6

CHENG Mei Ling, Christine BGG507 Licensed Representative (Provisional Licence) 1

CHENG Shi BGC800 Licensed Representative (Provisional Licence) 4

CHENG Ting Ting BGD684 Licensed Representative (Provisional Licence) 1, 4, 6

CHENG Wai Mo, Raymond AIJ587 Licensed Representative (Provisional Licence) 4

CHENG Yee Man BGG143 Licensed Representative (Provisional Licence) 1, 2, 4, 5

CHEUNG Ka Ping AOQ753 Licensed Representative (Provisional Licence) 1

CHEUNG Kit Yee, Phoebe BGG152 Licensed Representative (Provisional Licence) 1

CHEUNG Lee Ling BGG154 Licensed Representative (Provisional Licence) 1

CHEUNG Yik Shan APP580 Licensed Representative (Provisional Licence) 1, 2

CHEUNG Yik Shu, Edward AIZ246 Licensed Representative (Provisional Licence) 1, 4, 9

CHHABRIA Siddharth Deepak BGH115 Licensed Representative (Provisional Licence) 1, 2, 7

CHIA James Ming Yao AZB028 Licensed Representative (Provisional Licence) 9

CHIU Ariel Yen-min BGD859 Licensed Representative (Provisional Licence) 9

CHIU Chun Pong AFY720 Licensed Representative (Provisional Licence) 1, 4, 6

CHON Charles Chungsik BGG591 Licensed Representative (Provisional Licence) 9

CHOW Emily Kwun-yue BGE938 Licensed Representative (Provisional Licence) 1, 6

CHOW Tsz Kit Vincent BGE065 Licensed Representative (Provisional Licence) 6

CHU Chun Shing BGD147 Licensed Representative (Provisional Licence) 1, 2, 3

CHUI Kin Ching BGE203 Licensed Representative (Provisional Licence) 1, 2

CHUK Yuen Ting, Fion BGC775 Licensed Representative (Provisional Licence) 1, 2, 9

CHUNG Yau Kwun BGG159 Licensed Representative (Provisional Licence) 9

CLAPHAM Thomas Antony AOC719 Licensed Representative (Provisional Licence) 1, 4

CLAVEL Mathieu Pierre Luc BGG689 Licensed Representative (Provisional Licence) 9

COMAL GOPALAN Mukundh BEO888 Licensed Representative (Provisional Licence) 1, 4, 6

CONSTABLE Gemma BGD862 Licensed Representative (Provisional Licence) 9

CUI Zheng BGD405 Licensed Representative (Provisional Licence) 6

DENG Wing Cheong BGG498 Licensed Representative (Provisional Licence) 1, 6

DENG Yuekai BGE282 Licensed Representative (Provisional Licence) 1, 2

DENG Yuqun BGG959 Licensed Representative (Provisional Licence) 1, 6

DING Wei AJD078 Licensed Representative (Provisional Licence) 1, 6

DIXIT Tanvi BGE019 Licensed Representative (Provisional Licence) 1

DONG Shuya BGC831 Licensed Representative (Provisional Licence) 1, 4

EUCHUKANONCHAI Kasina BGD420 Licensed Representative (Provisional Licence) 1, 4, 6

FANG Zhichen BGD192 Licensed Representative (Provisional Licence) 1, 4, 9

FERNANDES Lyle Paul BGD648 Licensed Representative (Provisional Licence) 4

FONG Yiu Lam BGE582 Licensed Representative (Provisional Licence) 1, 2, 4

FU Si BGC140 Licensed Representative (Provisional Licence) 1, 4

FU Kaidi BGG167 Licensed Representative (Provisional Licence) 4

FUNG Chung Yin Mabel BGE474 Licensed Representative (Provisional Licence) 1, 4, 6

FUNG Ming Lit BGE059 Licensed Representative (Provisional Licence) 1

GAN Lin BGH325 Licensed Representative (Provisional Licence) 4

GARG Manish AKT480 Licensed Representative (Provisional Licence) 1, 2, 4, 5

GODSELL Christopher John BGE396 Licensed Representative (Provisional Licence) 1, 2

GONG Haibo BGE811 Licensed Representative (Provisional Licence) 6

GREENE JR William Jeffrey AUX423 Licensed Representative (Provisional Licence) 1, 4

GUERIRI Walid BGE243 Licensed Representative (Provisional Licence) 1, 2, 4, 5

Page 15 of 25

Page 16: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2015

CE Name CE No. Licence Type Types of Regulated Activity

GUO Dandan BGC838 Licensed Representative (Provisional Licence) 1, 2, 4

GUO Min BGH538 Licensed Representative (Provisional Licence) 1, 4

GUO Yujia BGE265 Licensed Representative (Provisional Licence) 1, 4, 6

GUPTA Avinash Hariom BFO840 Licensed Representative (Provisional Licence) 1, 2

GUPTA Rahul AGZ998 Licensed Representative (Provisional Licence) 9

GWISAI Tafadzwa BGE586 Licensed Representative (Provisional Licence) 1, 6

HA Ho Yin BGE592 Licensed Representative (Provisional Licence) 1

HAN Feng AZR574 Licensed Representative (Provisional Licence) 4, 9

HAN Moyuan BGE615 Licensed Representative (Provisional Licence) 9

HAN Xiaobo BGF971 Licensed Representative (Provisional Licence) 4

HANG Kwong Lam, David AAI986 Licensed Representative (Provisional Licence) 1, 2, 4, 5

HE Juneng BGG873 Licensed Representative (Provisional Licence) 1

HE Yi APL689 Licensed Representative (Provisional Licence) 1, 2

HE Yingzhou BGG142 Licensed Representative (Provisional Licence) 6

HE Yuan BGG431 Licensed Representative (Provisional Licence) 1

HENG Aik Lee, Jared Aaron BGD473 Licensed Representative (Provisional Licence) 1

HERGESHEIMER Niklaus Charles BFN303 Licensed Representative (Provisional Licence) 1, 2

HICKEY Crystina Joy BGH201 Licensed Representative (Provisional Licence) 1, 4

HO Hin Man BGH299 Licensed Representative (Provisional Licence) 1, 2

HO Hou BGE909 Licensed Representative (Provisional Licence) 1

HO Karen AXL899 Licensed Representative (Provisional Licence) 1, 2

HO Tak Ming, Benny AJH567 Licensed Representative (Provisional Licence) 1, 2

HO Wan Ching BGD482 Licensed Representative (Provisional Licence) 6

HO Yuan-Hsiang AXW317 Licensed Representative (Provisional Licence) 9

HOU Qi BGD478 Licensed Representative (Provisional Licence) 1, 6

HOU Xiaoting BGB587 Licensed Representative (Provisional Licence) 1, 4

HOWARD Stephen Douglas AHR787 Licensed Representative (Provisional Licence) 4, 5, 9

HU Jiaming BGF975 Licensed Representative (Provisional Licence) 1, 4

HU Xiaohao BGD826 Licensed Representative (Provisional Licence) 1

HU Xing BGE917 Licensed Representative (Provisional Licence) 1, 4, 6

HU Yuqing BGG586 Licensed Representative (Provisional Licence) 1, 6

HUANG Chun Yi AOV622 Licensed Representative (Provisional Licence) 1, 4, 9

HUANG Guoyi BCB646 Licensed Representative (Provisional Licence) 1, 2

HUANG Han BGE786 Licensed Representative (Provisional Licence) 1, 6

HUANG Xian Jia AQH654 Licensed Representative (Provisional Licence) 4, 9

HUANG Zhaofei BGE472 Licensed Representative (Provisional Licence) 1, 4, 6

HUI Ka Leung Maxwell BGE890 Licensed Representative (Provisional Licence) 1, 2, 4, 5, 9

HUSAINIE Syed Sherjan BGC384 Licensed Representative (Provisional Licence) 1, 6

HWANG Hongkyun BGC761 Licensed Representative (Provisional Licence) 1

ILAR Kristina Birgitta BGD472 Licensed Representative (Provisional Licence) 1

IP Wai Hung AFO416 Licensed Representative (Provisional Licence) 1

IP Wing Yan BGE394 Licensed Representative (Provisional Licence) 1, 2

JAIN Abhishek Shantilal AVR370 Licensed Representative (Provisional Licence) 9

JAYARAM Jaya Sanjay BGD205 Licensed Representative (Provisional Licence) 1

JHANG Sin-Lun ATH710 Licensed Representative (Provisional Licence) 1

JIANG Lei BGG414 Licensed Representative (Provisional Licence) 1, 4, 6

JIANG Lin BGE907 Licensed Representative (Provisional Licence) 1, 4

JIAO Jian BGE054 Licensed Representative (Provisional Licence) 1, 4, 6

JUN Joon Sang BGE035 Licensed Representative (Provisional Licence) 1, 6

JUN Sung Wook BGE392 Licensed Representative (Provisional Licence) 1

KAKU Shujitsu BGC191 Licensed Representative (Provisional Licence) 1, 4, 6

KAMAT Vishal Ramesh BGE810 Licensed Representative (Provisional Licence) 1

KANEKO Junichi BGB943 Licensed Representative (Provisional Licence) 1, 2

Page 16 of 25

Page 17: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2015

CE Name CE No. Licence Type Types of Regulated Activity

KANG Chuang BGA486 Licensed Representative (Provisional Licence) 1, 4, 6

KANG Kai BGH497 Licensed Representative (Provisional Licence) 1

KANG Mina BGE792 Licensed Representative (Provisional Licence) 1, 4, 9

KASTEN Olaf AGG322 Licensed Representative (Provisional Licence) 1, 4, 9

KHAN Rehna Yasmin BGG163 Licensed Representative (Provisional Licence) 4, 9

KIM Han BGD165 Licensed Representative (Provisional Licence) 1, 4, 9

KIM Kyung Han AQQ105 Licensed Representative (Provisional Licence) 1, 4, 6

KIM Yong Duk BGG675 Licensed Representative (Provisional Licence) 1, 4, 9

KIM Yujin BGH476 Licensed Representative (Provisional Licence) 1, 6

KIYO Kei BFR490 Licensed Representative (Provisional Licence) 1, 4

KU Jun Ho BGE029 Licensed Representative (Provisional Licence) 1, 2, 4, 5

KUMAR Ashish BCH673 Licensed Representative (Provisional Licence) 1, 2, 4, 5

KUMAR Rakesh BGG430 Licensed Representative (Provisional Licence) 4

KUNG Kim Cho AXO982 Licensed Representative (Provisional Licence) 1, 2

KWEK Stella BGG589 Licensed Representative (Provisional Licence) 9

KWOK Chor Man AGL485 Licensed Representative (Provisional Licence) 1, 4, 9

KWONG Ka Fai BGH188 Licensed Representative (Provisional Licence) 1

LAI Fai Po BGG838 Licensed Representative (Provisional Licence) 1

LAI Kam Hung BGE016 Licensed Representative (Provisional Licence) 4

LAI Kok Yuen BGE139 Licensed Representative (Provisional Licence) 4

LAM Cheung Yu BFW629 Licensed Representative (Provisional Licence) 1, 2

LAM Chi Man Pearl BGE060 Licensed Representative (Provisional Licence) 6

LAM Chi Yin, Yvonne AEC034 Licensed Representative (Provisional Licence) 1

LAM Fong BGH038 Licensed Representative (Provisional Licence) 9

LAM Siu Man AIH364 Licensed Representative (Provisional Licence) 1

LAM Wai Kei BGD647 Licensed Representative (Provisional Licence) 4

LAM Wing Ki BGF032 Licensed Representative (Provisional Licence) 1

LAM Wing Man BGG500 Licensed Representative (Provisional Licence) 4

LAM Yan Yee BGG833 Licensed Representative (Provisional Licence) 1, 2

LANGE Julien BGC442 Licensed Representative (Provisional Licence) 1, 2, 4

LAU So On ARQ251 Licensed Representative (Provisional Licence) 4, 9

LAU Tsz Yeung BEQ722 Licensed Representative (Provisional Licence) 1

LAW Chi Ho BGC796 Licensed Representative (Provisional Licence) 1

LAW Wing Hang BGE442 Licensed Representative (Provisional Licence) 1

LEE Tze Ying BGG637 Licensed Representative (Provisional Licence) 6

LEE David Byung Kon BGE374 Licensed Representative (Provisional Licence) 4, 9

LEE Eugene Keng Yew AUC307 Licensed Representative (Provisional Licence) 1, 4, 6

LEE Hoi Man BGE164 Licensed Representative (Provisional Licence) 6

LEE Jie Ming Jeremy BGG674 Licensed Representative (Provisional Licence) 1

LEE John BDL400 Licensed Representative (Provisional Licence) 1

LEE Koeun BGE902 Licensed Representative (Provisional Licence) 1, 4, 9

LEE Kwan Lun, Colin BGC215 Licensed Representative (Provisional Licence) 1, 4

LEE Kwok Chu BBG831 Licensed Representative (Provisional Licence) 1

LEE PANG Yat Sum, Rita BDW135 Licensed Representative (Provisional Licence) 4, 9

LEE Shun Hang BGD494 Licensed Representative (Provisional Licence) 1

LEE Tin Wing AXY953 Licensed Representative (Provisional Licence) 1, 4

LEE Wee Mun Kenneth BGG383 Licensed Representative (Provisional Licence) 1, 4, 6

LEE Yuen Man BGG858 Licensed Representative (Provisional Licence) 1, 2

LEUNG Chi Yung BGE648 Licensed Representative (Provisional Licence) 1, 2

LEUNG Kevin Jun-min BGG803 Licensed Representative (Provisional Licence) 1, 4, 9

LEUNG Wai Hung BGB705 Licensed Representative (Provisional Licence) 1, 4

LEUNG Yui Hei, Jacky BGE643 Licensed Representative (Provisional Licence) 1, 6

LEWIS Richard John BGC209 Licensed Representative (Provisional Licence) 1, 4

Page 17 of 25

Page 18: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2015

CE Name CE No. Licence Type Types of Regulated Activity

LI Chia Chen BGG699 Licensed Representative (Provisional Licence) 4, 9

LI Chun Kit AGG744 Licensed Representative (Provisional Licence) 1, 2, 7

LI Chun Yin BGD488 Licensed Representative (Provisional Licence) 1

LI Gengrong BGD432 Licensed Representative (Provisional Licence) 1, 2

LI Hin Fung BGG509 Licensed Representative (Provisional Licence) 1

LI Katherine Bei AJO552 Licensed Representative (Provisional Licence) 1, 4

LI Kin Tung BEO613 Licensed Representative (Provisional Licence) 1

LI Meng AMF257 Licensed Representative (Provisional Licence) 9

LI Qian BGD421 Licensed Representative (Provisional Licence) 1, 4, 6

LI Xiaozhou AYQ734 Licensed Representative (Provisional Licence) 4, 9

LI Xuan BGG514 Licensed Representative (Provisional Licence) 1, 4

LI Yichen BGG188 Licensed Representative (Provisional Licence) 1, 6

LI Yick Ho, Douglas BGG170 Licensed Representative (Provisional Licence) 4, 9

LIAN Qinyi BGG584 Licensed Representative (Provisional Licence) 1, 6

LIM Si Jie, Bryan BGD484 Licensed Representative (Provisional Licence) 9

LIN Ken BGC483 Licensed Representative (Provisional Licence) 1, 4

LIN Shijing BGH221 Licensed Representative (Provisional Licence) 1, 6

LIU Andrew Jian BGD853 Licensed Representative (Provisional Licence) 1, 6

LIU Chuchu BGG433 Licensed Representative (Provisional Licence) 6

LIU Derrick BGH438 Licensed Representative (Provisional Licence) 1, 2

LIU Guibao BGD403 Licensed Representative (Provisional Licence) 4, 9

LIU Jonathan Chung Yu BGE012 Licensed Representative (Provisional Licence) 1, 2, 4, 5

LIU Liang BGE209 Licensed Representative (Provisional Licence) 1, 4, 9

LIU Sha BDV116 Licensed Representative (Provisional Licence) 4, 9

LIU Yingyi BGD200 Licensed Representative (Provisional Licence) 1, 4, 9

LO Man ARZ122 Licensed Representative (Provisional Licence) 1, 2

LOH Yian Ning BGB961 Licensed Representative (Provisional Licence) 10

LU Yajun BGF966 Licensed Representative (Provisional Licence) 1

LU Yang BGF973 Licensed Representative (Provisional Licence) 1, 6

LU Yufeng BGF969 Licensed Representative (Provisional Licence) 1, 4, 6

LUI Jason BGG827 Licensed Representative (Provisional Licence) 1

LUI June Yi Vivian BGD194 Licensed Representative (Provisional Licence) 1, 4

LUI Wai Yi BGG574 Licensed Representative (Provisional Licence) 1

LUK Chun Kin ALF377 Licensed Representative (Provisional Licence) 4, 9

LUK Wai Sum BGE246 Licensed Representative (Provisional Licence) 1, 4, 6

LUO Jiawen BGE033 Licensed Representative (Provisional Licence) 1

LUO Shan ARJ350 Licensed Representative (Provisional Licence) 1, 4, 9

LUO Yuan BGC773 Licensed Representative (Provisional Licence) 1, 4

LURIE Mattan Hillel ANB366 Licensed Representative (Provisional Licence) 9

MA Cheng BFA194 Licensed Representative (Provisional Licence) 1, 6

MA Moning BGD654 Licensed Representative (Provisional Licence) 1, 4, 6

MA Yuanrong BGE021 Licensed Representative (Provisional Licence) 1, 2

MAK Chi Wai BGD704 Licensed Representative (Provisional Licence) 1, 2

MAK Timothy Koon Hai AQZ616 Licensed Representative (Provisional Licence) 4

MAK Yan Lui BGH198 Licensed Representative (Provisional Licence) 1, 2

MAN Ronald Lok-tod BGC485 Licensed Representative (Provisional Licence) 1, 4

MANO Stefan BGB559 Licensed Representative (Provisional Licence) 1, 2

MARJOLLET Marie-estelle Audrey BGD688 Licensed Representative (Provisional Licence) 1, 2

MARTIN Charlotte Delphine Cindy BGE260 Licensed Representative (Provisional Licence) 1, 2, 4, 5

MCCORMICK-HOUSTON John Patrick BGC818 Licensed Representative (Provisional Licence) 1, 2

MENG Ning BGE659 Licensed Representative (Provisional Licence) 4, 9

MIGNOT Nicolas Jean-Marie ASD195 Licensed Representative (Provisional Licence) 1, 2

MILLOT Matthieu BGE006 Licensed Representative (Provisional Licence) 1

Page 18 of 25

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2015

CE Name CE No. Licence Type Types of Regulated Activity

MO Guowei BGC454 Licensed Representative (Provisional Licence) 1, 6

MOAT Louise Jane BGG140 Licensed Representative (Provisional Licence) 1, 4, 6

MOCHIZUKI Yuki BGD499 Licensed Representative (Provisional Licence) 1, 4

MOHAMED HYFFNY Elly Nurhannah Binti BGD827 Licensed Representative (Provisional Licence) 1, 2

MOONAN Tavis Lyon Mac Brayne BGG672 Licensed Representative (Provisional Licence) 4, 5

MORIUCHI Kenya BGH052 Licensed Representative (Provisional Licence) 1, 4

MU Lily Tang BGE270 Licensed Representative (Provisional Licence) 1, 4, 6

MUELLER Eric Frank BGE757 Licensed Representative (Provisional Licence) 1, 4, 9

MUI Chun Wai BGD406 Licensed Representative (Provisional Licence) 4, 9

MUI In Fan BGD814 Licensed Representative (Provisional Licence) 1, 4

MUI Man Ki AZC299 Licensed Representative (Provisional Licence) 1

MUI Yu Yuk AVM402 Licensed Representative (Provisional Licence) 1, 4, 7

MUNENAGA Masaki BGG422 Licensed Representative (Provisional Licence) 9

NA Xiaona AOM543 Licensed Representative (Provisional Licence) 1

NAN Feiyan BGG972 Licensed Representative (Provisional Licence) 4

NARAIN Raghavendra AST870 Licensed Representative (Provisional Licence) 1, 4

NG Chee Leung, Bernard APV582 Licensed Representative (Provisional Licence) 1, 2, 4, 9

NG Ching Man, Cynthia BGE807 Licensed Representative (Provisional Licence) 1, 2, 9

NG Gustin Yuen-fung BGF974 Licensed Representative (Provisional Licence) 1, 2

NG Kim Fung, Jason BGG503 Licensed Representative (Provisional Licence) 1, 2, 4

NG Li Sheng Jason BGG975 Licensed Representative (Provisional Licence) 1

NG Yee Ling BGE058 Licensed Representative (Provisional Licence) 6

NG Yu Hung BGE652 Licensed Representative (Provisional Licence) 1, 2

NGAI Chi Wai, Lawrence AIR895 Licensed Representative (Provisional Licence) 1, 6

NI Jian ASG429 Licensed Representative (Provisional Licence) 4, 9

NOMA Ken BGG973 Licensed Representative (Provisional Licence) 6

NOMURA Hironoshin BFX977 Licensed Representative (Provisional Licence) 4

PAN Yue BGG499 Licensed Representative (Provisional Licence) 1, 4, 9

PANG Hin Kwan AEJ242 Licensed Representative (Provisional Licence) 1, 2

PANG Min Chu BGH496 Licensed Representative (Provisional Licence) 1, 2, 4, 5

PANJABI Ashwin Mohan BGC200 Licensed Representative (Provisional Licence) 2, 5

PARK Jong IL Howard BGE380 Licensed Representative (Provisional Licence) 1

PEFANIS Anastasios Tassos BGB532 Licensed Representative (Provisional Licence) 1, 4, 6

PEI Pei BGG651 Licensed Representative (Provisional Licence) 4

PENG Yu-min BGE014 Licensed Representative (Provisional Licence) 1, 2, 4

PENG Zhiting BGH124 Licensed Representative (Provisional Licence) 1

PISHVAIE Sirus BGA968 Licensed Representative (Provisional Licence) 1, 2, 7

PONG Hoi Yiu, Heidi BGB548 Licensed Representative (Provisional Licence) 6

POON Yeuk Wan, Carolyn AHT395 Licensed Representative (Provisional Licence) 1

PORWAL Pradyot BGE603 Licensed Representative (Provisional Licence) 1, 4

POWELL Sarah Jane BGC816 Licensed Representative (Provisional Licence) 1, 4

PUN Chan Fong BGC810 Licensed Representative (Provisional Licence) 1, 6

PUN Hoi Ying BGE566 Licensed Representative (Provisional Licence) 1, 4

QIU Dongrong BFZ356 Licensed Representative (Provisional Licence) 1, 4

QU Man AOG400 Licensed Representative (Provisional Licence) 1, 2

QUAH Wee Chun BAO921 Licensed Representative (Provisional Licence) 1, 4

RADZKI Michael AUE954 Licensed Representative (Provisional Licence) 1

RAN Miao BBN537 Licensed Representative (Provisional Licence) 1

RAO Vigyan AMH160 Licensed Representative (Provisional Licence) 9

RAYMOND Bryan Andrew BGD474 Licensed Representative (Provisional Licence) 4

RIPOLL Remy Jacques Michel BGC777 Licensed Representative (Provisional Licence) 1, 2, 4, 5, 7

RIZVI Syed Hassan Tallal BGG840 Licensed Representative (Provisional Licence) 1

ROBERTS Lawrence Julian BGE222 Licensed Representative (Provisional Licence) 1

Page 19 of 25

Page 20: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2015

CE Name CE No. Licence Type Types of Regulated Activity

RYAN Declan BGG931 Licensed Representative (Provisional Licence) 1, 2, 7

SHAH Ryan Shailesh BFI955 Licensed Representative (Provisional Licence) 1

SHAH Saumil Narendra BGB953 Licensed Representative (Provisional Licence) 1, 2

SHAN Jialin BGG144 Licensed Representative (Provisional Licence) 1, 4

SHAN Yijin BGE263 Licensed Representative (Provisional Licence) 1, 6

SHANG Qian BGC151 Licensed Representative (Provisional Licence) 1, 6

SHEA Sze Wai, Anita AIH529 Licensed Representative (Provisional Licence) 1, 4

SHI Menghan BGE814 Licensed Representative (Provisional Licence) 1, 4, 6

SHIH Jeffrey Jiun-du BGD847 Licensed Representative (Provisional Licence) 2

SI Jia BGE553 Licensed Representative (Provisional Licence) 4, 9

SIAH Geok Wah BGD659 Licensed Representative (Provisional Licence) 1, 4, 6

SIM Seung Jin BGG389 Licensed Representative (Provisional Licence) 1, 2, 7

SIU Hykie ASW953 Licensed Representative (Provisional Licence) 1, 4, 9

SIU Lok Lun Lawrence BGG837 Licensed Representative (Provisional Licence) 1, 2, 4, 5

SIU Po Cheung BGD956 Licensed Representative (Provisional Licence) 1

SMIDA Meriem BGG795 Licensed Representative (Provisional Licence) 1, 4

SO Chun Fei BGE655 Licensed Representative (Provisional Licence) 1, 2

SONG Ran BGE286 Licensed Representative (Provisional Licence) 1, 4, 6

STEVENSON John Arthur Liam BGD408 Licensed Representative (Provisional Licence) 4, 9

STUBBS Sue Lyn BGC437 Licensed Representative (Provisional Licence) 1, 6

SU Wai BGH339 Licensed Representative (Provisional Licence) 4

SU Yingying BGE557 Licensed Representative (Provisional Licence) 1

SUEN Ping Yu AYK671 Licensed Representative (Provisional Licence) 6

SUN Yijun BGF968 Licensed Representative (Provisional Licence) 1, 6

SUNG Hung-Wei BGG701 Licensed Representative (Provisional Licence) 1, 4

SUZUKI Eri BGH145 Licensed Representative (Provisional Licence) 2, 5

TAM Wai Keung ADM183 Licensed Representative (Provisional Licence) 9

TAN Ooi Peng, Daniel BGE420 Licensed Representative (Provisional Licence) 4

TAN Ruijia BGE479 Licensed Representative (Provisional Licence) 1, 4, 6

TANG Bolun BGD485 Licensed Representative (Provisional Licence) 1, 4

TANG Ke BGE407 Licensed Representative (Provisional Licence) 4, 9

TANG Qian BGG018 Licensed Representative (Provisional Licence) 1

TANG Raelene BGD671 Licensed Representative (Provisional Licence) 1, 4, 6

TANG Wai Hung ADI418 Licensed Representative (Provisional Licence) 1, 4, 6

TANG Wai Wan Danny BGC162 Licensed Representative (Provisional Licence) 1, 7

TAW Gregory Michael BGH190 Licensed Representative (Provisional Licence) 1

TEO Kheang Hui Robin BGD840 Licensed Representative (Provisional Licence) 1, 4

THYGESEN Brent George BGG400 Licensed Representative (Provisional Licence) 1, 7

TIAN Xiaoxiao BGG776 Licensed Representative (Provisional Licence) 6

TING Hao-wei AJN350 Licensed Representative (Provisional Licence) 1, 4, 9

TJIU Cheung Yung BGF034 Licensed Representative (Provisional Licence) 1, 2

TO Yuk Sing BGD428 Licensed Representative (Provisional Licence) 1, 4

TONG Sarah Wing Sang BGE601 Licensed Representative (Provisional Licence) 4, 9

TONG Yuhao BGH344 Licensed Representative (Provisional Licence) 6

TRAN Andrew BGE789 Licensed Representative (Provisional Licence) 2

TRUEMAN Nicholas Scott BGC830 Licensed Representative (Provisional Licence) 1, 4

TSAI Allen Pei-jan ALV361 Licensed Representative (Provisional Licence) 4, 9

TSAI Tsung Yu BGC774 Licensed Representative (Provisional Licence) 1, 6

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

TSE Yan Ping BGG157 Licensed Representative (Provisional Licence) 1, 2

TSUI Chi Ho BGE560 Licensed Representative (Provisional Licence) 1, 2, 4

TUBIANA Frederic Antoine AFT309 Licensed Representative (Provisional Licence) 1, 2

WAN Hei Yeung AZF510 Licensed Representative (Provisional Licence) 9

Page 20 of 25

Page 21: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2015

CE Name CE No. Licence Type Types of Regulated Activity

WAN Yuen Fun BGE602 Licensed Representative (Provisional Licence) 1

WANG Ka Ho BGB750 Licensed Representative (Provisional Licence) 1, 4

WANG David Bo BGE277 Licensed Representative (Provisional Licence) 1, 4, 6

WANG Dengqi BGE266 Licensed Representative (Provisional Licence) 1, 4, 6

WANG Hang BGG247 Licensed Representative (Provisional Licence) 1, 4

WANG Jie BGE556 Licensed Representative (Provisional Licence) 4, 9

WANG Mian BGE020 Licensed Representative (Provisional Licence) 1, 4, 9

WANG Qian BGE911 Licensed Representative (Provisional Licence) 4

WANG Songzhou BGD163 Licensed Representative (Provisional Licence) 1, 6

WANG Yike AQF550 Licensed Representative (Provisional Licence) 1, 4, 9

WANG Yinghao BGE289 Licensed Representative (Provisional Licence) 1, 2

WANG Zheng AXA416 Licensed Representative (Provisional Licence) 1, 2

WEI Chuyang BGC776 Licensed Representative (Provisional Licence) 1

WHITFIELD Philip Thomas BGC470 Licensed Representative (Provisional Licence) 1, 4

WILLIAMSON Andrew Masters AXM703 Licensed Representative (Provisional Licence) 1, 2, 4

WONG Chin Pang BGG521 Licensed Representative (Provisional Licence) 1, 2

WONG Hui, Anita ABW923 Licensed Representative (Provisional Licence) 1, 4

WONG Ka Chun BGG432 Licensed Representative (Provisional Licence) 6

WONG Kai Hing BGE032 Licensed Representative (Provisional Licence) 1

WONG Kwok Wai AOY613 Licensed Representative (Provisional Licence) 9

WONG Mang Kiu, Joy BGG409 Licensed Representative (Provisional Licence) 4

WONG Meng Yue BGE590 Licensed Representative (Provisional Licence) 1, 2, 4, 5

WONG Solomon Man Leung BGG936 Licensed Representative (Provisional Licence) 1, 2, 7

WONG Tsz Hin Chris AYH771 Licensed Representative (Provisional Licence) 1, 4, 7

WONG Wah Shing BGG633 Licensed Representative (Provisional Licence) 4, 9

WONG Wai Sum, Sandy BGG565 Licensed Representative (Provisional Licence) 1

WOO Jae Joon BGD466 Licensed Representative (Provisional Licence) 1, 4

WU Liang BGE142 Licensed Representative (Provisional Licence) 9

WU Shengji ARL762 Licensed Representative (Provisional Licence) 1, 4

WU Yuyang BGG714 Licensed Representative (Provisional Licence) 4

XIA Chun BGD821 Licensed Representative (Provisional Licence) 1, 4

XIANG Zhao BGG009 Licensed Representative (Provisional Licence) 1, 4, 9

XIAO Jin BGG646 Licensed Representative (Provisional Licence) 1, 4

XIAO Ping BGE458 Licensed Representative (Provisional Licence) 1

XIAO Wei BGE618 Licensed Representative (Provisional Licence) 4

XIAO Xiaochuan BGD218 Licensed Representative (Provisional Licence) 1

XIE Yu BGD219 Licensed Representative (Provisional Licence) 4

XIONG Jing BGH119 Licensed Representative (Provisional Licence) 1, 4

XIONG Taohong BGG716 Licensed Representative (Provisional Licence) 1, 4, 9

XU Jinping BGG865 Licensed Representative (Provisional Licence) 1

XU Mohan BGH336 Licensed Representative (Provisional Licence) 1, 2, 3

XU Pengbing AWC146 Licensed Representative (Provisional Licence) 1

XU Sijia BGE236 Licensed Representative (Provisional Licence) 1, 9

XU Yingjun BGE395 Licensed Representative (Provisional Licence) 1

XU Yixuan BGH203 Licensed Representative (Provisional Licence) 4

YAM Wai Chung AGK072 Licensed Representative (Provisional Licence) 1

YAN Lok Hang, Walras ASC684 Licensed Representative (Provisional Licence) 1, 2

YAN Yiran BGD658 Licensed Representative (Provisional Licence) 1, 2, 7

YANG David Fang BGE015 Licensed Representative (Provisional Licence) 4, 6, 9

YANG Haojie BGG924 Licensed Representative (Provisional Licence) 4, 9

YAO Hongyu BGF957 Licensed Representative (Provisional Licence) 1, 4

YAU Chau Ting BCY405 Licensed Representative (Provisional Licence) 1, 2

YAU Yuk Ling APJ469 Licensed Representative (Provisional Licence) 1

Page 21 of 25

Page 22: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2015

CE Name CE No. Licence Type Types of Regulated Activity

YE Peilin BGD803 Licensed Representative (Provisional Licence) 1, 6

YE Qian BGF967 Licensed Representative (Provisional Licence) 1, 2

YE Weilu BGG406 Licensed Representative (Provisional Licence) 1, 6

YE Zhenzuo BGD810 Licensed Representative (Provisional Licence) 1, 2

YE Zi BGE905 Licensed Representative (Provisional Licence) 1, 6

YEH Shu-Wei BGE406 Licensed Representative (Provisional Licence) 1, 4, 6

YEUNG Chun Shing, Nathan BGH030 Licensed Representative (Provisional Licence) 1

YEUNG Kwok Kei BBB086 Licensed Representative (Provisional Licence) 1

YEUNG Yim Lan BGG010 Licensed Representative (Provisional Licence) 1, 4, 9

YEUNG Ying Lung BGE650 Licensed Representative (Provisional Licence) 1, 4

YIM Hoi Wai BGH338 Licensed Representative (Provisional Licence) 9

YIM Long Man BGD234 Licensed Representative (Provisional Licence) 1, 6

YIN Hongqiang AWW354 Licensed Representative (Provisional Licence) 1, 6

YIN Li BGH202 Licensed Representative (Provisional Licence) 6

YIP Shirley Wai Yee BGG519 Licensed Representative (Provisional Licence) 1, 6

YIU Ka Po BGE288 Licensed Representative (Provisional Licence) 6

YOON Julian Hyun-min BGG794 Licensed Representative (Provisional Licence) 9

YU Jingzhu BGE478 Licensed Representative (Provisional Licence) 1, 4, 6

YU Lidong BGG859 Licensed Representative (Provisional Licence) 4

YU Lok Yin Lonnie BGG763 Licensed Representative (Provisional Licence) 4, 9

YU Yiming BGC188 Licensed Representative (Provisional Licence) 1, 2, 4, 5

YUAN Jingna AVR360 Licensed Representative (Provisional Licence) 1, 2

YUAN Ye BGG861 Licensed Representative (Provisional Licence) 1, 4, 6

YUE Zhihao BGG949 Licensed Representative (Provisional Licence) 6

YUEN Chik Sang AML271 Licensed Representative (Provisional Licence) 1

YUEN Kin Chung BGG257 Licensed Representative (Provisional Licence) 1, 4, 9

YUEN Pui Sung Erika BGG649 Licensed Representative (Provisional Licence) 1

YUNG Ho Yin BGE916 Licensed Representative (Provisional Licence) 6

YUNG Ka Ming BBY785 Licensed Representative (Provisional Licence) 4

YUNG Lap Hang AER415 Licensed Representative (Provisional Licence) 4, 9

ZENG Zhen BGH008 Licensed Representative (Provisional Licence) 1, 6

ZHAN Di BGH199 Licensed Representative (Provisional Licence) 4

ZHAN Guanrong BGH200 Licensed Representative (Provisional Licence) 1, 6

ZHAN Juli BGE013 Licensed Representative (Provisional Licence) 1, 6

ZHANG Chang BGH494 Licensed Representative (Provisional Licence) 4

ZHANG Helen Leigh BGB528 Licensed Representative (Provisional Licence) 4

ZHANG Nan BEC793 Licensed Representative (Provisional Licence) 4, 9

ZHANG Qinzhu BGE167 Licensed Representative (Provisional Licence) 1, 4, 9

ZHANG Tianli BGB980 Licensed Representative (Provisional Licence) 1

ZHANG Xiangbing BGH429 Licensed Representative (Provisional Licence) 4, 9

ZHANG Xiangjie BGE918 Licensed Representative (Provisional Licence) 1, 4, 6

ZHANG Xiangxiang BGF981 Licensed Representative (Provisional Licence) 1, 4, 6

ZHANG Xiaoyan BGE891 Licensed Representative (Provisional Licence) 9

ZHANG Yusong BGE809 Licensed Representative (Provisional Licence) 1, 4, 6

ZHANG Zijin BGE477 Licensed Representative (Provisional Licence) 1, 4, 6

ZHAO Chen BGF987 Licensed Representative (Provisional Licence) 1, 6

ZHAO Kainan AVN246 Licensed Representative (Provisional Licence) 1, 6

ZHAO Yining BGC425 Licensed Representative (Provisional Licence) 1, 4

ZHAO Zhenyu BGC771 Licensed Representative (Provisional Licence) 1, 6

ZHENG Kangjie BGG832 Licensed Representative (Provisional Licence) 4

ZHONG Xiaoping BGE892 Licensed Representative (Provisional Licence) 1, 2

ZHOU Bangkuan BGD470 Licensed Representative (Provisional Licence) 1, 6

ZHOU Francis Bingrong AVJ543 Licensed Representative (Provisional Licence) 4

Page 22 of 25

Page 23: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2015

CE Name CE No. Licence Type Types of Regulated Activity

ZHOU Jing AVR952 Licensed Representative (Provisional Licence) 4

ZHOU Yiying BGH142 Licensed Representative (Provisional Licence) 4

ZHOU Zhihui BGH034 Licensed Representative (Provisional Licence) 1, 6

ZHU Anyang BGF976 Licensed Representative (Provisional Licence) 1, 4, 6

ZHU Junsheng BGC189 Licensed Representative (Provisional Licence) 1, 2

ZHU Yuande AVH785 Licensed Representative (Provisional Licence) 1, 4, 9

ZHU Zheng BGG429 Licensed Representative (Provisional Licence) 1, 4, 6

ZHUANG Yancheng BGD170 Licensed Representative (Provisional Licence) 6

ZOLKIEWICZ Kevin John AVX106 Licensed Representative (Provisional Licence) 1, 2

ZUO Linyu BGH207 Licensed Representative (Provisional Licence) 1, 2

AGARWAL Anand ASL813 Licensed Representative (Temporary Licence) 1, 2

ANDERL Maximilian BGD222 Licensed Representative (Temporary Licence) 1, 4

BABA Kosuke BDF039 Licensed Representative (Temporary Licence) 1

BAO Richard APY712 Licensed Representative (Temporary Licence) 1, 2

BARDEN David William ACW077 Licensed Representative (Temporary Licence) 1, 4

BATHIJA Alok Anil BGE896 Licensed Representative (Temporary Licence) 1

BECCHETTI James Patrick AWQ678 Licensed Representative (Temporary Licence) 1, 2

BEHERA Roshan Raj ARP091 Licensed Representative (Temporary Licence) 1, 4

BOULAN Frederic Emile Alfred BGE038 Licensed Representative (Temporary Licence) 1, 4

BREWER Jeffrey Michael AMF464 Licensed Representative (Temporary Licence) 1

CARRIER Lucie, Anne, Lise BEK760 Licensed Representative (Temporary Licence) 1

CARSON Joseph Gregory BEE541 Licensed Representative (Temporary Licence) 4

CASTELLAN Steven ARV908 Licensed Representative (Temporary Licence) 1

CHEN Shou-Hui BFO656 Licensed Representative (Temporary Licence) 1

CHEONG Taeyong BGC155 Licensed Representative (Temporary Licence) 1

CHEUNG Yuk Fai BGE045 Licensed Representative (Temporary Licence) 1, 2

CHO Jihyong AUD274 Licensed Representative (Temporary Licence) 1

CHOY Long Yin AXA362 Licensed Representative (Temporary Licence) 1

CHUA Chuan Hong Elvin BGE003 Licensed Representative (Temporary Licence) 1

CHUNG Jeehyun BEX928 Licensed Representative (Temporary Licence) 1

CUI Xiaoyan BGG222 Licensed Representative (Temporary Licence) 4

CURLEY Marcus Christopher BFR251 Licensed Representative (Temporary Licence) 4

DEROLD Christian AVW188 Licensed Representative (Temporary Licence) 1

DEWHURST Joseph William BGF996 Licensed Representative (Temporary Licence) 4

DRUCE James Anthony Stephen BGE144 Licensed Representative (Temporary Licence) 4

DRYER Katharine Grace BDI393 Licensed Representative (Temporary Licence) 1

DUDIA Ashwin BGE580 Licensed Representative (Temporary Licence) 1, 2

FENG Lingtian AYQ548 Licensed Representative (Temporary Licence) 4

FISHER Robert John BEV303 Licensed Representative (Temporary Licence) 1, 4

FRIEDMAN Steven Marcus BED791 Licensed Representative (Temporary Licence) 4

FUHRMAN Robert Neil BGC390 Licensed Representative (Temporary Licence) 1, 4

GISBOURNE Ian Mark ACS236 Licensed Representative (Temporary Licence) 4

GOH Leng Teck BDL305 Licensed Representative (Temporary Licence) 1, 2

GRASHOFF Dennis BGH024 Licensed Representative (Temporary Licence) 1, 4

HAN Jennifer Koun AMY266 Licensed Representative (Temporary Licence) 4

HAN You Sik BGG225 Licensed Representative (Temporary Licence) 4

HANDA Saurabh BFA991 Licensed Representative (Temporary Licence) 4

HORSEY Alice Charlotte BGD475 Licensed Representative (Temporary Licence) 1, 2

JUNEE Matthew Robert AYC188 Licensed Representative (Temporary Licence) 1

KARNANY Vikram BAE426 Licensed Representative (Temporary Licence) 4

KASS Justin Michael BGE397 Licensed Representative (Temporary Licence) 1

KAYNES David Charles BDA619 Licensed Representative (Temporary Licence) 1, 4

KING Andrew Alister AXH373 Licensed Representative (Temporary Licence) 4

Page 23 of 25

Page 24: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2015

CE Name CE No. Licence Type Types of Regulated Activity

KINGSMILL Stuart Guy BFA604 Licensed Representative (Temporary Licence) 1

KINGSMILL Stuart Guy BFA604 Licensed Representative (Temporary Licence) 1

KINNEY Brian Arthur BGH332 Licensed Representative (Temporary Licence) 1

KLINGENBERG-TIMM Benno BGD845 Licensed Representative (Temporary Licence) 1, 4

KOCH Trenton Godfried BCT904 Licensed Representative (Temporary Licence) 4

KOGI Kentaro AOG100 Licensed Representative (Temporary Licence) 4

KONG Robert Patrick BDQ917 Licensed Representative (Temporary Licence) 4

KUMAR Satish AQX050 Licensed Representative (Temporary Licence) 1, 4

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

LEBRUN JAMIE BBI023 Licensed Representative (Temporary Licence) 1, 2

LEE Lo-Tzu AVN430 Licensed Representative (Temporary Licence) 1

LEVY Michael Paul BAV887 Licensed Representative (Temporary Licence) 1

LIE Vivi Handoyo BEN583 Licensed Representative (Temporary Licence) 4

LIN Wen-Ching BFO653 Licensed Representative (Temporary Licence) 1, 2

LOW Audrey Ying Jun BFI437 Licensed Representative (Temporary Licence) 1

MA Eric ANJ347 Licensed Representative (Temporary Licence) 1

MALEKIAN Taymaz BFS099 Licensed Representative (Temporary Licence) 1

MANN Samuel Thomas BGG155 Licensed Representative (Temporary Licence) 1

MANSELL Steven Robert BEI891 Licensed Representative (Temporary Licence) 4

MARCHINGTON Paul Anthony AAJ078 Licensed Representative (Temporary Licence) 1, 2

MARTENSSON Tina Carina BGD990 Licensed Representative (Temporary Licence) 1

MARX Christopher William AXS989 Licensed Representative (Temporary Licence) 1

MAYNARD Christopher Philip James BGH487 Licensed Representative (Temporary Licence) 1, 4

MCDEVITT Graham Thomas BGE066 Licensed Representative (Temporary Licence) 1

MIURA Nobuyoshi BDU297 Licensed Representative (Temporary Licence) 4

MURATA Mayuko ATH905 Licensed Representative (Temporary Licence) 1

NA Eun Chae BGC163 Licensed Representative (Temporary Licence) 4

NARUSAWA Koh AZK463 Licensed Representative (Temporary Licence) 1

NG Jonathan Luk-Wai BGD809 Licensed Representative (Temporary Licence) 1, 2

NG Kheng Siang AWH494 Licensed Representative (Temporary Licence) 1

NG Ruixian, Daniel BDO351 Licensed Representative (Temporary Licence) 1

NOGAWA Chieko BBA268 Licensed Representative (Temporary Licence) 1

PAI Kuang-hui AQS602 Licensed Representative (Temporary Licence) 1

PAKENHAM Marcus Charles ACG934 Licensed Representative (Temporary Licence) 1

PARK Byung Kyu BGE034 Licensed Representative (Temporary Licence) 1, 4, 6

PEIGNEUX LOJO Guillermo BER729 Licensed Representative (Temporary Licence) 4

PEREZ FERNANDEZ Juan Luis BGE895 Licensed Representative (Temporary Licence) 1, 4

PETRICONE Matthew Robert BGG002 Licensed Representative (Temporary Licence) 1

PETRYK Adam Jay BGC211 Licensed Representative (Temporary Licence) 1

PHELPS Mark Ivor AZE639 Licensed Representative (Temporary Licence) 1

PITTAWAY Nigel Clive BEM323 Licensed Representative (Temporary Licence) 4

REDBOURN Paul Robert AFQ906 Licensed Representative (Temporary Licence) 1

ROLFE Roland Christopher AVI388 Licensed Representative (Temporary Licence) 1

ROONEY Monique Elizabeth BGE212 Licensed Representative (Temporary Licence) 1

SAMANTA Ritirupa BGH331 Licensed Representative (Temporary Licence) 1

SANKARAN Srikanth AWZ753 Licensed Representative (Temporary Licence) 1

SANKARANARAYANAN Sreekrishnan BAP018 Licensed Representative (Temporary Licence) 1, 4

SATHAWORAWONG Pimolrat BEM318 Licensed Representative (Temporary Licence) 4

SESIN Karen Ann ANB402 Licensed Representative (Temporary Licence) 4

SIDHOM Sonia BBM222 Licensed Representative (Temporary Licence) 1, 2

SIRIPASSORN Kritapas BDQ319 Licensed Representative (Temporary Licence) 4

SJOGREN Erik Per BGE619 Licensed Representative (Temporary Licence) 1

SOHN Yugon BBX830 Licensed Representative (Temporary Licence) 1

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Page 25: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2015

CE Name CE No. Licence Type Types of Regulated Activity

SRETHAPRAMOTE Smittipon BEA145 Licensed Representative (Temporary Licence) 1

STEWART Blair Thomson BEF850 Licensed Representative (Temporary Licence) 1, 4

STIRLING Trevor John AXK433 Licensed Representative (Temporary Licence) 4

SUGARMAN Lawrence Joel BDH042 Licensed Representative (Temporary Licence) 1

SUPPIN Arnaud, Marcel, Pierre ARN295 Licensed Representative (Temporary Licence) 1

SUZUKI Takayuki AXL566 Licensed Representative (Temporary Licence) 1, 2

TAIT Annabelle Rose BGE284 Licensed Representative (Temporary Licence) 4

TAN Poo Huat BGE285 Licensed Representative (Temporary Licence) 1, 2

TANG Yin Kin Polo AZW790 Licensed Representative (Temporary Licence) 4

TEO Eileen BGA578 Licensed Representative (Temporary Licence) 1, 2

TERAO Sayumi BGE767 Licensed Representative (Temporary Licence) 1

TEVES Joni Mae BFA936 Licensed Representative (Temporary Licence) 4

THIRUVENGADASAMY Balaji AOY313 Licensed Representative (Temporary Licence) 1

UEDA Yusuke BBX329 Licensed Representative (Temporary Licence) 1, 4

UGLOW Benedict Ernest BGG227 Licensed Representative (Temporary Licence) 1

USHIJIMA Sho BGB210 Licensed Representative (Temporary Licence) 1, 2

UZUN Ekaterina Alexeevna BGC393 Licensed Representative (Temporary Licence) 1, 4

VAN BEEK Christiaan Lieven BEL614 Licensed Representative (Temporary Licence) 1, 4

VAN ELDIK Martijn BBF265 Licensed Representative (Temporary Licence) 1

VOGEL Tobias BEJ600 Licensed Representative (Temporary Licence) 1

WATANABE Shiro BBP190 Licensed Representative (Temporary Licence) 1

WONG Ferry Wijaya ARB231 Licensed Representative (Temporary Licence) 4

WONG Weng Khong BCE366 Licensed Representative (Temporary Licence) 1, 2

YAMAGUCHI Hidemaru BGD668 Licensed Representative (Temporary Licence) 4

ZHANG Da BFZ494 Licensed Representative (Temporary Licence) 1

Page 25 of 25