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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
Page 24 of 25
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
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