additions of licensed persons/registered institutions during … · additions of licensed...

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017 CE Name CE No. Licence Type Types of Regulated Activity Alipes Asset Management Limited BHL732 Licensed Corporation 4, 9 Ando Asset Management Limited BIZ535 Licensed Corporation 1, 4, 9 China Tian Yuan Commodities and Futures Limited BJI173 Licensed Corporation 2 CIF Asset Management Limited BJO832 Licensed Corporation 9 CIF Global Markets (HK) Limited BJT648 Licensed Corporation 3 Clarity Investment Partners Limited BJW518 Licensed Corporation 9 des Voeux Partners Limited BJI821 Licensed Corporation 4, 9 GAMA Private Asset Management Limited BJF054 Licensed Corporation 9 Harbour Corporate Finance Limited BJT698 Licensed Corporation 1, 6 HK Cai Fu Ju Asset Management Limited BJI408 Licensed Corporation 9 Long Success Capital Limited BJK337 Licensed Corporation 9 Magnum Research Limited BJU619 Licensed Corporation 1, 4 Odyssey Asset Management Limited BHX656 Licensed Corporation 4, 9 Perfect World Asset Management Limited BIQ236 Licensed Corporation 9 Pinetree Securities Limited BJQ404 Licensed Corporation 1 Po Lee Asset Management Limited BJP811 Licensed Corporation 9 Po Lee Investment Consultant Limited BJP812 Licensed Corporation 4 Positano Wealth Management Limited BJL801 Licensed Corporation 4, 9 Raffles Assets Management (HK) Co. Limited BJO652 Licensed Corporation 9 Royal Fund Management Co., Limited BJP312 Licensed Corporation 1, 4, 9 RP Asset Management Limited BJB693 Licensed Corporation 1, 4, 9 Tongfang Capital Limited BJG439 Licensed Corporation 6 Tradition Capital Management Limited BJT690 Licensed Corporation 1, 4, 9 TUS Corporate Finance Limited BJL235 Licensed Corporation 1, 6 VisTreasure Asset Management Limited BJX653 Licensed Corporation 4, 9 AHMED Sophia Anna Probhati BJV457 Licensed Representative 1, 2 AHN Seh Joon AQR040 Licensed Representative 4, 9 AMIR Faridah BDJ450 Licensed Representative 1, 4 ANFILOGOFF George Alexander Nicholas BKD641 Licensed Representative 1, 2 ARCURI Alessandro BKG497 Licensed Representative 1, 2, 4, 5 AU YEONG Wai Mun BKO309 Licensed Representative 1, 4, 6 AVENEL Gerald Marie Jean Alain BKO053 Licensed Representative 1 BAE Daniel Jaehyun BEI718 Licensed Representative 6 BAKSHI Priyanshu BJV152 Licensed Representative 4, 9 BAO JIAKUN BKM142 Licensed Representative 4, 9 BERMEJO Philippe AUH272 Licensed Representative 2 BERRY Romain Pierre BKL357 Licensed Representative 1 BLASETTI Karim BBB060 Licensed Representative 1, 4 BOEY Shihui Vanessa Estelle BJP843 Licensed Representative 1 BROWN Sebastian Gordon BCU731 Licensed Representative 1, 4 CASTELLI Marta Fernanda BKE622 Licensed Representative 10 CHAI Sijun BKN457 Licensed Representative 1, 2, 9 Page 1 of 31

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Page 1: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING … · ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017 CE Name CE No. Licence Type Types of Regulated

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

Alipes Asset Management Limited BHL732 Licensed Corporation 4, 9

Ando Asset Management Limited BIZ535 Licensed Corporation 1, 4, 9

China Tian Yuan Commodities and Futures Limited BJI173 Licensed Corporation 2

CIF Asset Management Limited BJO832 Licensed Corporation 9

CIF Global Markets (HK) Limited BJT648 Licensed Corporation 3

Clarity Investment Partners Limited BJW518 Licensed Corporation 9

des Voeux Partners Limited BJI821 Licensed Corporation 4, 9

GAMA Private Asset Management Limited BJF054 Licensed Corporation 9

Harbour Corporate Finance Limited BJT698 Licensed Corporation 1, 6

HK Cai Fu Ju Asset Management Limited BJI408 Licensed Corporation 9

Long Success Capital Limited BJK337 Licensed Corporation 9

Magnum Research Limited BJU619 Licensed Corporation 1, 4

Odyssey Asset Management Limited BHX656 Licensed Corporation 4, 9

Perfect World Asset Management Limited BIQ236 Licensed Corporation 9

Pinetree Securities Limited BJQ404 Licensed Corporation 1

Po Lee Asset Management Limited BJP811 Licensed Corporation 9

Po Lee Investment Consultant Limited BJP812 Licensed Corporation 4

Positano Wealth Management Limited BJL801 Licensed Corporation 4, 9

Raffles Assets Management (HK) Co. Limited BJO652 Licensed Corporation 9

Royal Fund Management Co., Limited BJP312 Licensed Corporation 1, 4, 9

RP Asset Management Limited BJB693 Licensed Corporation 1, 4, 9

Tongfang Capital Limited BJG439 Licensed Corporation 6

Tradition Capital Management Limited BJT690 Licensed Corporation 1, 4, 9

TUS Corporate Finance Limited BJL235 Licensed Corporation 1, 6

VisTreasure Asset Management Limited BJX653 Licensed Corporation 4, 9

AHMED Sophia Anna Probhati BJV457 Licensed Representative 1, 2

AHN Seh Joon AQR040 Licensed Representative 4, 9

AMIR Faridah BDJ450 Licensed Representative 1, 4

ANFILOGOFF George Alexander Nicholas BKD641 Licensed Representative 1, 2

ARCURI Alessandro BKG497 Licensed Representative 1, 2, 4, 5

AU YEONG Wai Mun BKO309 Licensed Representative 1, 4, 6

AVENEL Gerald Marie Jean Alain BKO053 Licensed Representative 1

BAE Daniel Jaehyun BEI718 Licensed Representative 6

BAKSHI Priyanshu BJV152 Licensed Representative 4, 9

BAO JIAKUN BKM142 Licensed Representative 4, 9

BERMEJO Philippe AUH272 Licensed Representative 2

BERRY Romain Pierre BKL357 Licensed Representative 1

BLASETTI Karim BBB060 Licensed Representative 1, 4

BOEY Shihui Vanessa Estelle BJP843 Licensed Representative 1

BROWN Sebastian Gordon BCU731 Licensed Representative 1, 4

CASTELLI Marta Fernanda BKE622 Licensed Representative 10

CHAI Sijun BKN457 Licensed Representative 1, 2, 9

Page 1 of 31

Page 2: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING … · ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017 CE Name CE No. Licence Type Types of Regulated

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

CHAI Yingshan BKD933 Licensed Representative 1, 4, 6

CHAN Andrew Shingfun AMC389 Licensed Representative 10

CHAN Chi Chun John BJX758 Licensed Representative 4, 9

CHAN Chi Wan AFA249 Licensed Representative 1

CHAN Chi Wing BKY313 Licensed Representative 1, 4

CHAN Ching Ping BKR861 Licensed Representative 1, 6

CHAN Chun Fai AUR704 Licensed Representative 1, 4, 9

CHAN Chun Hong BKE867 Licensed Representative 1

CHAN Hiu Ka AZB706 Licensed Representative 1

CHAN Ho Wan BKQ461 Licensed Representative 4, 9

CHAN Hoi Yan AFZ453 Licensed Representative 1

CHAN Ka Ki AJH032 Licensed Representative 1

CHAN KAI YIK BKG298 Licensed Representative 1, 4

CHAN Kar Kar Francesca BKF466 Licensed Representative 1, 4, 9

CHAN Kin Man AUG795 Licensed Representative 4, 9

CHAN Kwok Hay ACA610 Licensed Representative 1, 2

CHAN KWOK MAN MARK BKT932 Licensed Representative 6

CHAN Kwok Wai BCW251 Licensed Representative 9

CHAN Lai Sze BKQ410 Licensed Representative 1

CHAN Ngai Ka AOY222 Licensed Representative 1, 2, 4

CHAN On Yi BKF950 Licensed Representative 1

CHAN Pak Hong BKK318 Licensed Representative 9

CHAN Pui Yee, Christine AFV641 Licensed Representative 1

CHAN Siu Lun BKG601 Licensed Representative 1, 2, 4, 5

CHAN Tsung-Hsun Dennis BEE283 Licensed Representative 9

CHAN Wing Cheung BKJ264 Licensed Representative 1, 2

CHAN Wing Lam BKJ927 Licensed Representative 1

CHAN Yi BKH673 Licensed Representative 1, 6

CHAN Yik Cheung BKQ351 Licensed Representative 1

CHAN Yu Kai AYC303 Licensed Representative 10

CHAN Yuen Fan BKP220 Licensed Representative 1, 4

CHAN Yuk Ming, Phonda AZQ766 Licensed Representative 1

CHAN Zelig BKJ191 Licensed Representative 1, 6

CHANG Kai Kuan BKE812 Licensed Representative 1, 2

CHANG Mei Ling BKD637 Licensed Representative 1

CHAO Tzu Chi BKD176 Licensed Representative 1, 2, 4

CHAU Alexandre Gia-hon BEM701 Licensed Representative 9

CHAU Che Huen BKQ952 Licensed Representative 1, 2

CHAU Wing Yung BKM994 Licensed Representative 6

CHEN Chun Tung, Jason ANU347 Licensed Representative 1, 4, 9

CHEN Emily Aimei BKH333 Licensed Representative 1, 2

CHEN Hung BKJ755 Licensed Representative 1, 2

Page 2 of 31

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

CHEN Jianjun BKH376 Licensed Representative 1, 6

CHEN Jiongfa BKI623 Licensed Representative 1, 6

CHEN Jordan Bo Ling BKE824 Licensed Representative 1, 4, 6

CHEN Jou Ting Tina BJV550 Licensed Representative 1, 4

CHEN Mingyi BKD532 Licensed Representative 1, 4, 6

CHEN Qiwen BKL749 Licensed Representative 1, 2, 4

CHEN Ruofan BKV994 Licensed Representative 4

CHEN Te Hen Toku AMI234 Licensed Representative 9

CHEN Wang BKF044 Licensed Representative 1, 6

CHEN Wei AWS993 Licensed Representative 1, 2, 4, 5

CHEN Wei Hsun ARG669 Licensed Representative 1, 9

CHEN Xinxuan BKF807 Licensed Representative 1, 6

CHEN Yiran BJW905 Licensed Representative 4, 9

CHEN Yu Shiuan BKP273 Licensed Representative 1, 9

CHEN Zhaoxi BKF795 Licensed Representative 1, 6

CHEN Zhiyi BJU798 Licensed Representative 1, 4

CHENG CHEONG KIT BKM843 Licensed Representative 9

CHENG Chi Kin BKV086 Licensed Representative 1, 2, 4

CHENG King Tong BKQ319 Licensed Representative 6

CHENG Yuen Kin BKT548 Licensed Representative 1, 2

CHENG Zhiqian BKU851 Licensed Representative 1, 2

CHEONG Brandon Gee BJW322 Licensed Representative 4, 9

CHEUNG Bonathan Wai Ka BIF071 Licensed Representative 6

CHEUNG Chung Pan BKU271 Licensed Representative 2

CHEUNG Ho Bun BKI572 Licensed Representative 4

CHEUNG Kim Ching BKC185 Licensed Representative 1

CHEUNG Lai Hung BKQ774 Licensed Representative 1, 2

CHEUNG Man Ting Stella BDL886 Licensed Representative 4

CHEUNG Siu Kit BKN639 Licensed Representative 1

CHEUNG SUI YING BKF955 Licensed Representative 1, 4, 6

CHEUNG YAN KIT KEN BKK360 Licensed Representative 1, 2

CHEUNG Yik Ki BKL730 Licensed Representative 1, 6

CHEUNG Yuk Har Jemma BKE346 Licensed Representative 1

CHIO Ka Fai BKJ536 Licensed Representative 1, 6

CHIU Chun Ho, Simon BKG268 Licensed Representative 1

CHIU On Sang AJE177 Licensed Representative 1, 4, 6

CHIU Shing Fung BKL343 Licensed Representative 1, 2

CHIU Shui Kei AOH254 Licensed Representative 1

CHIU Wing AGP697 Licensed Representative 4

CHNG Tian Yi Joshua BKH338 Licensed Representative 1

CHO Hyunjin BJW728 Licensed Representative 1, 4

CHO Taejung BKM785 Licensed Representative 1, 4

Page 3 of 31

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

CHOE Steven Kent ANQ119 Licensed Representative 2, 5

CHOI Chun Fai BKV279 Licensed Representative 1

CHOI Ming Lung AVS381 Licensed Representative 2

CHOI So Yeon BKQ224 Licensed Representative 1, 4

CHOI Wing Lun BJD733 Licensed Representative 1, 9

CHOI Yuk Lung BKE841 Licensed Representative 4

CHONG Man Ting BKL829 Licensed Representative 1

CHOW Yung BDL629 Licensed Representative 4, 9

CHOW CHUI NGAN BKQ451 Licensed Representative 4

CHOW Wai Lam BJU686 Licensed Representative 2

CHU Tsz Ying BKQ747 Licensed Representative 1

CHU Wai Fan, Frankie BIB842 Licensed Representative 1

CHU Wayne Wing Kar AHO643 Licensed Representative 1

CHUNG Jeffrey Jin Wook AEA620 Licensed Representative 4, 9

CHUNG Man Wai, David AOU630 Licensed Representative 10

CHUNG Margaret Kar Lo BKS969 Licensed Representative 1, 2

CHUNG Tony ACJ250 Licensed Representative 1

CHUNG Tsun Kee BKM101 Licensed Representative 1, 2

CHURK Hang Fai Vincent BKJ918 Licensed Representative 1, 4, 6

COCKELL Janny AAC141 Licensed Representative 9

COPE Dillon Levander BKA646 Licensed Representative 1, 4, 6

CORK Craig William BKF941 Licensed Representative 4

CRAMER Reuben Saul BKK593 Licensed Representative 1, 4

CUI Can AUQ924 Licensed Representative 1, 4

CUI Cui AYO745 Licensed Representative 1, 4

CUI Ziying BKQ946 Licensed Representative 1, 6

CUNNINGHAM Jeremy James Warren AQS229 Licensed Representative 1

DAI Andy Andong BKD313 Licensed Representative 1, 6

DAI Di BKI617 Licensed Representative 1, 2

DAVE Neel Rajendra BJQ196 Licensed Representative 1

DE GEIS DE GUYON DE PAMPELONNE Ludovic Regis Marie BKO564 Licensed Representative 4, 5, 9

DELIVRON Martha Erin BKE571 Licensed Representative 9

DENG Jun BKZ667 Licensed Representative 4, 9

DENG Lifan BKP402 Licensed Representative 1, 2

DENG Qing BKM801 Licensed Representative 2

DEPIETS Simon BKE801 Licensed Representative 9

DONG Fengqiao BJS141 Licensed Representative 1, 4, 9

DONG Yanzhen BKV856 Licensed Representative 1

DOSHI Nirav Niranjan BKO057 Licensed Representative 1

DU Yang BKA417 Licensed Representative 4, 9

EIO Jingfeng Jonathan BKR579 Licensed Representative 1

ESPINO Marc Christopher Jison BKT749 Licensed Representative 4

Page 4 of 31

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

EVANS Curtis Leigh BKK557 Licensed Representative 1

FAJARDO Bennette Edward John BKM832 Licensed Representative 4

FAN Kai Yeung BKV397 Licensed Representative 10

FAN Mei Mei BKL563 Licensed Representative 1

FAN Zhenchuan BKM357 Licensed Representative 9

FANG Cong BKD315 Licensed Representative 4

FENG Hao BKH221 Licensed Representative 2

FENG Rong BDI572 Licensed Representative 6

FENG Tingshuai BKQ263 Licensed Representative 4

FENG Yuqi BKM664 Licensed Representative 1, 2

FONG Yuet Wan Fanny BKI974 Licensed Representative 1, 4

FRASER Gordon BJX002 Licensed Representative 1, 4, 9

FU SIN BKF907 Licensed Representative 1

FU Zhilei BJY522 Licensed Representative 1

FUNG Hei Lok BKQ945 Licensed Representative 1

FUNG Kin Hang BKQ949 Licensed Representative 1, 6

FUNG Sim Kuen BKC637 Licensed Representative 1

FUNG Wing Sum BKJ844 Licensed Representative 1, 4

FUNG Yuen Yi BBN298 Licensed Representative 1

GAN Liang BJW266 Licensed Representative 1, 4

GAN Siok Hong ALF539 Licensed Representative 1

GAO Chenxian BKS232 Licensed Representative 1, 4, 9

GAO Fei BKK631 Licensed Representative 1, 2

GAO Jing BKF946 Licensed Representative 1, 9

GARRETT Adam Guy Orlebar ALQ136 Licensed Representative 4, 9

GONG Jiuzhou BKP327 Licensed Representative 1, 2, 9

GONG Minghui BKN578 Licensed Representative 1, 4, 6

GOVENDER Avishkar BJT860 Licensed Representative 1, 6

GRINZATO Eros BKE850 Licensed Representative 1

GU Shuncong BKO335 Licensed Representative 1, 4, 6

GUAN Guhan BKH264 Licensed Representative 1, 2

GULICK-STUTZ Derek Nolan BKF898 Licensed Representative 1, 6

GUNTURU Advait Dattatreya BJG617 Licensed Representative 1, 2

GUO Li Ning BKU075 Licensed Representative 1

GUO Ni BKF563 Licensed Representative 1, 2

HAH CHANGWOO BKD619 Licensed Representative 1, 4, 6

HAN Lin Chour, William BAN066 Licensed Representative 1

HE WANQING BJZ502 Licensed Representative 1, 2

HE Yi BKZ654 Licensed Representative 9

HENG Mui Gek ANM460 Licensed Representative 2

HO Chun Hang BKN358 Licensed Representative 1

HO Hiu Kan, Kenneth AYO801 Licensed Representative 1, 4

Page 5 of 31

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

HO Tsz Tung BGL231 Licensed Representative 1

HO Yin Shan, Cookie ANG573 Licensed Representative 1, 4

HON Kwan Kit BKV249 Licensed Representative 1, 2

HORNG Jia-yi BKS143 Licensed Representative 2, 5

HOU CHIA I BKP281 Licensed Representative 4, 9

HOU Yanni BKD164 Licensed Representative 1

HSU Shu Chuan ARD668 Licensed Representative 1

HSU Yu Yu BKK579 Licensed Representative 1, 4

HU Kun BKB457 Licensed Representative 1, 4, 9

HU Michael BKR588 Licensed Representative 1

HU Qingzi BKF945 Licensed Representative 1, 6

HU Yanmo BKZ666 Licensed Representative 1, 6

HUANG Jiayu BKV122 Licensed Representative 1

HUANG Jikang BKU813 Licensed Representative 9

HUANG Jing BEM790 Licensed Representative 1

HUANG Peikai BKH958 Licensed Representative 1, 2

HUANG Ye AXW924 Licensed Representative 1, 6

HUBBARD David John BKR680 Licensed Representative 1, 4

HUEN Chi Wai BKF442 Licensed Representative 1, 2

HUGHES Glyn John BJT332 Licensed Representative 1

HUI Chun Kwok BKK679 Licensed Representative 1

HUI Hiu Yan BKI714 Licensed Representative 1, 6

HUI Yau Wei BKI519 Licensed Representative 10

IP Man Ka BKV989 Licensed Representative 4

ISCHER Valentin Yvan BKI939 Licensed Representative 1, 4, 9

IWAO Yohei BIZ237 Licensed Representative 1, 2

JHAWAR Aditya Hiralal BFP474 Licensed Representative 4

JIANG Bo BJE767 Licensed Representative 9

JIANG Chuxuan BGM935 Licensed Representative 1, 4

JIANG Kanfeng BKE630 Licensed Representative 1

JIANG Qinglin BKK308 Licensed Representative 4

JIANG Tian BKI423 Licensed Representative 1, 4

JIANG Wei BKF710 Licensed Representative 6

JIANG Yingyun BKL592 Licensed Representative 10

JIANG Yipei BKL413 Licensed Representative 1, 6

JIAO Shang BKM830 Licensed Representative 1, 4, 6

JIN Ling BKH182 Licensed Representative 4, 9

JUNG Joong Hoon BKF444 Licensed Representative 2, 5

KANTHAN Aparna BKL765 Licensed Representative 1, 2

KAO Margaret Chien Mei Hsu AJE094 Licensed Representative 1

KE Dongyang BKH652 Licensed Representative 1, 4, 6

KENT Benedict David Brownie BKD947 Licensed Representative 4, 9

Page 6 of 31

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

KETTEMANN Nils Ken BKL417 Licensed Representative 1, 6

KEUNG Nga Yee Teresa BKD475 Licensed Representative 1, 9

KIM Hyo Jin BKG492 Licensed Representative 1, 4, 9

KIM Jason Yong ARF013 Licensed Representative 1, 4

KIM JUN SUNG BJW321 Licensed Representative 1, 2

KIM Min Ji BKI604 Licensed Representative 1

KOBAYASHI Yohsuke BKD934 Licensed Representative 9

KOK Tung Wa, Cathy ANM194 Licensed Representative 1, 2, 4, 9

KOO Doheon BKD640 Licensed Representative 1, 6

KOO Siu Kong BJY470 Licensed Representative 1

KOO Tun Lok Carlos BKK383 Licensed Representative 1, 6

KOO Yat Hong AYM836 Licensed Representative 1, 4

KORINKE Ryan Patrick BKN674 Licensed Representative 1, 4, 9

KOST Alexander Stephen BKN871 Licensed Representative 1

KOU Betty AGL770 Licensed Representative 9

KUNG Tin Wai BKF902 Licensed Representative 1, 6

KUSUDA Yusuke BKL141 Licensed Representative 1, 4, 6

KWAN Nicholas Alexander Yan Tat AZJ207 Licensed Representative 1, 4, 6

KWAN Sing Yan BKR621 Licensed Representative 1

KWOK Alvina Iris Wei Lin BKN953 Licensed Representative 1

KWOK Hoi Kit Victor BKB387 Licensed Representative 1, 6

KWOK Ki Lung BKP650 Licensed Representative 4, 9

KWONG Yu Hin BKK547 Licensed Representative 1, 6

LAI Andrew Kai-Jie BKL102 Licensed Representative 1, 2

LAI Billy Yee Piu AMV035 Licensed Representative 1, 9

LAI Chun Wai BKB802 Licensed Representative 1, 2

LAI Hoi Yu AFJ214 Licensed Representative 1

LAI Ka Wah ATR461 Licensed Representative 1, 2, 4

LAI Man Chun BJT118 Licensed Representative 1

LAI Po Shan BKO202 Licensed Representative 1, 9

LAI Sze Kit BKG892 Licensed Representative 1, 4, 9

LAI Yidan BKK438 Licensed Representative 1, 4, 9

LAI Yuen Yung, Elita AYW932 Licensed Representative 5

LAM Chuen Ming Thomas ADW501 Licensed Representative 1

LAM Chun Hang BFE153 Licensed Representative 1, 2

LAM Chung Shu Xylona BKK339 Licensed Representative 1, 2

LAM Kwok Yiu BKQ400 Licensed Representative 1, 4

LAM Man Wai BKM760 Licensed Representative 9

LAM Steve Kwok Leung AGC469 Licensed Representative 1, 4, 6

LAM Ting Fung BKW514 Licensed Representative 6

LAM Tsam Hung BKS996 Licensed Representative 1, 4

LAM Yuk Ting BKK325 Licensed Representative 9

Page 7 of 31

Page 8: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING … · ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017 CE Name CE No. Licence Type Types of Regulated

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

LAMAR Mia Danielle BKK695 Licensed Representative 1

LAU Chi Wai Anthony BKD113 Licensed Representative 1, 4, 9

LAU Kei Chun Simon BKQ269 Licensed Representative 1, 2

LAU Ming Cham BKQ930 Licensed Representative 1

LAU Ming Yeung, Stephen ANB243 Licensed Representative 1, 6

LAU Tin Yau BKL785 Licensed Representative 1, 2

LAU Wai Kong ACF644 Licensed Representative 1, 4

LAU Wai Sum AHU045 Licensed Representative 1

LAU Yat Sing BKP656 Licensed Representative 1

LAW King Yung Darrell BKO687 Licensed Representative 1, 6

LE BINH Khoi BKP233 Licensed Representative 5

LEE Hae Su BKG266 Licensed Representative 4, 9

LEE Joanshien, Johanne AOI966 Licensed Representative 1, 9

LEE John Kwok Yung Edward BKQ970 Licensed Representative 1

LEE Junho BKO336 Licensed Representative 1, 4, 6

LEE Kwai Yin BHV345 Licensed Representative 4

LEE Kyung Min AVH974 Licensed Representative 1, 6

LEE Man Tim BKJ894 Licensed Representative 1, 4, 6

LEE Po Ling BKB901 Licensed Representative 1

LEE Susan Marie BKV447 Licensed Representative 1, 6

LEE Sze Nga BKR625 Licensed Representative 2

LEE Trevor Nicholas Chin Hong BJY415 Licensed Representative 2

LEE Tsz Yin Jonathan BKM304 Licensed Representative 1, 2

LEE Wai Hung AEI501 Licensed Representative 1

LEE Wonjun BKJ881 Licensed Representative 1, 4, 6

LEONG Kar Wye BKD051 Licensed Representative 1, 4

LEUNG Cheuk Lai, Justin Jonathan BKM204 Licensed Representative 1, 4, 6

LEUNG Chiu Lun BJT513 Licensed Representative 1

LEUNG Chun Chit, Adrian BKF951 Licensed Representative 1, 2

LEUNG Hiu Tan BCE397 Licensed Representative 1

LEUNG Kin Shan APL039 Licensed Representative 9

LEUNG Man Ho AMF525 Licensed Representative 1, 6

LEUNG Mei Lai BKQ258 Licensed Representative 1, 4

LEUNG Yiu Ming, Eric AED697 Licensed Representative 1

LI Adrian BDJ811 Licensed Representative 1, 6

LI CHAO BKE572 Licensed Representative 4, 9

LI Chen BBK724 Licensed Representative 1

LI Haihu BBJ048 Licensed Representative 10

LI Han BKJ648 Licensed Representative 4, 9

LI Jielin BKA650 Licensed Representative 1, 4, 6

LI Jingting BKO985 Licensed Representative 1, 6

LI Ka Fai BKJ906 Licensed Representative 1, 2, 4

Page 8 of 31

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

LI Kwok Man BKA616 Licensed Representative 1

LI Lai Yee AIP435 Licensed Representative 1, 4, 9

LI LU BKI387 Licensed Representative 1, 4

LI Mengdi BKJ260 Licensed Representative 1, 6

LI Mengze BKP399 Licensed Representative 1, 4

LI Mengzhen BKE330 Licensed Representative 1, 9

LI Misty BKL914 Licensed Representative 1, 2

LI Runyuan BKK550 Licensed Representative 1, 4, 9

LI Sai Hung BKT393 Licensed Representative 1, 2

LI Sze Lok BKK628 Licensed Representative 6

LI Tianrun BKK369 Licensed Representative 4

LI Tsz Hin BKL833 Licensed Representative 1

LI Wei BKJ042 Licensed Representative 9

LI Wenjie BKP340 Licensed Representative 1, 4, 9

LI Wenliang BJV219 Licensed Representative 1, 4, 6

LI Yen-Cheng BKU850 Licensed Representative 1, 2

LI Yi Sum AXF706 Licensed Representative 1, 2

LI Yin Kuk AMX118 Licensed Representative 1, 4

LI Zexi BJY934 Licensed Representative 6

LI Zhiqi BJW556 Licensed Representative 1, 6

LIANG Junlin BKT594 Licensed Representative 4

LIANG QianQian BKQ750 Licensed Representative 1, 4, 6

LIANG Xingjun BKQ748 Licensed Representative 1, 4, 6

LIAO Biyi BKO922 Licensed Representative 1, 4, 9

LIN Chun Hsien AQW621 Licensed Representative 1, 4

LIN Shiying BKL632 Licensed Representative 6

LIN Siting BKO337 Licensed Representative 4, 9

LIN Siyuan BKE838 Licensed Representative 1, 4, 6

LING Andrew Yew Chung BKN022 Licensed Representative 1, 6

LIU Dawei BKO397 Licensed Representative 1, 2

LIU Huanrui BKE998 Licensed Representative 6

LIU Jiandong BKN438 Licensed Representative 1, 4, 6

LIU Muzi BKL412 Licensed Representative 1, 6

LIU Po Wen ATL504 Licensed Representative 4, 9

LIU Shuk Ming, Angie AYW745 Licensed Representative 1, 2, 4

LIU WEI QI BKM111 Licensed Representative 1, 4

LIU Xinxing BKS243 Licensed Representative 4

LIU Ying BKV274 Licensed Representative 1

LIU Yuchen BKK370 Licensed Representative 4

LIU Yuhan BKS230 Licensed Representative 4

LIU Yuting BKS408 Licensed Representative 1, 4

LO Jonathan Ka Yan AQY025 Licensed Representative 1, 4, 9

Page 9 of 31

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

LO Shuk Sui BKM815 Licensed Representative 1, 2

LO Siu Lung BDK089 Licensed Representative 1, 4

LO Wing Ho BKL193 Licensed Representative 1

LOU Yuxiang BKK546 Licensed Representative 1, 6

LU Cheng BKE555 Licensed Representative 4

LU Hsin-Lin BKH337 Licensed Representative 1

LU Jingyi BJX882 Licensed Representative 1, 2

LU Yang BKP940 Licensed Representative 1, 6

LU Zhe BKD789 Licensed Representative 1, 6

LUO Chen BKT275 Licensed Representative 6

LUO Shengjie BFU576 Licensed Representative 1, 4, 9

LUO Zhen BKN825 Licensed Representative 6

MA Biu BCK253 Licensed Representative 9

MA Ruosi BKM256 Licensed Representative 1, 4, 9

MA Sze Man AED753 Licensed Representative 1

MA Wai Shun BID786 Licensed Representative 1

MA Yung-Jie BKP540 Licensed Representative 1, 4

MAK Chun Wing BKK371 Licensed Representative 4

MAK Ka Wing BKH229 Licensed Representative 1, 2

MAK Tsan Kwai BKM809 Licensed Representative 1, 4, 9

MAN Ngai Hang BKU345 Licensed Representative 1, 2

MASU Megumi BGQ554 Licensed Representative 1, 2

MCMURTRAY Nathan Noel ALW212 Licensed Representative 1, 4, 6

MENG Zhaojin BKF968 Licensed Representative 1, 2

MIN Junyan BKE044 Licensed Representative 1, 6

MO Chelsea BKI563 Licensed Representative 1, 6

MO Wei BJQ537 Licensed Representative 1, 4

MOHIUDDIN Suhail AZL059 Licensed Representative 9

MOK Ka Ying ALW654 Licensed Representative 1

MONLIBERT Hugues BKN715 Licensed Representative 1, 2

MORELAND Bradley Anthony ARG325 Licensed Representative 1

MORGAN Joseph Henry BJT439 Licensed Representative 4

MUI HIN LAI HENRY BKC984 Licensed Representative 1, 4

MUI Ka Ho Wallace BKU044 Licensed Representative 6

NAKABAYASHI Yuji BIX277 Licensed Representative 1, 4, 6

NAM BEVERLY MAN WAI BKI846 Licensed Representative 1, 9

NEWSOME Allan Per BKB399 Licensed Representative 1

NG Hui Yuen BKQ338 Licensed Representative 1

NG Keegan Ken BKJ530 Licensed Representative 1

NG Kwan Ning BKG128 Licensed Representative 1, 4, 9

NG Lai Yee, April BKI453 Licensed Representative 1, 4

NG Pauline Pui-han BKQ278 Licensed Representative 1, 4

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

NG Wai Suen, Daphne ADL365 Licensed Representative 1, 6

NGAI CHI HO BKP596 Licensed Representative 4, 9

NGAI Shuk Wa Summy AQG751 Licensed Representative 1

NIXEL Stefan Dominik BKH173 Licensed Representative 4, 5, 9

NOH James Hyon BKG328 Licensed Representative 1, 2

OBEROI Navdeep Singh BJU820 Licensed Representative 1, 2, 4, 5

O'CONNELL Stephen Gerard BKB504 Licensed Representative 1, 4

ODELL Scott Wilson BKB375 Licensed Representative 1, 2

OJHA Saanya BKF454 Licensed Representative 1, 9

OTSUKA Kosuke BKO012 Licensed Representative 1, 4

PAN Pengyu BKO949 Licensed Representative 9

PAN Weibing BKK306 Licensed Representative 4

PAN Yongchuan BKN346 Licensed Representative 9

PENG Yongxing BKN534 Licensed Representative 1, 4, 9

PETCH Martin Andrew BJW384 Licensed Representative 10

PFAJFER Aleksandar AVI193 Licensed Representative 1, 4

POON Chun Man ARV276 Licensed Representative 1, 4

POON Ka Chun BKK302 Licensed Representative 1

POSCH Paul BIY899 Licensed Representative 1, 2

PU Lingxiao BHT352 Licensed Representative 1, 2

PUN Chung Sing BKM796 Licensed Representative 4

QIAO Yashuang BKR873 Licensed Representative 1, 6

QIU Jiale BKT159 Licensed Representative 1, 6

QIU Yongyi BKS181 Licensed Representative 1, 4

QUESNOT Jean-joseph Bernard Gaston BKE518 Licensed Representative 1, 2

ROBB Gordon Bjorn BIQ332 Licensed Representative 1

ROGIER Bernard Rene Joseph AIR454 Licensed Representative 1, 2

SEETO Dereke Charles Wing On AYO959 Licensed Representative 1, 2, 7

SHAH Dhawal Arvind AYM782 Licensed Representative 1, 2

SHAMBI Rajdeep Singh BKL897 Licensed Representative 1, 2

SHAO Zuoyin BDM007 Licensed Representative 4

SHEA Pui Ho Kerry BKG034 Licensed Representative 1

SHEN Jiamin BKQ448 Licensed Representative 4

SHEN Zeda BJV751 Licensed Representative 1, 2

SHI Yin BKL763 Licensed Representative 1, 4

SHI Ziyuan BKK572 Licensed Representative 1, 4, 5, 9

SHUM Ho Yeung BKE333 Licensed Representative 1, 6

SIN KIT FUNG BKE175 Licensed Representative 1, 4

SINHA Gaurav AOV915 Licensed Representative 1, 2

SIU Chi Lan BKP427 Licensed Representative 1, 4

SIU Chun Pui BKG032 Licensed Representative 1, 9

SIU Po Ki BKP490 Licensed Representative 3

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

SIU Wai Pan BKG270 Licensed Representative 1

SMITH Dominic Anthony AVO477 Licensed Representative 1

SON Bum Ki BJY542 Licensed Representative 1, 4

SONG Michael Y BKT329 Licensed Representative 1

SRI RAMANATHAN Shivaraj BKN105 Licensed Representative 1, 2

SU Ling BJN297 Licensed Representative 1

SUN Boyi BKJ278 Licensed Representative 1, 4

SUN Chang BKI593 Licensed Representative 1

SUN Qianru BKL528 Licensed Representative 4, 9

SUN Renjie BKI603 Licensed Representative 1

SUN Xiaoyu BKP228 Licensed Representative 6

SUN Yixuan BKK358 Licensed Representative 1, 6

SUN Yue BKQ407 Licensed Representative 1, 6

TAN Huiman BKE575 Licensed Representative 10

TAN Kah Bee BKF453 Licensed Representative 1

TAN Michael June Kiat BJU099 Licensed Representative 1

TAN Min BKR644 Licensed Representative 4, 9

TAN Rachel Xiao Wei BKS199 Licensed Representative 1, 4, 9

TAN Weixin BKM833 Licensed Representative 1

TANG Lingjia BKG281 Licensed Representative 1, 4, 6

TANG Nancy BKN861 Licensed Representative 1, 2, 4

TANG Tak Chun BKJ158 Licensed Representative 1, 2

TANG Yu BKP238 Licensed Representative 1, 4

TANG Zhongwei BKJ475 Licensed Representative 9

TANIWAN Victor BJZ519 Licensed Representative 9

TAO Mei Shan, Lisa BBT739 Licensed Representative 1, 4, 9

TAO Xijin BKS276 Licensed Representative 4

TAO Zhiheng BKN443 Licensed Representative 1, 4, 6

TEDDY HU BKM359 Licensed Representative 1, 4, 9

TELAPROLU Varun BKQ419 Licensed Representative 9

TENG Chi-An BKC142 Licensed Representative 4

TIAN Xueyi BKE646 Licensed Representative 1, 6

TIAN Ye BKL555 Licensed Representative 1

TING Siu Hong BKH111 Licensed Representative 1, 4, 6

TONG Wai Ming, Vivia AIE803 Licensed Representative 4, 9

TSANG Chi Keung BJZ713 Licensed Representative 1, 2, 4

TSANG Tang Kwan BKT126 Licensed Representative 1, 4

TSANG Wai Kee BKQ450 Licensed Representative 1, 4

TSE Man Hei BKG342 Licensed Representative 1, 4, 6

TSUCHIDA Mariko BKE006 Licensed Representative 9

TSUI Long Hang, Ryan BKN986 Licensed Representative 6

TSUI Pui Ki BKQ907 Licensed Representative 1, 4

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

UEMATSU Ken David BKH654 Licensed Representative 1, 9

UPADHYAYULA Madhukar Srinivas BKJ280 Licensed Representative 9

VAN GULIK Robert Ken ASU202 Licensed Representative 1

VANNESSON Laurent Xavier Marie BKL385 Licensed Representative 1

WAN Sau Yi BKL830 Licensed Representative 1

WAN Tsun Kan BKA500 Licensed Representative 1

WAN Tze Ching BKN597 Licensed Representative 1

WANG Anqi BJS918 Licensed Representative 2, 5

WANG Jiali BKE338 Licensed Representative 1, 4, 6

WANG Jiayu BJH821 Licensed Representative 6

WANG Miao BHB490 Licensed Representative 1, 4, 9

WANG Surong BJZ433 Licensed Representative 1, 6

WANG Tinghao BKU321 Licensed Representative 2

WANG Wei BKQ730 Licensed Representative 1, 4, 6

WANG Xinqi BKM655 Licensed Representative 1, 2

WANG Xinying ATO443 Licensed Representative 1, 4, 9

WANG Yiding AOD298 Licensed Representative 4, 9

WANG Yifan BKM052 Licensed Representative 1, 6

WANG YiHui BKL871 Licensed Representative 1, 2

WANG Yijia BKM317 Licensed Representative 4

WANG Yinan ADB202 Licensed Representative 4, 9

WANG Yumeng BKI610 Licensed Representative 4, 9

WANG Yuqiao BKE043 Licensed Representative 1, 6

WANG Zhuoyue BKU351 Licensed Representative 1, 2

WANG Ziren BKH795 Licensed Representative 1, 2

WEI Jackson Zhuo Cheng BKL409 Licensed Representative 1, 6

WHARF Amy Jayne BKL743 Licensed Representative 1, 4

WIDJAJA Ogar Renaldi BBD986 Licensed Representative 1, 4

WONG Chi Fun Idy BKE323 Licensed Representative 5

WONG Ching Leung BKG044 Licensed Representative 1, 4, 9

WONG Chun Yu, Roger APH834 Licensed Representative 2, 5

WONG Frances BKE504 Licensed Representative 1, 4

WONG Ho Kan BKI469 Licensed Representative 2

WONG Ka Kit BBS919 Licensed Representative 1

WONG Lan Ching BKQ415 Licensed Representative 1

WONG Man Yin AED081 Licensed Representative 1, 9

WONG Pak Nin Jimmy BKG502 Licensed Representative 1, 6

WONG Philippe BKN631 Licensed Representative 1, 2, 7

WONG Po Ki BKD940 Licensed Representative 2, 5

WONG Pui Ki BKG605 Licensed Representative 2, 5

WONG Qin Zhi BJW656 Licensed Representative 1, 6

WONG TAT SHAN BKI492 Licensed Representative 1

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

WONG Tin Shing BKF525 Licensed Representative 1, 4, 6

WONG Tsang Yam BJX678 Licensed Representative 1, 2

WONG Un Un BKS920 Licensed Representative 1, 4

WONG Wai Yu ALU552 Licensed Representative 4, 9

WONG Wing Che Wencci AYX875 Licensed Representative 1

WONG Yat Fu, Joseph BAK695 Licensed Representative 1, 2, 3

WOO Wing Yan, Anna AFA847 Licensed Representative 1

WU Bonnie Po Yee BKK907 Licensed Representative 4

WU Charles York BJV578 Licensed Representative 4, 9

WU Man Kui BKR684 Licensed Representative 2

WU Ming Hung BKL305 Licensed Representative 2

WU Nancy Bing Yun AEZ131 Licensed Representative 9

WU Shing Yan BHI026 Licensed Representative 1

Wu Siu Fai ATR768 Licensed Representative 9

WU Wenting BKS171 Licensed Representative 1, 4, 6

WU Youchuang BGH149 Licensed Representative 4, 9

XIA Wei BJM095 Licensed Representative 1, 4, 6

XIA Yufei BKK310 Licensed Representative 2

XIAO Shunyu BKO986 Licensed Representative 9

XIAO Xiao BKG598 Licensed Representative 1, 4, 6

XIE Hui BKQ420 Licensed Representative 1

XIE Zihe BKR708 Licensed Representative 1, 2

XING Jiyuan BKH363 Licensed Representative 1, 4, 9

XING Yifan BJX197 Licensed Representative 1, 4, 6

XIONG Yifan BKK314 Licensed Representative 1

XU Beilin AQA273 Licensed Representative 1, 4, 9

XU Jian BJX378 Licensed Representative 1, 4

XU Jinzhao BKQ453 Licensed Representative 1, 4, 6

XU Xinrui BKP223 Licensed Representative 1, 2, 4, 5

XU Yinqing BKS103 Licensed Representative 1, 4

YAMADA Shinya AUW525 Licensed Representative 9

YAMAMOTO Naoki BKM294 Licensed Representative 1

YAMAUCHI Ayumu AXL777 Licensed Representative 1, 4, 6

YAN Xiaohan BKL836 Licensed Representative 1, 4

YANG Hai AXI228 Licensed Representative 6

YANG Kangbo BJW750 Licensed Representative 4, 9

YANG Lan BKM834 Licensed Representative 1, 4

YANG Rui BKS167 Licensed Representative 4, 9

YANG Seung Woo BKJ904 Licensed Representative 1, 4, 6

YANG Xiaoyu BJW364 Licensed Representative 1, 4

YANG Yanwen BKO832 Licensed Representative 1, 4, 9

YANG Yuan Xun Lucy BKN544 Licensed Representative 2

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

YAU Man Lai BKP675 Licensed Representative 1, 2

YAU Wai Lun BDI749 Licensed Representative 1, 2

YEO Weng Cheong Sam BKE325 Licensed Representative 1, 4, 6

YEUNG Ling Yan AOX091 Licensed Representative 1, 4, 6, 9

YEUNG Siu Cheong BKL978 Licensed Representative 1, 2

YEUNG Wai Kie, Gary ANF195 Licensed Representative 1

YI Pengyu BKJ155 Licensed Representative 6

YI Yen-Hua ARO058 Licensed Representative 1, 9

YIP Chi Fung AZR317 Licensed Representative 1, 4, 6

YIU Yi Shing BKK536 Licensed Representative 4, 5, 9

YOOK Haekong BKM766 Licensed Representative 1, 4

YOUNIS Adnan Mohammed BKO681 Licensed Representative 1, 4

YU Hiu Kwan, Hilda BKE953 Licensed Representative 1, 6

YU Shuk Mei AOU416 Licensed Representative 1, 4

YU Yi BKT201 Licensed Representative 1, 4

YU Yifei BKR090 Licensed Representative 1, 4, 6

YU Yue AVW185 Licensed Representative 1, 4

YUAN Jingyu BKI554 Licensed Representative 1, 6

YUEN Yat Ki BKR591 Licensed Representative 2

ZENG Xinyuan BKR306 Licensed Representative 4

ZHAI Yanni BKI619 Licensed Representative 1, 4, 7

ZHANG Jiaojiao BJW038 Licensed Representative 6

ZHANG Jingrui BKP678 Licensed Representative 4, 9

ZHANG Min BKJ272 Licensed Representative 1, 2

ZHANG Ruohan BKF073 Licensed Representative 1, 2

ZHANG Sijia BKF448 Licensed Representative 1, 2

ZHANG Wenli BJX153 Licensed Representative 1

ZHANG Yanrong BJY723 Licensed Representative 1, 6

ZHANG Yi BKM737 Licensed Representative 4

ZHANG Yichi AQF007 Licensed Representative 1

ZHANG Yijia BKM831 Licensed Representative 4

ZHANG Yumeng BKK535 Licensed Representative 1, 6

ZHANG Zebang BKN996 Licensed Representative 1, 2, 4

ZHAO Can BKQ455 Licensed Representative 4, 9

ZHAO Nanxi BKO984 Licensed Representative 1, 6

ZHAO Pengfei BKA562 Licensed Representative 1, 2, 7

ZHAO Xiaotian BKE566 Licensed Representative 9

ZHAO Xiaotian BKH678 Licensed Representative 1, 6

ZHENG Shihao BKL166 Licensed Representative 1, 4, 6

ZHONG Mingchang BKM736 Licensed Representative 4, 6

ZHOU Caobin BKJ864 Licensed Representative 1, 4, 6

ZHOU Haote BKK304 Licensed Representative 4

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

ZHOU Jiayi BKQ452 Licensed Representative 1, 4, 6

ZHOU Jie BKR666 Licensed Representative 4, 9

ZHOU Lin BKI929 Licensed Representative 4

ZHOU Quan BKT188 Licensed Representative 1

ZHOU Yue BKH772 Licensed Representative 1, 2

ZHU Jialei BFD431 Licensed Representative 1, 4

ZHU Zhu BKH350 Licensed Representative 1, 6

ZHUANG Huihui BKR063 Licensed Representative 4, 9

ZOONEKYND Vincent Davy BKF080 Licensed Representative 5

ZOU Hao ASM068 Licensed Representative 1, 4, 9

ZUO Yichao BKO558 Licensed Representative 1, 2, 4

ZUO Yiyuan BKG344 Licensed Representative 2, 5

CHAN Pui Yee Winnie BHK661 Licensed Representative - Responsible Officer 1, 4, 9

CHEUNG Robert Lock Yen BEQ539 Licensed Representative - Responsible Officer 4, 9

CUI Xiaofeng AYE509 Licensed Representative - Responsible Officer 4, 9

ECONOMOS Andrew APW596 Licensed Representative - Responsible Officer 4, 9

EDWARDS David Wyndham AOX190 Licensed Representative - Responsible Officer 9

FOO Tzi Chun, Wallace ADC298 Licensed Representative - Responsible Officer 6

FRIEDLANDER Jesse AIC317 Licensed Representative - Responsible Officer 4, 9

GEARY Scott Cameron BJV521 Licensed Representative - Responsible Officer 1, 4

HUANG Hsiu Mei BJU910 Licensed Representative - Responsible Officer 1

HUANG Yao Tung BJU622 Licensed Representative - Responsible Officer 1, 4

HUNG Chia Wei AGJ209 Licensed Representative - Responsible Officer 4, 9

KAO Cheng Yung AUW023 Licensed Representative - Responsible Officer 2

LAM Woo Ping, Albert AJD995 Licensed Representative - Responsible Officer 1, 4, 9

LAU Dorothy Kwok Cheung AEY067 Licensed Representative - Responsible Officer 9

LAW Siu Wah, Eddie ACD719 Licensed Representative - Responsible Officer 4, 9

LEFORT Emmanuel BJR177 Licensed Representative - Responsible Officer 1, 4

LEI Chunran ASP969 Licensed Representative - Responsible Officer 1, 4

LEUNG Tin Wai BJY038 Licensed Representative - Responsible Officer 1, 4, 9

LI Kan Fung AMQ914 Licensed Representative - Responsible Officer 9

LIANG Annie Phoebe BJU620 Licensed Representative - Responsible Officer 1, 4

LO Pak Lung AGK697 Licensed Representative - Responsible Officer 1, 2, 4

MCCLATCHEY Mark BHR464 Licensed Representative - Responsible Officer 1, 4, 9

PANG Kai Chun AOJ337 Licensed Representative - Responsible Officer 1, 4, 9

PANG Yan APG361 Licensed Representative - Responsible Officer 4, 9

PERRY Mark Oliver BJV520 Licensed Representative - Responsible Officer 9

PURITZ Adam Todd BJV177 Licensed Representative - Responsible Officer 1, 4, 9

SUN Kevin Ka Man AFU844 Licensed Representative - Responsible Officer 4, 9

SZE Kwok Wing Nigel ACV299 Licensed Representative - Responsible Officer 9

TAI Kwok Keung AAE013 Licensed Representative - Responsible Officer 4, 9

TIAN Na BJQ057 Licensed Representative - Responsible Officer 1, 4

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

TSO Siu Lun, Alan AOG305 Licensed Representative - Responsible Officer 4, 9

WANG Yuan BJU824 Licensed Representative - Responsible Officer 4

WONG Man Yin AED081 Licensed Representative - Responsible Officer 4

WU Kwok Leung AJB638 Licensed Representative - Responsible Officer 4, 9

XIE Yuanxi BJP646 Licensed Representative - Responsible Officer 9

YAO See Wing, David AOB931 Licensed Representative - Responsible Officer 9

YOUNG Jeffrey BKM800 Licensed Representative - Responsible Officer 4, 9

YU Wai Hong, Johnson BAD307 Licensed Representative - Responsible Officer 4, 9

ZHOU Peng AUS211 Licensed Representative - Responsible Officer 6

AN Chiwon BKX406 Licensed Representative (Provisional Licence) 1, 6

AU Shun Hang BLA480 Licensed Representative (Provisional Licence) 1, 6

AU Wilson Wai Kwan ATY188 Licensed Representative (Provisional Licence) 1

BARNES Simon Andrew BKZ985 Licensed Representative (Provisional Licence) 1

BEERLI Christian BKT618 Licensed Representative (Provisional Licence) 1

BEZVERKHNI Leon BKY299 Licensed Representative (Provisional Licence) 1, 6

BHANDARI Samir BLC120 Licensed Representative (Provisional Licence) 1, 4

BHARGAVA Siddharth AFP173 Licensed Representative (Provisional Licence) 4, 9

BIN MAHADZIR Aiman BKW446 Licensed Representative (Provisional Licence) 1, 6

BURGES Till BKW807 Licensed Representative (Provisional Licence) 1, 9

BYERS James Christopher Kemp BKT316 Licensed Representative (Provisional Licence) 1, 2

CAI Mianmian BKY254 Licensed Representative (Provisional Licence) 1, 4

CAI Miao BKH212 Licensed Representative (Provisional Licence) 1, 6

CAI Yijing BKX010 Licensed Representative (Provisional Licence) 1, 6

CAO Dan BKZ053 Licensed Representative (Provisional Licence) 1, 4

CAO Qing BJT447 Licensed Representative (Provisional Licence) 1, 4

CAO Xueyue BKR593 Licensed Representative (Provisional Licence) 10

CASSIDY Piers Maximillian Anthony BKY621 Licensed Representative (Provisional Licence) 1

CHAN Andrew King Yue BLB128 Licensed Representative (Provisional Licence) 1

CHAN Cheuk Lam Jacqueline BKU849 Licensed Representative (Provisional Licence) 1, 4, 9

CHAN Chi Ho BKZ007 Licensed Representative (Provisional Licence) 10

CHAN Chung Chuen BKY826 Licensed Representative (Provisional Licence) 1, 4

CHAN Hio Man BKZ227 Licensed Representative (Provisional Licence) 1

CHAN Ho Wan BKQ461 Licensed Representative (Provisional Licence) 4, 9

CHAN Hoi Na BLD347 Licensed Representative (Provisional Licence) 1, 2

CHAN Kin Leung APC074 Licensed Representative (Provisional Licence) 4, 9

CHAN KWOK MAN MARK BKT932 Licensed Representative (Provisional Licence) 6

CHAN Ling Tung, Kristy BFT513 Licensed Representative (Provisional Licence) 1, 2

CHAN Michael BKW534 Licensed Representative (Provisional Licence) 1, 4, 9

CHAN Ngai Ka AOY222 Licensed Representative (Provisional Licence) 1, 2, 4

CHAN Po Yan BKR693 Licensed Representative (Provisional Licence) 1, 4, 6

CHAN Pui Kuen AXR733 Licensed Representative (Provisional Licence) 1, 6

CHAN Pui Yee, Christine AFV641 Licensed Representative (Provisional Licence) 1

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

CHAN Shu Ting BKY634 Licensed Representative (Provisional Licence) 4

CHAN So Han AOJ393 Licensed Representative (Provisional Licence) 1, 4, 9

CHAN Tsz Kwan BKY617 Licensed Representative (Provisional Licence) 1, 2

CHAN Wai Kwan AQQ789 Licensed Representative (Provisional Licence) 1, 6

CHAN Yin Fan BKZ663 Licensed Representative (Provisional Licence) 9

CHAN Ying Kuk, Joyce AVL275 Licensed Representative (Provisional Licence) 1, 2

CHANG Cheng Hao BKC962 Licensed Representative (Provisional Licence) 1

CHANG Kai-Tong BKY236 Licensed Representative (Provisional Licence) 1, 4

CHEN Amanda AWF103 Licensed Representative (Provisional Licence) 1, 9

CHEN Biwei BKD538 Licensed Representative (Provisional Licence) 1

CHEN Chia-Jung BKI613 Licensed Representative (Provisional Licence) 1, 6

CHEN Chi-Min ANM097 Licensed Representative (Provisional Licence) 1

CHEN Feng BKW447 Licensed Representative (Provisional Licence) 1, 6

CHEN Hongsheng BKV451 Licensed Representative (Provisional Licence) 1

CHEN Hsin Han BKR006 Licensed Representative (Provisional Licence) 1, 2

CHEN Jianjun BKH376 Licensed Representative (Provisional Licence) 1, 6

CHEN Kailin BKY619 Licensed Representative (Provisional Licence) 1, 4, 9

CHEN Michael Adam BKY330 Licensed Representative (Provisional Licence) 1, 9

CHEN Pengjia BKW919 Licensed Representative (Provisional Licence) 1, 2

CHEN Qianqian AUV895 Licensed Representative (Provisional Licence) 4, 9

CHEN Ruofan BKV994 Licensed Representative (Provisional Licence) 4

CHEN SHENG BKH355 Licensed Representative (Provisional Licence) 1, 6

CHEN Wei AWS993 Licensed Representative (Provisional Licence) 1, 2, 4, 5

CHEN Weiwei BKY635 Licensed Representative (Provisional Licence) 1

CHEN Xinyi BKW998 Licensed Representative (Provisional Licence) 1

CHEN Ya Hui AQW059 Licensed Representative (Provisional Licence) 1, 2

CHEN Yalei ARW897 Licensed Representative (Provisional Licence) 4

CHEN Yang BKL280 Licensed Representative (Provisional Licence) 10

CHENG CHEN BKZ934 Licensed Representative (Provisional Licence) 1, 6

CHENG Chi Kin BKV086 Licensed Representative (Provisional Licence) 1, 2, 4

CHENG Jonathan Tze-yeung BKU690 Licensed Representative (Provisional Licence) 1, 2

CHENG Kiu Sum BKS895 Licensed Representative (Provisional Licence) 1, 4

CHENG Richard JR BLB110 Licensed Representative (Provisional Licence) 1, 6

CHENG Wai Han Cecilia APY533 Licensed Representative (Provisional Licence) 1

CHENG Yu King, Alvin APQ273 Licensed Representative (Provisional Licence) 1

CHENG Yuen Kin BKT548 Licensed Representative (Provisional Licence) 1, 2

CHENG Zhiqian BKU851 Licensed Representative (Provisional Licence) 1, 2

CHEUNG Chi Kin BKT187 Licensed Representative (Provisional Licence) 1, 6

CHEUNG Chung Pan BKU271 Licensed Representative (Provisional Licence) 2

CHIN Hung I ADT385 Licensed Representative (Provisional Licence) 6

CHIN Man Fai BAP590 Licensed Representative (Provisional Licence) 1, 2

CHIU Sai Ka BLD324 Licensed Representative (Provisional Licence) 1, 2

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

CHIU Sai Kit BKZ194 Licensed Representative (Provisional Licence) 1

CHO Harry Sang Hyun AYG010 Licensed Representative (Provisional Licence) 1, 2

CHOE Steven Kent ANQ119 Licensed Representative (Provisional Licence) 2, 5

CHOI Chun Fai BKV279 Licensed Representative (Provisional Licence) 1

CHOI Ming Lung AVS381 Licensed Representative (Provisional Licence) 2

CHONG Yu Cheong BKW511 Licensed Representative (Provisional Licence) 1

CHOU Ho Cheong, Vincent BLC112 Licensed Representative (Provisional Licence) 1, 2, 4

CHU Chen Chung, Dominic BEW829 Licensed Representative (Provisional Licence) 1, 6

CHU Ka Kin AVP248 Licensed Representative (Provisional Licence) 4, 5, 9

CHU Tsz Ying BKQ747 Licensed Representative (Provisional Licence) 1

CHU Wen-Hsien AOY184 Licensed Representative (Provisional Licence) 9

CHUANG James BLA372 Licensed Representative (Provisional Licence) 1

CHUNG Jaewon AXE001 Licensed Representative (Provisional Licence) 1, 6

CHUNG Man Wai, David AOU630 Licensed Representative (Provisional Licence) 10

CHUNG Margaret Kar Lo BKS969 Licensed Representative (Provisional Licence) 1, 2

CHUNG Seun Jing BKV413 Licensed Representative (Provisional Licence) 9

CHUNG Wai Bu Gloria BJV742 Licensed Representative (Provisional Licence) 1, 9

CHUO Chung-Lin BKM227 Licensed Representative (Provisional Licence) 1, 4, 6

COULDREY Ranulf David Richard BKY385 Licensed Representative (Provisional Licence) 4, 6

CROSS Bryan Andrew BKV841 Licensed Representative (Provisional Licence) 1, 4, 9

CUI Yuting BHV550 Licensed Representative (Provisional Licence) 9

CUTHBERT Ailsa Ross AAB783 Licensed Representative (Provisional Licence) 4, 9

DALAL Alok Mukul BKQ449 Licensed Representative (Provisional Licence) 4

DAR Tabish Zafar BKQ456 Licensed Representative (Provisional Licence) 1

DENG Shaowei BKY927 Licensed Representative (Provisional Licence) 1, 2

DESMEDT Pierre Baptiste BKV681 Licensed Representative (Provisional Licence) 1

DHOOT Anuradha BKU744 Licensed Representative (Provisional Licence) 1, 2

DI Yi BKY361 Licensed Representative (Provisional Licence) 1, 6

DING QI AWV316 Licensed Representative (Provisional Licence) 9

DONG Naiyu BKZ892 Licensed Representative (Provisional Licence) 1, 4, 6

DOU Wenjing BLA386 Licensed Representative (Provisional Licence) 4

DU Yufei BKV284 Licensed Representative (Provisional Licence) 1

DUBUISSON Boris Bruno Michel BKW512 Licensed Representative (Provisional Licence) 9

DWIVEDI Pranshu BET343 Licensed Representative (Provisional Licence) 1

DY Andre Mikael Lu BKT170 Licensed Representative (Provisional Licence) 1

FANG Shuai BKV676 Licensed Representative (Provisional Licence) 1, 2, 7

FANG Yihao BKU183 Licensed Representative (Provisional Licence) 1, 2

FENG Shanchuan BLB687 Licensed Representative (Provisional Licence) 4

FU Cheuk Yau, Erica BLB689 Licensed Representative (Provisional Licence) 1, 2

FU Yubin BLB155 Licensed Representative (Provisional Licence) 5

FUNG Man Kei AOW960 Licensed Representative (Provisional Licence) 1

FUNG Mei Han AFR011 Licensed Representative (Provisional Licence) 1

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

FUNG Sing Chung ANE087 Licensed Representative (Provisional Licence) 1, 2, 7

FUNG Yu Keung BLB503 Licensed Representative (Provisional Licence) 1

FUNG Yuet Ying BLA649 Licensed Representative (Provisional Licence) 4

GAN Liang BJW266 Licensed Representative (Provisional Licence) 1, 4

GAN Siok Hong ALF539 Licensed Representative (Provisional Licence) 1

GAO Xiang BKV988 Licensed Representative (Provisional Licence) 4

GE Guanhong BLA403 Licensed Representative (Provisional Licence) 6

GEORGE Abraham Yohan BLA732 Licensed Representative (Provisional Licence) 1, 4

GIBBS Robert John Stuart BJV533 Licensed Representative (Provisional Licence) 1, 4

GOETZ Beat BKV836 Licensed Representative (Provisional Licence) 1, 4, 9

GOH Jia Yi BKT926 Licensed Representative (Provisional Licence) 1, 4, 6

GOURLAY Yoshie BKY362 Licensed Representative (Provisional Licence) 1, 4, 9

GUAN Yinchi BKT401 Licensed Representative (Provisional Licence) 1, 4

GUILLEMINOT-SIMON Bastien Pierre BKS045 Licensed Representative (Provisional Licence) 1, 2

GUO Gunan BKW982 Licensed Representative (Provisional Licence) 1, 4, 9

GUO Yuehua BKW494 Licensed Representative (Provisional Licence) 1, 6

GUPTE Nishad Dileep BKY105 Licensed Representative (Provisional Licence) 1, 2

HAO Lydia Zhuotao BKW504 Licensed Representative (Provisional Licence) 1, 4, 9

HAO Sijia BKW541 Licensed Representative (Provisional Licence) 1, 4

HE Liyao BKK633 Licensed Representative (Provisional Licence) 1, 6

HE Weiyi BKU102 Licensed Representative (Provisional Licence) 1, 4, 9

HEUNG Chun Wai ADZ579 Licensed Representative (Provisional Licence) 10

HILL Louisa Alice BKW654 Licensed Representative (Provisional Licence) 1, 2

HILMAN Nicholas David BKY127 Licensed Representative (Provisional Licence) 1, 4, 9

HO Kam To BLA401 Licensed Representative (Provisional Licence) 1, 4

HO Kam Yin BKS085 Licensed Representative (Provisional Licence) 1, 4

HO Long Shan, Leonard AOD111 Licensed Representative (Provisional Licence) 1, 4, 5, 9

HO Ping Kwan ALN369 Licensed Representative (Provisional Licence) 1, 2

HO Tsz Tung BGL231 Licensed Representative (Provisional Licence) 1

HO YIN KI BKT703 Licensed Representative (Provisional Licence) 9

HOFER Stefan Paul BKR862 Licensed Representative (Provisional Licence) 1, 4

HORNG Jia-yi BKS143 Licensed Representative (Provisional Licence) 2, 5

HSIAO Eugene Yow Seng AOP006 Licensed Representative (Provisional Licence) 4, 9

HSIEH Siou-Ping AUR646 Licensed Representative (Provisional Licence) 1

HSU Pei-Ju APY469 Licensed Representative (Provisional Licence) 1

HU Jiachen BKV101 Licensed Representative (Provisional Licence) 1

HU Renyun BKU718 Licensed Representative (Provisional Licence) 1, 4, 6

HUANG Hsing-Han BKY224 Licensed Representative (Provisional Licence) 6

HUANG Tsung-Kai BKT096 Licensed Representative (Provisional Licence) 2, 5

HUANG Xiayue BKU111 Licensed Representative (Provisional Licence) 6

HUANG Yao Tung BJU622 Licensed Representative (Provisional Licence) 1, 4

HUANG Yun Tong BKY315 Licensed Representative (Provisional Licence) 1, 6

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

HUI Chun-kit, Lawrence BKY996 Licensed Representative (Provisional Licence) 1, 4

HUI Hin Long BKY354 Licensed Representative (Provisional Licence) 6

HUI Jonathan Kim Pong AJF934 Licensed Representative (Provisional Licence) 1, 2

HUI Kin Ho BKY134 Licensed Representative (Provisional Licence) 1, 2

HUI TAK WAI BKY318 Licensed Representative (Provisional Licence) 1

HUNG Tak Wai BLC110 Licensed Representative (Provisional Licence) 1

IP Alan Wai Luen AQY200 Licensed Representative (Provisional Licence) 9

IP Chi Lui BLA299 Licensed Representative (Provisional Licence) 1, 4

IP Kwok Pong BKY596 Licensed Representative (Provisional Licence) 4

IP Man Ka BKV989 Licensed Representative (Provisional Licence) 4

ISNARD Maxime Vladimir Sidney BKW311 Licensed Representative (Provisional Licence) 1, 2, 9

JACKSON Nicholas Mark BLC914 Licensed Representative (Provisional Licence) 1, 4

JANAMANCHI Siddardha BKS026 Licensed Representative (Provisional Licence) 1, 2

JANG JI HO BKS152 Licensed Representative (Provisional Licence) 1, 4, 6

JIANG Lixue BKP869 Licensed Representative (Provisional Licence) 1

JIANG Tong BKU847 Licensed Representative (Provisional Licence) 4

JIANG Zhiyue BKU700 Licensed Representative (Provisional Licence) 1, 4, 6

JIN Jing BKY934 Licensed Representative (Provisional Licence) 1

JING Jun BKQ509 Licensed Representative (Provisional Licence) 1, 2

JUNG Jaekyung BKI059 Licensed Representative (Provisional Licence) 1, 6

KAM Suet Ying BLA367 Licensed Representative (Provisional Licence) 1, 4

KIM David In-kyu BKV893 Licensed Representative (Provisional Licence) 1, 4

KIM Erica Jeewon AQQ470 Licensed Representative (Provisional Licence) 4, 9

KIM Hyo Jin BKG492 Licensed Representative (Provisional Licence) 1, 4, 9

KIM Min Chul BKY242 Licensed Representative (Provisional Licence) 1, 4, 9

KIM Min Hye BKY300 Licensed Representative (Provisional Licence) 1

KITAHARA Yoshitaka BKY302 Licensed Representative (Provisional Licence) 1

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

KO Sin Pan BLB435 Licensed Representative (Provisional Licence) 1, 6

KONG Yin Yu ARD477 Licensed Representative (Provisional Licence) 9

KOU Yuanyuan BKX467 Licensed Representative (Provisional Licence) 9

KUANG Hanfangzi BKW287 Licensed Representative (Provisional Licence) 1, 4

KUSAKABE Haruo BKS080 Licensed Representative (Provisional Licence) 1, 4, 9

LAI Billy Yee Piu AMV035 Licensed Representative (Provisional Licence) 1, 9

LAI Ka Wah ATR461 Licensed Representative (Provisional Licence) 1, 2, 4

LAI Man Ching BEA623 Licensed Representative (Provisional Licence) 1, 2

LAM Ambrose Kin Shek BKY630 Licensed Representative (Provisional Licence) 1

LAM Chun Hang BFE153 Licensed Representative (Provisional Licence) 1, 2

LAM Hiu Ha, Kate ABG384 Licensed Representative (Provisional Licence) 1, 2

LAM Joshua BKW778 Licensed Representative (Provisional Licence) 6

LAM Ka Ching BLB365 Licensed Representative (Provisional Licence) 1, 2

LAM Ting Wai, Anita AOE462 Licensed Representative (Provisional Licence) 1, 4

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

LAMADJIDO Romy Fatinhizam BKL147 Licensed Representative (Provisional Licence) 1, 6

LAMAR Mia Danielle BKK695 Licensed Representative (Provisional Licence) 1

LAU Chiu Ho BKY129 Licensed Representative (Provisional Licence) 4, 9

LAU Chui Lai BLB634 Licensed Representative (Provisional Licence) 1, 4

LAU Kwong Wang Joshua BKO573 Licensed Representative (Provisional Licence) 6

LAU Kwun Ping BLB487 Licensed Representative (Provisional Licence) 4

LEE Chui Shan AGG697 Licensed Representative (Provisional Licence) 1

LEE Ka Ning BKY346 Licensed Representative (Provisional Licence) 1, 4, 9

LEE Kie Hang Kath BKZ972 Licensed Representative (Provisional Licence) 1

LEE Kwan Fong ARY266 Licensed Representative (Provisional Licence) 1

LEE Susan Marie BKV447 Licensed Representative (Provisional Licence) 1, 6

LEE Wai Hung AEI501 Licensed Representative (Provisional Licence) 1

LEE Wing Sum Vanessa BKO694 Licensed Representative (Provisional Licence) 1, 4

LEE Yoke Ching BKS585 Licensed Representative (Provisional Licence) 1

LEE Yuen Ling BKU863 Licensed Representative (Provisional Licence) 1, 6

LEI Lei BKK648 Licensed Representative (Provisional Licence) 1, 6

LEOTTA Sebastian John BKP941 Licensed Representative (Provisional Licence) 4, 9

LEUNG Choi Ming BKW018 Licensed Representative (Provisional Licence) 1, 4

LEUNG Ping Fai ARG750 Licensed Representative (Provisional Licence) 4, 9

LEUNG Po Chi BKU079 Licensed Representative (Provisional Licence) 1, 4, 9

LEUNG Soi Chi BKW301 Licensed Representative (Provisional Licence) 1

LEUNG Yu Shun BKL783 Licensed Representative (Provisional Licence) 1, 4, 9

LI Adrian BDJ811 Licensed Representative (Provisional Licence) 1, 6

LI Bai BLA188 Licensed Representative (Provisional Licence) 4

LI Botao BKW478 Licensed Representative (Provisional Licence) 1, 4, 6

LI Enhui BKT285 Licensed Representative (Provisional Licence) 6

LI Hongxu BKX392 Licensed Representative (Provisional Licence) 2, 5

LI Junhui BKT337 Licensed Representative (Provisional Licence) 9

LI Keyue BKW500 Licensed Representative (Provisional Licence) 1, 4

LI Lingxuan BKV919 Licensed Representative (Provisional Licence) 1, 6

LI Lucheng BKL414 Licensed Representative (Provisional Licence) 1, 6

LI Man BKX346 Licensed Representative (Provisional Licence) 1, 4, 9

LI Sai Chung AMO749 Licensed Representative (Provisional Licence) 1

LI Sai Hung BKT393 Licensed Representative (Provisional Licence) 1, 2

LI Shiyan BKK506 Licensed Representative (Provisional Licence) 1

LI Shuxi BKT719 Licensed Representative (Provisional Licence) 1

LI Wai Kit BLC096 Licensed Representative (Provisional Licence) 1

LI Xintong BKU819 Licensed Representative (Provisional Licence) 6

LI Xue BKY638 Licensed Representative (Provisional Licence) 1, 6

LI Yen-Cheng BKU850 Licensed Representative (Provisional Licence) 1, 2

LIANG QianQian BKQ750 Licensed Representative (Provisional Licence) 1, 4, 6

LIANG Xingjun BKQ748 Licensed Representative (Provisional Licence) 1, 4, 6

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

LIM Junsea BKY382 Licensed Representative (Provisional Licence) 1, 2

LIM Shan-Jia, Alvin AZW886 Licensed Representative (Provisional Licence) 1, 4

LIN Jiaxin AVH077 Licensed Representative (Provisional Licence) 1, 4

LIN Jing Yuh AOX222 Licensed Representative (Provisional Licence) 4, 6, 9

LIN Minjie BBK729 Licensed Representative (Provisional Licence) 4, 9

LIN Zhe BKU715 Licensed Representative (Provisional Licence) 1, 4, 6

LIO Lok Tin BKV993 Licensed Representative (Provisional Licence) 1, 4

LIU BING BKY745 Licensed Representative (Provisional Licence) 4, 9

LIU Feifei BGM914 Licensed Representative (Provisional Licence) 1

LIU Gladys BLA853 Licensed Representative (Provisional Licence) 1, 4

LIU Hanyi BKS592 Licensed Representative (Provisional Licence) 1, 4, 6

LIU Jiaji BLC129 Licensed Representative (Provisional Licence) 4

LIU Jialu BKX396 Licensed Representative (Provisional Licence) 1, 2

LIU Jiaming BKV292 Licensed Representative (Provisional Licence) 1, 6

LIU Jingwei BKS235 Licensed Representative (Provisional Licence) 1, 6

LIU Junming BKW160 Licensed Representative (Provisional Licence) 1, 6

LIU Mengxiao BKT334 Licensed Representative (Provisional Licence) 1, 2

LIU Po Yu BKY981 Licensed Representative (Provisional Licence) 1, 2

LIU Weiwei BKW279 Licensed Representative (Provisional Licence) 1, 6

LIU Xi BKW445 Licensed Representative (Provisional Licence) 1, 6

LIU Ye BKS183 Licensed Representative (Provisional Licence) 4

LIU Ying BKV274 Licensed Representative (Provisional Licence) 1

LIU You BLC125 Licensed Representative (Provisional Licence) 1

LIU Zhe BKW273 Licensed Representative (Provisional Licence) 1

LO Jonathan Ka Yan AQY025 Licensed Representative (Provisional Licence) 1, 4, 9

LO Wai Tak, Michael AFT404 Licensed Representative (Provisional Licence) 4, 9

LOW Christopher Swee Kiat BKW526 Licensed Representative (Provisional Licence) 1, 2

LU Nan BKS599 Licensed Representative (Provisional Licence) 1, 4, 6

LUAN Tian BKV078 Licensed Representative (Provisional Licence) 1, 4, 9

LUI Yue Kwong, Christopher AOS677 Licensed Representative (Provisional Licence) 4

MACLENNAN Dale Peter BKZ643 Licensed Representative (Provisional Licence) 1

MAHESHWARI Vashistha BKW497 Licensed Representative (Provisional Licence) 1, 6

MAI Jiabao BKZ976 Licensed Representative (Provisional Licence) 1, 2

MAK Chloe BLA736 Licensed Representative (Provisional Licence) 1, 2

MAK Wai Chun Anthony BCB788 Licensed Representative (Provisional Licence) 1

MALLIK UPASANA BLC104 Licensed Representative (Provisional Licence) 4

MAN Ngai Hang BKU345 Licensed Representative (Provisional Licence) 1, 2

MAO Xinyu BKU176 Licensed Representative (Provisional Licence) 1, 6

MAYER John Raymond BKX376 Licensed Representative (Provisional Licence) 1, 2

MENG Bingyu AWS029 Licensed Representative (Provisional Licence) 1

MIN Brett Jae AJD743 Licensed Representative (Provisional Licence) 9

MO Wei BJQ537 Licensed Representative (Provisional Licence) 1, 4

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

MOK Vincent Hiu Fung BKY136 Licensed Representative (Provisional Licence) 1, 2

MORELAND Bradley Anthony ARG325 Licensed Representative (Provisional Licence) 1

MU Sihan BKT332 Licensed Representative (Provisional Licence) 1, 2

MUI Ka Ho Wallace BKU044 Licensed Representative (Provisional Licence) 6

MURAI Ken Ofriel BKU707 Licensed Representative (Provisional Licence) 1, 2, 7

MURARI Pranav BAX549 Licensed Representative (Provisional Licence) 4, 9

NAKATOMI Ryosuke BKV309 Licensed Representative (Provisional Licence) 1

NG Ka Wai BLB476 Licensed Representative (Provisional Licence) 1, 6

NG Kin Fun AXW833 Licensed Representative (Provisional Licence) 1, 4

NG Kwan Ning BKG128 Licensed Representative (Provisional Licence) 1, 4, 9

NG Pauline Pui-han BKQ278 Licensed Representative (Provisional Licence) 1, 4

NG Tsz Ho BKT162 Licensed Representative (Provisional Licence) 1, 4

NG Wang Chiu BKS775 Licensed Representative (Provisional Licence) 1

O Wai Mun BLB449 Licensed Representative (Provisional Licence) 1

OKAZAWA Kyoya BKP028 Licensed Representative (Provisional Licence) 1, 2

ON Chin Bong BKR852 Licensed Representative (Provisional Licence) 6

PANG Christopher BKY624 Licensed Representative (Provisional Licence) 1

PANG Wenjuan BKW525 Licensed Representative (Provisional Licence) 1

PARKER Kirsten Bunty BEZ493 Licensed Representative (Provisional Licence) 6

PATEL Afshan Yusuf BLB208 Licensed Representative (Provisional Licence) 1

PENG Cheng BKT370 Licensed Representative (Provisional Licence) 1, 4, 6

PENG Yuyu ATV436 Licensed Representative (Provisional Licence) 1, 4

QIAN Junhong BKR991 Licensed Representative (Provisional Licence) 4

QIU Yongyi BKS181 Licensed Representative (Provisional Licence) 1, 4

RA Hye Rin BAC302 Licensed Representative (Provisional Licence) 1, 7

RADE Guillaume Roland BKI755 Licensed Representative (Provisional Licence) 1, 4, 9

RAMOS Joyce Anne Jose BKY336 Licensed Representative (Provisional Licence) 4

RASTOGI Sagar Yogesh BKV097 Licensed Representative (Provisional Licence) 4, 5, 9

REUS ALEXANDER JAMES HOWARTH BKZ628 Licensed Representative (Provisional Licence) 6

RUHEE Doorvasha BKR701 Licensed Representative (Provisional Licence) 1, 9

SARWAR Shejuti Shehreen AYD305 Licensed Representative (Provisional Licence) 1, 6

SCHWARZ Florian BKY307 Licensed Representative (Provisional Licence) 1, 4, 6

SEO Se Heun BKU705 Licensed Representative (Provisional Licence) 1, 4, 6

SHAMBI Rajdeep Singh BKL897 Licensed Representative (Provisional Licence) 1, 2

SHEN Jun AYP961 Licensed Representative (Provisional Licence) 1, 4, 9

SHEN Ruyi BKY357 Licensed Representative (Provisional Licence) 1, 4

SHEN Yang BKW016 Licensed Representative (Provisional Licence) 1, 2

SHEN Yiqing BKW685 Licensed Representative (Provisional Licence) 1, 4, 6

SHI Wenting BKX436 Licensed Representative (Provisional Licence) 1, 6

SHI Yunhan BLA252 Licensed Representative (Provisional Licence) 9

SHIMIZU Yasunori BJF243 Licensed Representative (Provisional Licence) 1, 2

SHU Tingfei BKR355 Licensed Representative (Provisional Licence) 4, 9

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

SIBAL Maria Elisa Andrea Pamandanan BKT185 Licensed Representative (Provisional Licence) 1

SIDHU Tajinder Singh BKV870 Licensed Representative (Provisional Licence) 1, 9

SIETTE Juliet BBK303 Licensed Representative (Provisional Licence) 1, 4

SINGH Puneet BCG408 Licensed Representative (Provisional Licence) 1, 4

SIOW Andy Jinhui ANR867 Licensed Representative (Provisional Licence) 1

SIU Chung Wa BGA702 Licensed Representative (Provisional Licence) 4

SMITH BRENT BLC113 Licensed Representative (Provisional Licence) 1

SOBTI GAGANDEEP SINGH BKW825 Licensed Representative (Provisional Licence) 1, 2

SONG Michael Y BKT329 Licensed Representative (Provisional Licence) 1

SUGARMAN Richard Neil BKX038 Licensed Representative (Provisional Licence) 1, 7

SULTAN Asad Turab ADW848 Licensed Representative (Provisional Licence) 1

SUN Chi Hang BKY618 Licensed Representative (Provisional Licence) 9

SUN Jie BBY954 Licensed Representative (Provisional Licence) 1, 4

SUN Shuai BKM720 Licensed Representative (Provisional Licence) 1

SUN Xiao Xiao BKV797 Licensed Representative (Provisional Licence) 1, 4

SUN Xinyi BKA529 Licensed Representative (Provisional Licence) 1, 4, 9

SUN Yicheng BKU344 Licensed Representative (Provisional Licence) 1

TAM Ho Yi BKY892 Licensed Representative (Provisional Licence) 1

TAM Wing Kin BAF087 Licensed Representative (Provisional Licence) 1, 4

TAN Heng Hui, Adeline BKW932 Licensed Representative (Provisional Licence) 1, 4, 9

TAN Michael June Kiat BJU099 Licensed Representative (Provisional Licence) 1

TAN Min BKR644 Licensed Representative (Provisional Licence) 4, 9

TANG Desmond Shiu Ching BLA307 Licensed Representative (Provisional Licence) 1, 4

TANG Dik Ying BKY298 Licensed Representative (Provisional Licence) 6

TANG Lingjia BKG281 Licensed Representative (Provisional Licence) 1, 4, 6

TANG Rundong BLC422 Licensed Representative (Provisional Licence) 1, 6

TANG Wing Lun BKU866 Licensed Representative (Provisional Licence) 4

TANIWAN Victor BJZ519 Licensed Representative (Provisional Licence) 9

TAUB Vanessa Lee ATC736 Licensed Representative (Provisional Licence) 1

TENG Song BKW513 Licensed Representative (Provisional Licence) 1, 2

TIAN Dan BKY217 Licensed Representative (Provisional Licence) 1, 4

TIAN Na BJQ057 Licensed Representative (Provisional Licence) 1, 4

TO Yat Hong AXP981 Licensed Representative (Provisional Licence) 1

TONG Wing Shing BKU026 Licensed Representative (Provisional Licence) 10

TONG Yilun BKY135 Licensed Representative (Provisional Licence) 1, 4, 9

TOPPING Matthew George Peter BAO907 Licensed Representative (Provisional Licence) 1, 2

TSUI Luen On AIB800 Licensed Representative (Provisional Licence) 1

VAN GULIK Robert Ken ASU202 Licensed Representative (Provisional Licence) 1

VARGA Edit BLB529 Licensed Representative (Provisional Licence) 1, 2, 7

WAN Ho Yin BKW755 Licensed Representative (Provisional Licence) 1

WAN Yiding BKW037 Licensed Representative (Provisional Licence) 1

WANG Bochen BKY625 Licensed Representative (Provisional Licence) 1, 4, 9

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

WANG Duoduo BKY309 Licensed Representative (Provisional Licence) 1, 6

WANG Jeffrey Feng BKZ563 Licensed Representative (Provisional Licence) 1, 4, 9

WANG Jiali BKE338 Licensed Representative (Provisional Licence) 1, 4, 6

WANG Long BKZ913 Licensed Representative (Provisional Licence) 4, 9

WANG Mengting AWJ513 Licensed Representative (Provisional Licence) 1, 6

WANG Shengyu BKT146 Licensed Representative (Provisional Licence) 1, 6

WANG Tinghao BKU321 Licensed Representative (Provisional Licence) 2

WANG Xiance BKS605 Licensed Representative (Provisional Licence) 1, 6

WANG Xinqi BKM655 Licensed Representative (Provisional Licence) 1, 2

WANG Yi BIH253 Licensed Representative (Provisional Licence) 1, 4, 9

WANG Yiqiu BKH331 Licensed Representative (Provisional Licence) 1, 6

WANG Yiwei BLB121 Licensed Representative (Provisional Licence) 1, 4, 9

WANG Yuhan BKV088 Licensed Representative (Provisional Licence) 1, 4

WANG Yuliang BKT468 Licensed Representative (Provisional Licence) 1, 4, 9

WANG Yuzhe BLB507 Licensed Representative (Provisional Licence) 4

WANG Zhuoyue BKU351 Licensed Representative (Provisional Licence) 1, 2

WENG Hsiao Wen BKV142 Licensed Representative (Provisional Licence) 4

WONG Hon Tin BLB504 Licensed Representative (Provisional Licence) 1, 2

WONG Ka Ho BKY128 Licensed Representative (Provisional Licence) 4, 9

WONG Koon Tim BKU746 Licensed Representative (Provisional Licence) 1, 4

WONG Lai Sum BCN837 Licensed Representative (Provisional Licence) 9

WONG Lok Wing BKW992 Licensed Representative (Provisional Licence) 1, 6

WONG Ming Shing AAF460 Licensed Representative (Provisional Licence) 1, 4

WONG Pui Tak BCU590 Licensed Representative (Provisional Licence) 1

WONG Tze Hwee, Grace APZ545 Licensed Representative (Provisional Licence) 6

WONG Un Un BKS920 Licensed Representative (Provisional Licence) 1, 4

WONG Wai Yan AGG935 Licensed Representative (Provisional Licence) 1, 2

WOODS Ciaran David BKY234 Licensed Representative (Provisional Licence) 1, 2

WU Huihuang BKU224 Licensed Representative (Provisional Licence) 6

WU Nan AUW139 Licensed Representative (Provisional Licence) 6

WU Nancy Bing Yun AEZ131 Licensed Representative (Provisional Licence) 9

WU Qiujie BKY629 Licensed Representative (Provisional Licence) 1, 2, 9

WU Shangjin BKY371 Licensed Representative (Provisional Licence) 4

WU Shiqi BKT374 Licensed Representative (Provisional Licence) 1, 4, 6

WU Siyu BLB631 Licensed Representative (Provisional Licence) 1, 6

WU Tianxiao BKR555 Licensed Representative (Provisional Licence) 10

WU William Chen-Xi BKW322 Licensed Representative (Provisional Licence) 1, 4

WU Yuning BKU057 Licensed Representative (Provisional Licence) 1, 2

XIA Xiaodong BLA385 Licensed Representative (Provisional Licence) 1, 4

XIA Yue BKY144 Licensed Representative (Provisional Licence) 1, 2

XIAO Li BKW546 Licensed Representative (Provisional Licence) 4, 9

XIE Shuangquan BKS032 Licensed Representative (Provisional Licence) 4

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

XIE Xianming BKH367 Licensed Representative (Provisional Licence) 1, 6

XIE Yi BKZ932 Licensed Representative (Provisional Licence) 1, 6

XIE Zhuojun BKT341 Licensed Representative (Provisional Licence) 1, 2

XU Qiumeng BKZ025 Licensed Representative (Provisional Licence) 4, 9

XU Yifei BKZ936 Licensed Representative (Provisional Licence) 1, 6

XU Yinglei BKM858 Licensed Representative (Provisional Licence) 6

XU Yuanjie BCX231 Licensed Representative (Provisional Licence) 1, 2

XU Yuzhao BKW515 Licensed Representative (Provisional Licence) 1, 4, 6

XU Zhengguang BLB008 Licensed Representative (Provisional Licence) 4, 9

YAN Jinglin BKW510 Licensed Representative (Provisional Licence) 1, 4, 9

YANG Fan ARD258 Licensed Representative (Provisional Licence) 1, 4, 9

YANG Jae Hoon BLB163 Licensed Representative (Provisional Licence) 1, 2

YANG Jing ARH995 Licensed Representative (Provisional Licence) 1

YANG Li BKW297 Licensed Representative (Provisional Licence) 1, 4, 6

YANG Po Jen BKU710 Licensed Representative (Provisional Licence) 1, 4, 6

YANG Shuo BKV454 Licensed Representative (Provisional Licence) 1, 6

YANG Yi-cheng BIU604 Licensed Representative (Provisional Licence) 1, 4, 9

YANG Yiran BKU216 Licensed Representative (Provisional Licence) 6

YANG zhangyi BKU681 Licensed Representative (Provisional Licence) 1, 2

YAU Siu Yeung, Shari AWP697 Licensed Representative (Provisional Licence) 1

YE Steven Qing BKX165 Licensed Representative (Provisional Licence) 1, 4

YEUNG Hon Shing BKZ969 Licensed Representative (Provisional Licence) 1, 4, 9

YEUNG SHU WA BKT690 Licensed Representative (Provisional Licence) 9

YIN Hang BKX400 Licensed Representative (Provisional Licence) 1, 6

YIP Shui Key ACS410 Licensed Representative (Provisional Licence) 2, 5

YOOK Haekong BKM766 Licensed Representative (Provisional Licence) 1, 4

YOON Jung Jin AQP872 Licensed Representative (Provisional Licence) 1

YOUNG Charles Maximilian BKL907 Licensed Representative (Provisional Licence) 1, 7

YU Qining BKT367 Licensed Representative (Provisional Licence) 1, 4, 6

YU Shuk Mei AOU416 Licensed Representative (Provisional Licence) 1, 4

YU STEINER Lingzhu AZK192 Licensed Representative (Provisional Licence) 1, 2, 4

YU Yi BKT201 Licensed Representative (Provisional Licence) 1, 4

YUEN Sau Ling, Angela ADT382 Licensed Representative (Provisional Licence) 1

YUN Hongming BKY626 Licensed Representative (Provisional Licence) 1, 4, 9

ZENG Xinyuan BKR306 Licensed Representative (Provisional Licence) 4

ZHANG Chao BLC114 Licensed Representative (Provisional Licence) 1, 4, 6

ZHANG HAO BKR853 Licensed Representative (Provisional Licence) 1, 4

ZHANG Nan BKY349 Licensed Representative (Provisional Licence) 1, 6

ZHANG Shuo BKX402 Licensed Representative (Provisional Licence) 1, 6

ZHANG Xinyang BKR557 Licensed Representative (Provisional Licence) 10

ZHANG Yici BKX433 Licensed Representative (Provisional Licence) 2, 5

ZHANG Yier BKW498 Licensed Representative (Provisional Licence) 1, 4, 9

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

ZHANG YUZHENG BJQ188 Licensed Representative (Provisional Licence) 1, 4

ZHANG ZHONGWEN BKY288 Licensed Representative (Provisional Licence) 1, 4

ZHAO Can BKQ455 Licensed Representative (Provisional Licence) 4, 9

ZHAO Fangyuan BKS137 Licensed Representative (Provisional Licence) 1, 4

ZHAO Xiaodan BKS689 Licensed Representative (Provisional Licence) 1, 4, 6

ZHOU Geng BKZ925 Licensed Representative (Provisional Licence) 4, 9

ZHOU Guanyu BKV927 Licensed Representative (Provisional Licence) 1, 6

ZHOU Jiayi BKQ452 Licensed Representative (Provisional Licence) 1, 4, 6

ZHOU Jie BKR666 Licensed Representative (Provisional Licence) 4, 9

ZHOU Qiankai BKW228 Licensed Representative (Provisional Licence) 2

ZHOU Tianhao BKR264 Licensed Representative (Provisional Licence) 1

ZHOU Xinchen BKU697 Licensed Representative (Provisional Licence) 1, 2

ZHOU Yangyang BKH390 Licensed Representative (Provisional Licence) 1, 4, 6

ZHU Qi BKU238 Licensed Representative (Provisional Licence) 1, 6

ZHU Wei BKY264 Licensed Representative (Provisional Licence) 1, 4, 6

ZHU Xiaolin BKY251 Licensed Representative (Provisional Licence) 1, 4

ZHU Yali BKY115 Licensed Representative (Provisional Licence) 1, 4, 9

ZUNINO Romain Marie Pierre Gaston BLA848 Licensed Representative (Provisional Licence) 1, 2, 7

AGARWAL Virat BGU565 Licensed Representative (Temporary Licence) 1

AHMADI Vafa BFJ632 Licensed Representative (Temporary Licence) 1

ALLEN Thomas Glassbrooke BHD188 Licensed Representative (Temporary Licence) 1, 4

ALLEN Trent Cameron BFP178 Licensed Representative (Temporary Licence) 4

BALASUBRAMANIAM Venkatesh BDT263 Licensed Representative (Temporary Licence) 4

BARNARD Guy Geoffrey BKU051 Licensed Representative (Temporary Licence) 1, 4

BARRON Jason BFI936 Licensed Representative (Temporary Licence) 1

BENSON Alexander Edward BEO576 Licensed Representative (Temporary Licence) 1

BRAND Helen Michelle BHY288 Licensed Representative (Temporary Licence) 4

BROWN Richard John Russell BKR647 Licensed Representative (Temporary Licence) 1, 4

CAMP Tristan Hector BDL303 Licensed Representative (Temporary Licence) 1

CHAKRABORTY Samiran BGU585 Licensed Representative (Temporary Licence) 4

CHAN Kah Ling AFW039 Licensed Representative (Temporary Licence) 10

CHAUVEL Benjamin, Yannick, Pierre BKZ737 Licensed Representative (Temporary Licence) 1

CHENG Alfred Yuk Chung BLA850 Licensed Representative (Temporary Licence) 1

CHHUGANI Gautam Prakash BIO676 Licensed Representative (Temporary Licence) 4

CHIA Kiara Kim Szu Shyan AVT057 Licensed Representative (Temporary Licence) 4

CHIDGEY Kieren Joseph BJX129 Licensed Representative (Temporary Licence) 4

CHING Yi Edmund AKU003 Licensed Representative (Temporary Licence) 4

CHIU Po-ju BJD825 Licensed Representative (Temporary Licence) 1

CLUSE Reinhard Paul Johannes AXK265 Licensed Representative (Temporary Licence) 4

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

CURRY Jonathan Iain BHD383 Licensed Representative (Temporary Licence) 1

CURTIS Darren BKM647 Licensed Representative (Temporary Licence) 1

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

DA COSTA MONTEIRO Paulo Jorge BLA832 Licensed Representative (Temporary Licence) 1

DEHESH FARHAD BKQ460 Licensed Representative (Temporary Licence) 1

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

EDWARDS Shane Grant AJG195 Licensed Representative (Temporary Licence) 1

EMO CAPODILISTA MALDURA Alvise Luca BGH889 Licensed Representative (Temporary Licence) 1

EVERITT Mark BKL613 Licensed Representative (Temporary Licence) 1, 4

EZAWA Kota BDY402 Licensed Representative (Temporary Licence) 4

FERNANDEZ Gaston Luis Gervasio BKW519 Licensed Representative (Temporary Licence) 1

FERRIER Justin John AEG690 Licensed Representative (Temporary Licence) 1, 4

FIOTAKIS Themistoklis BKU701 Licensed Representative (Temporary Licence) 4

FLEURY Alexandre Darius BKT662 Licensed Representative (Temporary Licence) 1, 2

GALLAGHER Brendan Daniel AYD172 Licensed Representative (Temporary Licence) 1, 2

GONZALES Emeterio III David AAI265 Licensed Representative (Temporary Licence) 1, 4

GOYAL Megha BKR107 Licensed Representative (Temporary Licence) 1

GRASECK Elizabeth Lynn BBQ720 Licensed Representative (Temporary Licence) 1, 4

GRUNDBERG Christopher Olof BKT339 Licensed Representative (Temporary Licence) 4

GUO Weizhong Daniel BKV440 Licensed Representative (Temporary Licence) 1, 6

HARTING Morgan Clothier AXT012 Licensed Representative (Temporary Licence) 1

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

HERR Kathryn Jane BHK246 Licensed Representative (Temporary Licence) 4

HOCHFELD Kim BKV728 Licensed Representative (Temporary Licence) 1

HOLIAN James Simon BJA888 Licensed Representative (Temporary Licence) 1

HOLMES David Andrew BLC009 Licensed Representative (Temporary Licence) 1, 4

HSU Chen-Chih BEE281 Licensed Representative (Temporary Licence) 4

HUANG Ying BLA672 Licensed Representative (Temporary Licence) 1, 4

HUDSON Sarah Henrietta Elizabeth BIT630 Licensed Representative (Temporary Licence) 1, 4

HUMMEL Patrick Torsten BKW550 Licensed Representative (Temporary Licence) 4

HYDER Riaz AUT957 Licensed Representative (Temporary Licence) 1

HYNES Jean Marie BEJ077 Licensed Representative (Temporary Licence) 1, 4

IDELL Rebecca Leigh BIN593 Licensed Representative (Temporary Licence) 1

ISAACS Stefan BKT420 Licensed Representative (Temporary Licence) 1

IVASCYN Daniel John AZS735 Licensed Representative (Temporary Licence) 1, 4

JACKSON Andrew John AYN419 Licensed Representative (Temporary Licence) 1

JAMES William Louis Gabriel BJT159 Licensed Representative (Temporary Licence) 1

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

KANAI Kenji BKW765 Licensed Representative (Temporary Licence) 4

KAPTEIJN Arie Jacobus BIV026 Licensed Representative (Temporary Licence) 4

KERESTELIEV Yana Kirilova BKU674 Licensed Representative (Temporary Licence) 1

KIM Minkyu BEO107 Licensed Representative (Temporary Licence) 1

KLOSS Brian Lavelle BKC147 Licensed Representative (Temporary Licence) 1

KOCH Trenton Godfried BCT904 Licensed Representative (Temporary Licence) 1

KROTTHAPALLI Radha BJG221 Licensed Representative (Temporary Licence) 1

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

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

LEE Moses BDE482 Licensed Representative (Temporary Licence) 2, 5

LENVALSKAYA Uliana BKZ557 Licensed Representative (Temporary Licence) 4

LESNE David Laurent AXE221 Licensed Representative (Temporary Licence) 4

LI Annika Ching-Ching BKY452 Licensed Representative (Temporary Licence) 1, 4

LIEW Xun BJI674 Licensed Representative (Temporary Licence) 1

LIM Verena BLA795 Licensed Representative (Temporary Licence) 1

LIN Chi-Jung BFA198 Licensed Representative (Temporary Licence) 4

LINDQVIST Kjell Thomas BFM408 Licensed Representative (Temporary Licence) 1

LINTON Charles Harold BKM657 Licensed Representative (Temporary Licence) 4

LOKE Weng Yew Kevin BKT336 Licensed Representative (Temporary Licence) 1

LOUTREL DE PETIGNY DE SAINT ROMAIN Agnes, Marie,

SylvieBKC187 Licensed Representative (Temporary Licence) 10

LU Yumian ASM064 Licensed Representative (Temporary Licence) 1, 4

LUBOFF David Simon BLA796 Licensed Representative (Temporary Licence) 1

LUTEREAU Pablo Federico BJU418 Licensed Representative (Temporary Licence) 10

MALHOTRA Gaurav BEB422 Licensed Representative (Temporary Licence) 4

MARWAH Nuveen BKY640 Licensed Representative (Temporary Licence) 1, 2

MELVILLE Paul Leon BJW119 Licensed Representative (Temporary Licence) 1, 2

MICHAEL Joseph Andrew BKT333 Licensed Representative (Temporary Licence) 1, 4

MODY Andrea Crawford BIB416 Licensed Representative (Temporary Licence) 1

MOUTHON Alexandre Remy BCT481 Licensed Representative (Temporary Licence) 1

MUNAKATA Minami BIX260 Licensed Representative (Temporary Licence) 4

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

MYLOTT Louise Renee BLB228 Licensed Representative (Temporary Licence) 1

NAIR Prashant Gopinathan BEN187 Licensed Representative (Temporary Licence) 4

NIETSCH Eric Clark BIA055 Licensed Representative (Temporary Licence) 10

OLSEN John William BKT383 Licensed Representative (Temporary Licence) 1

ONUMA Kazuhiko BHA489 Licensed Representative (Temporary Licence) 1

PANG Gin Ping BLA394 Licensed Representative (Temporary Licence) 1, 2

PARK William BHG768 Licensed Representative (Temporary Licence) 1, 4

PATWARI Priyank BHK693 Licensed Representative (Temporary Licence) 1

PERELMUTER Phillip H ALC035 Licensed Representative (Temporary Licence) 1, 4

PESANELLO Raymond Joseph BKQ873 Licensed Representative (Temporary Licence) 1

PHELPS Mark Ivor AZE639 Licensed Representative (Temporary Licence) 1

PILCHER Bradford Larkin BKQ459 Licensed Representative (Temporary Licence) 1

PINEDA Arthur San Diego AGL866 Licensed Representative (Temporary Licence) 4

PRANOTO Henry Sulistyo BHO644 Licensed Representative (Temporary Licence) 1

PURI Ruchit BJG651 Licensed Representative (Temporary Licence) 1, 2

PUTRA Igor Nyoman BDR834 Licensed Representative (Temporary Licence) 4

QUEK Penelope BLA390 Licensed Representative (Temporary Licence) 1, 2

RAMJEE Shaniel BFS335 Licensed Representative (Temporary Licence) 1

REID Rodney Radcliffe BLA846 Licensed Representative (Temporary Licence) 1

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

RUDIS Daniel BLA729 Licensed Representative (Temporary Licence) 1, 4

SAI Shai Wan BJS133 Licensed Representative (Temporary Licence) 1, 4

SAKAMAKI Kenji BKW528 Licensed Representative (Temporary Licence) 1, 4

SAKAMOTO Yusuke AUV633 Licensed Representative (Temporary Licence) 1

SAMBOR Jean-Charles Pierre BIQ355 Licensed Representative (Temporary Licence) 4

SAPUNOVA Alexandrina BBK047 Licensed Representative (Temporary Licence) 1, 2

SASAKI Futoshi BEZ608 Licensed Representative (Temporary Licence) 1, 4

SCHINDLER Nathaniel Holmes BIG463 Licensed Representative (Temporary Licence) 1, 4

SPENCE Magnus Andrew Eric AXT334 Licensed Representative (Temporary Licence) 1

STORY William Luke BLB615 Licensed Representative (Temporary Licence) 1, 2

SUGARMAN Lawrence Joel BDH042 Licensed Representative (Temporary Licence) 1

SWAMINATHAN Anand AUW975 Licensed Representative (Temporary Licence) 1, 4

TAKAHASHI Ikuo BJZ744 Licensed Representative (Temporary Licence) 1

TALHAOUI Ahmed BEM800 Licensed Representative (Temporary Licence) 1, 4

TAN Adrian Ying Chuan BBU789 Licensed Representative (Temporary Licence) 1

TAN Adrian Ying Chuan BBU789 Licensed Representative (Temporary Licence) 1

TAN Wee Kiat BLA719 Licensed Representative (Temporary Licence) 1, 2

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

TEEPLE Louise AUV927 Licensed Representative (Temporary Licence) 1

TEO Annabelle Chin-Ying BJY744 Licensed Representative (Temporary Licence) 10

TERAI Motoki BJZ740 Licensed Representative (Temporary Licence) 1

TIWARI Atul Kumar BDT253 Licensed Representative (Temporary Licence) 4

VANDERPUMP William James BEG371 Licensed Representative (Temporary Licence) 4

VINCENT Etienne Jean Achille BAO330 Licensed Representative (Temporary Licence) 4

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

WEE Wilfred Zhi Zhong BIL934 Licensed Representative (Temporary Licence) 4

WELCH Michael Godfrey BGN066 Licensed Representative (Temporary Licence) 4

WILKINS Clarke Harold BEN577 Licensed Representative (Temporary Licence) 4

WILLIAMSON Sarah Kim BDP921 Licensed Representative (Temporary Licence) 1

WINARDI Ronald AXL931 Licensed Representative (Temporary Licence) 4

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

YEO Boon Kock BKT382 Licensed Representative (Temporary Licence) 1, 4

YOSHIDA Arifumi BEA842 Licensed Representative (Temporary Licence) 4

YOSHIOKA Masahiko BHJ396 Licensed Representative (Temporary Licence) 1

YUNG-HOK Peter Stephen BDL617 Licensed Representative (Temporary Licence) 2, 5

ZHAO Kevin BKV242 Licensed Representative (Temporary Licence) 1, 4

ZHONG Tiantian AZB127 Licensed Representative (Temporary Licence) 1

ZUBRINICH Kieran John ANQ331 Licensed Representative (Temporary Licence) 1

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