condition variations of licensed persons / registered ... · compliance adviser work which it...

CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS DURING 01/2015

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CE Name: Capstone Financial (HK) Limited CE No.: AUK184 Licence Type: Licensed Corporation Condition Added: For Type 1 regulated activity, the licensee shall only carry on the business of dealing in collective investment schemes. The terms "collective investment scheme" and "dealing" are as defined under the Securities and Futures Ordinance. Condition Level: Type 1 Regulated Activity CE Name: Polaris Securities (Hong Kong) Limited CE No.: ABZ023 Licence Type: Licensed Corporation Condition Removed: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: Tanrich Capital Limited CE No.: AIC042 Licence Type: Licensed Corporation Condition Removed: For Type 6 regulated activity, the licensee shall not act as sponsor in respect of an application for the listing on a recognized stock market of any securities apart from completing sponsor or compliance adviser work which it became contractually bound to complete prior to 9 June 2014. Condition Level: Type 6 Regulated Activity CE Name: Baron Global Financial Services Limited CE No.: AME341 Licence Type: Licensed Corporation Condition Removed: For Type 6 regulated activity, the licensee shall not act as sponsor in respect of an application for the listing on a recognized stock market of any securities apart from completing sponsor or compliance adviser work which it became contractually bound to complete prior to 11 August 2014. Condition Level: Type 6 Regulated Activity CE Name: Huatai Financial Holdings (Hong Kong) Limited CE No.: AOK809 Licence Type: Licensed Corporation Condition Removed: For Type 6 regulated activity, the licensee shall not act as sponsor in respect of an application for the listing on a recognized stock market of any securities. Condition Level: Type 6 Regulated Activity CE Name: Sofaer Global Research (HK) Limited


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CE No.: AAJ947 Licence Type: Licensed Corporation Condition Removed: For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of futures contracts for another person unless it is for hedging purpose only. Condition Level: Type 9 Regulated Activity CE Name: Capstone Financial (HK) Limited CE No.: AUK184 Licence Type: Licensed Corporation Condition Added: For Type 9 regulated activity, the licensee shall not conduct business involving the discretionary management of any collective investment scheme. The term "collective investment scheme" is as defined under the Securities and Futures Ordinance. Condition Level: Type 9 Regulated Activity CE Name: New China Asset Management (Hong Kong) Limited CE No.: BBI001 Licence Type: Licensed Corporation Condition Removed: For Type 9 regulated activity, the licensee shall not conduct business involving the discretionary management of any collective investment scheme. The term "collective investment scheme" is as defined under the Securities and Futures Ordinance. Condition Level: Type 9 Regulated Activity CE Name: Taiping Assets Management (HK) Company Limited CE No.: ADV247 Licence Type: Licensed Corporation Condition Removed: The licensee shall not hold client assets. The terms "hold" and "client assets" are as defined under the Securities and Futures Ordinance. Condition Level: Licence CE Name: VL Asset Management Limited CE No.: ASM213 Licence Type: Licensed Corporation Condition Removed: The licensee shall only provide services to professional investors. The term "professional investor" is as defined in the Securities and Futures Ordinance and its subsidiary legislation. Condition Level: Licence CE Name: ICBC Credit Suisse Asset Management (International) Company Limited CE No.: AXY613 Licence Type: Licensed Corporation Condition Removed:


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The licensee shall not hold client assets. The terms "hold" and "client assets" are as defined under the Securities and Futures Ordinance. Condition Level: Licence CE Name: Vanguard Investments Hong Kong Limited CE No.: AYT820 Licence Type: Licensed Corporation Condition Removed: The licensee shall not hold client assets. The terms "hold" and "client assets" are as defined under the Securities and Futures Ordinance. Condition Level: Licence CE Name: Cathay Conning Asset Management Limited CE No.: AYW749 Licence Type: Licensed Corporation Condition Removed: The licensee shall only provide services to professional investors. The term "professional investor" is as defined in the Securities and Futures Ordinance and its subsidiary legislation. Condition Level: Licence CE Name: Cathay Conning Asset Management Limited CE No.: AYW749 Licence Type: Licensed Corporation Condition Removed: The licensee shall not hold client assets. The terms "hold" and "client assets" are as defined under the Securities and Futures Ordinance. Condition Level: Licence CE Name: New China Asset Management (Hong Kong) Limited CE No.: BBI001 Licence Type: Licensed Corporation Condition Removed: The licensee shall not hold client assets. The terms "hold" and "client assets" are as defined under the Securities and Futures Ordinance. Condition Level: Licence CE Name: KWONG Kai Hong CE No.: AAB666 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity


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CE Name: KWONG Kai Hong CE No.: AAB666 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: TSE Kim Ming CE No.: AAG973 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CHENG Mun Wah, Heidi CE No.: ABT047 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: LAU Chi Wah Alex CE No.: ABT429 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: YEH Ching Ju CE No.: ACD784 Licence Type: Licensed Representative Condition Removed: For Type 1 regulated activity, the licensee shall only perform distribution function for collective investment schemes. The term "distribution function" is defined in the Code on Unit Trusts and Mutual Funds issued by the Commission.


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Condition Level: Type 1 Regulated Activity CE Name: TSANG Yiu Fat, Peter CE No.: ACD840 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: LIN Peng CE No.: ACP158 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: CHU Chi Yan, Brian CE No.: ACX715 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: CHU Chi Yan, Brian CE No.: ACX715 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: BROWN Andrew Ollie CE No.: ACZ477 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: MAN Kam Fai CE No.: ADG019 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: MAN Kam Fai CE No.: ADG019 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: WANG Nathan CE No.: ADJ636


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Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: WANG Nathan CE No.: ADJ636 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CHUNG Kin Shun, Jimmy CE No.: ADK252 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: CHUNG Kin Shun, Jimmy CE No.: ADK252 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: CHUNG Kin Shun, Jimmy CE No.: ADK252 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is:


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(a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: CHU Tat Hoi CE No.: ADP069 Licence Type: Licensed Representative Condition Removed: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: TSE Yuen Cheung CE No.: AEJ675 Licence Type: Licensed Representative Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: TSE Yuen Cheung CE No.: AEJ675 Licence Type: Licensed Representative Condition Removed: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: CHOY Kwong Man, Edmond CE No.: AEM344 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: WAN Joseph Jason CE No.: AES254 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity


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CE Name: THYNNE Grenville Matthew CE No.: AEZ034 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LAM Ka Cheong, Jason CE No.: AEZ130 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: LAM Ka Cheong, Jason CE No.: AEZ130 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: NG Sai Leung CE No.: AFM666 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance.


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Condition Level: Type 1 Regulated Activity CE Name: NG Sai Leung CE No.: AFM666 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: CHAN Ming Yin CE No.: AFR272 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: JOO Sang Soo CE No.: AFS591 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: PAK Yuen Mei, Emma CE No.: AFU418 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: PAK Yuen Mei, Emma CE No.: AFU418 Licence Type: Licensed Representative - Responsible Officer


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Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: PAK Yuen Mei, Emma CE No.: AFU418 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: KIANG Chin Yu CE No.: AGR151 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: KIANG Chin Yu CE No.: AGR151 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity


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CE Name: CHEUNG Kwok Lung, James CE No.: AGW422 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: CHENG Siu Kong, Conrad CE No.: AHD591 Licence Type: Licensed Representative Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: CHENG Siu Kong, Conrad CE No.: AHD591 Licence Type: Licensed Representative Condition Removed: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: GORDON Daniel CE No.: AHE138 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: NAQVI Syed Ali Raza CE No.: AIZ646 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is:


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(a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: TSE Wai Man CE No.: AJL009 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: TSE Wai Man CE No.: AJL009 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: LUI Tak Yan CE No.: AJO142 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: WILLIAMSON Peter George CE No.: ALF370 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition.


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Condition Level: Type 1 Regulated Activity CE Name: CHAN Yuet Ming CE No.: ALO527 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LAU Pui Kit CE No.: AMN578 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LAU Pui Kit CE No.: AMN578 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: LEE Kwok Keung, Franki CE No.: AMV343 Licence Type: Licensed Representative - Responsible Officer Condition Added:


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For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: LI Ka Ying CE No.: ANM710 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: LI Ka Ying CE No.: ANM710 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CHEUNG Bruce Heung Wing CE No.: ANU065 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: THASSIM Niel CE No.: AOG997 Licence Type: Licensed Representative - Responsible Officer


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Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: FOK Wilson Wing Cheung CE No.: AOJ234 Licence Type: Licensed Representative Condition Removed: For Type 1 regulated activity, the licensee shall only: 1. deal with collective investment schemes; and 2. introduce persons to a corporation that is licensed or registered for Type 1 regulated activity in order that they may effect dealings in securities or make offers to deal in securities. Condition Level: Type 1 Regulated Activity CE Name: WANG Ren CE No.: AOQ752 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: YANG Xinlin CE No.: APG517 Licence Type: Licensed Representative Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: WANG Wei CE No.: APR020 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: WANG Wei CE No.: APR020 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: CHOI Yin On CE No.: APS500 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: CHOI Yin On CE No.: APS500 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: CHOI Yin On CE No.: APS500 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: IP Hon Tak CE No.: AQJ001 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: LIN Chia Sheng CE No.: AQQ622 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: SEXTON Angus John CE No.: AQY825 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: SEXTON Angus John CE No.: AQY825 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: XIE Hongjun CE No.: AQZ553 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: XIE Hongjun CE No.: AQZ553 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LAU Lai Shan CE No.: AQZ608 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: ROWE Damian Marcus CE No.: ASH901


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Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: ROWE Damian Marcus CE No.: ASH901 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: LEE Din-hsu CE No.: ASX576 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: BOTELHO BASTOS Pedro Augusto CE No.: ATV304 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition.


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Condition Level: Type 1 Regulated Activity CE Name: BOTELHO BASTOS Pedro Augusto CE No.: ATV304 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: WONG Fai Yue, Edward CE No.: AUB971 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: WONG Fai Yue, Edward CE No.: AUB971 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: STOKES Nicholas Peter CE No.: AUE005 Licence Type: Licensed Representative Condition Removed:


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For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: BRADLEY Simon Joseph CE No.: AUN770 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 12 March 2015 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 1 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: PANIKKAR Kesava Rajat CE No.: AVQ218 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: PANIKKAR Kesava Rajat CE No.: AVQ218 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity


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CE Name: MA Sai Wun, Ginny CE No.: AXL657 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: KHANNA Kapil CE No.: AZC829 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 28 April 2015 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 1 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: BAADER Klaus Alvaro CE No.: AZE954 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: BAADER Klaus Alvaro CE No.: AZE954 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and


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(b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: YAN Xiang CE No.: AZG427 Licence Type: Licensed Representative Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) on 23 July 2015 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 1 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: QIU Jin CE No.: AZJ947 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: MORRISON Jessica Mary CE No.: AZL269 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: WONG Chun Yuen


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CE No.: AZV764 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: LIN Yi CE No.: BAA189 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 30/1/2015 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 1 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: HO Chun Hung CE No.: BBN267 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: HO Chun Hung CE No.: BBN267 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: HUANG Yaoxin


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CE No.: BCC718 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) on 28 November 2014 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 1 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LIU Xiaoxi CE No.: BDA505 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: HE Ting CE No.: BDD699 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: DUGGAN Edward Bernard Charles CE No.: BDD898 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect:


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(i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: DUGGAN Edward Bernard Charles CE No.: BDD898 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: DU Lijuan CE No.: BDG049 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: SACHAN Tanmay CE No.: BDH916 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.


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Condition Level: Type 1 Regulated Activity CE Name: YU Wanting CE No.: BDI883 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: IMBERTI Emmanuel Guillaume Marie CE No.: BDL104 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: WANG Yifen David CE No.: BDL759 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: BONIFANT Patrick Clark-Hall CE No.: BDL774


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Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: ADISUSANTO Alvin CE No.: BDL910 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: ISMAEEL Shuyeb Kong CE No.: BDM447 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: HARRINGTON-JONES Robert David CE No.: BDM729 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect:


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(i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: MARWAH Ritesh CE No.: BDM859 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: HUANG Chung-yu CE No.: BDN266 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: ZHANG Colin CE No.: BDN956 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: D'SOUZA Daniel CE No.: BDO551 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: WANG Tianyu CE No.: BDP115 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LAI Dennis Sung Yu CE No.: BDP240 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity


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CE Name: SAPARAMADU Shawn Malik CE No.: BDQ447 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: SONG Judy Yelim CE No.: BDQ941 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LIU Yanfei CE No.: BDR763 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: YU Cenning CE No.: BDU216 Licence Type: Licensed Representative


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Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: ATKINS Jason Li-Ren CE No.: BDU302 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: UCHIDA Akifumi CE No.: BDU347 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: UCHIDA Akifumi CE No.: BDU347 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is:


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(a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: MABILLE Patrick Marie Christian CE No.: BDU699 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: XIANG Yuanrui CE No.: BDU778 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CHU Miller CE No.: BDV074 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity


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CE Name: WANG Yang CE No.: BDV080 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: ZHANG Kairui CE No.: BDV082 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: ZHOU Puqian CE No.: BDV086 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CHEN Yuyuan CE No.: BDV095 Licence Type: Licensed Representative Condition Removed:


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This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: BEATTY Christopher Edward CE No.: BDV254 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CHANG Yehna CE No.: BDV414 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: HAI Sin Man Estella CE No.: BDV513 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or


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(ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: XU Lingjue CE No.: BDV629 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: ZHU Yihong CE No.: BDV893 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: JIAO Yang CE No.: BDV920 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: DONOVAN Patrick Thomas Joseph CE No.: BDW571 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: YU Yan Yin, Ada CE No.: BDW789 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: KUEH Tan Yuan CE No.: BDX514 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity


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CE Name: CHOW Wing Fung CE No.: BDY730 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CAMPBELL Colin Joseph CE No.: BDZ908 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: WANG Rui CE No.: BEA117 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: ANG Qiu Wen, Jolin CE No.: BEA632 Licence Type: Licensed Representative


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Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: WURTZ Gregory Aaron CE No.: BEB748 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: KUNITOMO Yojiro CE No.: BEB768 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: SHAM Shiu Cheong CE No.: BEB931 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or


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(ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: KIM Dong Chan CE No.: BEC401 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: SI Chen CE No.: BEC478 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: JOHNSON Neil Edward CE No.: BEC587 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: RIOS Marc Federico CE No.: BEC597 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: TRUONG Alfred Kar Yin CE No.: BED061 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: RAVIKUMAR Ramya CE No.: BED995 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity


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CE Name: ALDANA ROVELO Sabrina Itzel CE No.: BEE040 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: PENG Can CE No.: BEE671 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: FUGMAN Harrison Daniel CE No.: BEF074 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CHAN Chi Kit CE No.: BEF692 Licence Type: Licensed Representative


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Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LO Wai Ho CE No.: BEG043 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: PENG Bihe CE No.: BEG253 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: ZHANG Kejia CE No.: BEG417 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or


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(ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LEE Man Kin CE No.: BEG421 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: MARTIELLI James Diego CE No.: BEG507 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: MARTIELLI James Diego CE No.: BEG507 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity


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CE Name: MARTIELLI James Diego CE No.: BEG507 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: MARTIELLI James Diego CE No.: BEG507 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: TEOH Ronnie Chee Keong CE No.: BEH781 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: TEOH Ronnie Chee Keong CE No.: BEH781 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: TEOH Ronnie Chee Keong CE No.: BEH781 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: CHEN Lu CE No.: BEH822 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CHUA Zi Wen CE No.: BEI192 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CHEUNG Chi Lun CE No.: BEI696 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect:


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(i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LEE Kok Siang CE No.: BEI730 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: HIROSE Wataru CE No.: BEI734 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: ZHOU Jingjing CE No.: BEJ098 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: KERKHOVE Charles-Henri Julien Marie CE No.: BEJ107 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: ZHAO Qing CE No.: BEJ851 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: DELAWARDE Paul Jean Arthur CE No.: BEJ875 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity


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CE Name: ZHANG Dan CE No.: BEJ876 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: TRINH Elizabeth Thuy CE No.: BEJ973 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: GUPPY Ramin Brian CE No.: BEK731 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: HANZAWA Lili CE No.: BEL024 Licence Type: Licensed Representative


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Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: KUAN Carol CE No.: BEL457 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: WANG Bohua CE No.: BEL567 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LIU Moshi CE No.: BEL594 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or


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(ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: WU Yi Ju CE No.: BEM056 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: WONG Kwan Ting CE No.: BEM202 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: MOHAMED IBRAHIM Mariana Binte CE No.: BEM359 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CHAU Alexandre Gia-hon CE No.: BEM701 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: BLOXHAM Thomas Charles CE No.: BEM932 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: WANG Jian CE No.: BEN567 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity


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CE Name: BAKER Hugh Richard CE No.: BEN579 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CHAN Mei Yuen Ann CE No.: BEQ561 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CHAU Chun Kit CE No.: BER940 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: DONG Yinfei CE No.: BES352 Licence Type: Licensed Representative


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Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: HUNG Chun Yu CE No.: BES357 Licence Type: Licensed Representative (Provisional Licence) Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: YE Zixin Susie CE No.: BEW110 Licence Type: Licensed Representative (Provisional Licence) Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: WONG Wing Sze CE No.: AXH169 Licence Type: Licensed Representative Condition Removed: For Type 10 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is:


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(a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 10 Regulated Activity CE Name: WONG Wing Sze CE No.: AXH169 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 10 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 10 Regulated Activity CE Name: WONG Kwun Kit CE No.: BDO439 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 10 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 10 Regulated Activity CE Name: CHEN Hock Soon Simon CE No.: BDT638 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 10 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 10 Regulated Activity


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CE Name: HERVE Carole Sandra CE No.: BEB413 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 10 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 10 Regulated Activity CE Name: LI Wai Lok CE No.: BEE955 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 10 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 10 Regulated Activity CE Name: LIN Peng CE No.: ACP158 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 2 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 2 Regulated Activity CE Name: BROWN Andrew Ollie CE No.: ACZ477 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or


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(ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: CHEUNG Wai Hung CE No.: AGY670 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: PECOT III Charles Matthew CE No.: AHA548 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 2 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 2 Regulated Activity CE Name: LAU Wai Man CE No.: ALW732 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity


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CE Name: LAU Wai Man CE No.: ALW732 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 2 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 2 Regulated Activity CE Name: LEE Din-hsu CE No.: ASX576 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: BRADLEY Simon Joseph CE No.: AUN770 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 12 March 2015 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 1 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: RIZZO Peter William CE No.: BCQ166 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or


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(ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: BONIFANT Patrick Clark-Hall CE No.: BDL774 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: ISMAEEL Shuyeb Kong CE No.: BDM447 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: HARRINGTON-JONES Robert David CE No.: BDM729 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: CAMPBELL Lesley Anne CE No.: BDM818 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: MARWAH Ritesh CE No.: BDM859 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: D'SOUZA Daniel CE No.: BDO551 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity


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CE Name: SONG Judy Yelim CE No.: BDQ941 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: ATKINS Jason Li-Ren CE No.: BDU302 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: BEATTY Christopher Edward CE No.: BDV254 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: CHANG Yehna CE No.: BDV414 Licence Type: Licensed Representative


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Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: XU Lingjue CE No.: BDV629 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: ZHU Yihong CE No.: BDV893 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: DONOVAN Patrick Thomas Joseph CE No.: BDW571 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or


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(ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: CAMPBELL Colin Joseph CE No.: BDZ908 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: ZHOU Yifeng CE No.: BEA898 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: KUNITOMO Yojiro CE No.: BEB768 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: SHAM Shiu Cheong CE No.: BEB931 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: KIM Dong Chan CE No.: BEC401 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: TRUONG Alfred Kar Yin CE No.: BED061 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity


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CE Name: FUGMAN Harrison Daniel CE No.: BEF074 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: CHEUNG Chi Lun CE No.: BEI696 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: ZHAO Qing CE No.: BEJ851 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: DELAWARDE Paul Jean Arthur CE No.: BEJ875 Licence Type: Licensed Representative


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Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: GUPPY Ramin Brian CE No.: BEK731 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: MOHAMED IBRAHIM Mariana Binte CE No.: BEM359 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: CHAU Alexandre Gia-hon CE No.: BEM701 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or


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(ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: BLOXHAM Thomas Charles CE No.: BEM932 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: YIP Chun Wai CE No.: ACP491 Licence Type: Licensed Representative Condition Added: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: LIU Man Lai, Manly CE No.: ADI698 Licence Type: Licensed Representative Condition Added: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: LIU Man Lai, Manly CE No.: ADI698 Licence Type: Licensed Representative Condition Added: This licence, in relation to Type 3 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 3 Regulated Activity CE Name: CHU Yik Shan CE No.: AEA289 Licence Type: Licensed Representative Condition Added: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: WONG Yuen Yee CE No.: AOD315 Licence Type: Licensed Representative Condition Removed: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: TAM Sze Chun CE No.: AQP747 Licence Type: Licensed Representative Condition Removed: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: KOK Cho Yan CE No.: AQY190 Licence Type: Licensed Representative Condition Removed: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: LEE Yik Kan CE No.: ARN408 Licence Type: Licensed Representative Condition Added: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: LI Yi


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CE No.: ARN580 Licence Type: Licensed Representative Condition Removed: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: YE Hanying CE No.: ASK326 Licence Type: Licensed Representative Condition Removed: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: WANG Miao CE No.: AUR623 Licence Type: Licensed Representative Condition Removed: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: CHENG Yanjie CE No.: BBJ082 Licence Type: Licensed Representative Condition Added: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: CHENG Yanjie CE No.: BBJ082 Licence Type: Licensed Representative Condition Added: This licence, in relation to Type 3 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 3 Regulated Activity CE Name: WONG Ping Hang


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CE No.: BBQ017 Licence Type: Licensed Representative Condition Added: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: WU Xinjue CE No.: BCT886 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 3 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 3 Regulated Activity CE Name: WEI Wei CE No.: BDB891 Licence Type: Licensed Representative Condition Added: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: LIU Ping CE No.: BDW479 Licence Type: Licensed Representative Condition Removed: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: LIU Ping CE No.: BDW479 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 3 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 3 Regulated Activity CE Name: CHEN Liang CE No.: BEO554 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 3 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 3 Regulated Activity CE Name: WU Wenxuan CE No.: BEO557 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 3 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 3 Regulated Activity CE Name: YAO Chung-jyh CE No.: ABM828 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: MAN Kam Fai CE No.: ADG019


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Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: MAN Kam Fai CE No.: ADG019 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: WANG Nathan CE No.: ADJ636 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: WANG Nathan CE No.: ADJ636 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.


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Condition Level: Type 4 Regulated Activity CE Name: CHUNG Kin Shun, Jimmy CE No.: ADK252 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: LAM Hok Hoi CE No.: ADS783 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: LAM Hok Hoi CE No.: ADS783 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: TU Yu-hui CE No.: AEA467 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and


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(b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: LAM Ka Cheong, Jason CE No.: AEZ130 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: LAM Ka Cheong, Jason CE No.: AEZ130 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: JOO Sang Soo CE No.: AFS591 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: PAK Yuen Mei, Emma CE No.: AFU418 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is:


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(a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: PAK Yuen Mei, Emma CE No.: AFU418 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: KIANG Chin Yu CE No.: AGR151 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: KIANG Chin Yu CE No.: AGR151 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: CHEUNG Wai Yin CE No.: AGY675 Licence Type: Licensed Representative - Responsible Officer


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Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: CHEUNG Wai Yin CE No.: AGY675 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: GORDON Daniel CE No.: AHE138 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: TSE Wai Man CE No.: AJL009 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity


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CE Name: TSE Wai Man CE No.: AJL009 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: HAN Bing CE No.: AKY573 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: CHAN Yuet Ming CE No.: ALO527 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: LAU Pui Kit CE No.: AMN578 Licence Type: Licensed Representative - Responsible Officer Condition Added:


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For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: LAU Pui Kit CE No.: AMN578 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: CHAN Wing Yee CE No.: AMR696 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: CHAN Wing Yee CE No.: AMR696 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity


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CE Name: CHEUNG Bruce Heung Wing CE No.: ANU065 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: CHAN Hiu Bun CE No.: AOG841 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: THASSIM Niel CE No.: AOG997 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: LIM James Teik Beng CE No.: AOS215 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity


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CE Name: LIM James Teik Beng CE No.: AOS215 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: YU Kun CE No.: AOT339 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: YU Kun CE No.: AOT339 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: CHOI Yin On CE No.: APS500 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: CHOI Yin On CE No.: APS500 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: SEXTON Angus John CE No.: AQY825 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: SEXTON Angus John CE No.: AQY825 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: LAU Lai Shan CE No.: AQZ608 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect:


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(i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: ROWE Damian Marcus CE No.: ASH901 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: ROWE Damian Marcus CE No.: ASH901 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: LEE Ming Gin CE No.: ASW560 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.


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Condition Level: Type 4 Regulated Activity CE Name: LEE Ming Gin CE No.: ASW560 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: MAK Chi Ho CE No.: ATN700 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: MAK Chi Ho CE No.: ATN700 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: BOTELHO BASTOS Pedro Augusto CE No.: ATV304 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and


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(b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: BOTELHO BASTOS Pedro Augusto CE No.: ATV304 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: PANIKKAR Kesava Rajat CE No.: AVQ218 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: PANIKKAR Kesava Rajat CE No.: AVQ218 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: NG Hui Yee, Ethel CE No.: AVQ917 Licence Type: Licensed Representative - Responsible Officer Condition Removed:


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For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: NG Hui Yee, Ethel CE No.: AVQ917 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: NIELSEN Jan Thorsgaard CE No.: AXC824 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: NIELSEN Jan Thorsgaard CE No.: AXC824 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity


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CE Name: FAN Yu-heng CE No.: AXW653 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: FAN Yu-heng CE No.: AXW653 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: JHEON Fred CE No.: AYT244 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: KHANNA Kapil CE No.: AZC829 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or


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(ii) 28 April 2015 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 1 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: BAADER Klaus Alvaro CE No.: AZE954 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: BAADER Klaus Alvaro CE No.: AZE954 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: QIU Jin CE No.: AZJ947 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: KONG Chun On


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CE No.: AZO335 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: LIN Yi CE No.: BAA189 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 30/1/2015 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 1 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: HO Chun Hung CE No.: BBN267 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: HO Chun Hung CE No.: BBN267 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition.


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Condition Level: Type 4 Regulated Activity CE Name: CHEN Qing CE No.: BBU785 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: CHEN Qing CE No.: BBU785 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: HUANG Yaoxin CE No.: BCC718 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) on 28 November 2014 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 1 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: LIU Xiaoxi CE No.: BDA505 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect:


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(i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: DUGGAN Edward Bernard Charles CE No.: BDD898 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: DUGGAN Edward Bernard Charles CE No.: BDD898 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: DU Lijuan CE No.: BDG049 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.


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Condition Level: Type 4 Regulated Activity CE Name: YU Wanting CE No.: BDI883 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: ENDO Yoshiya CE No.: BDL126 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: WANG Yifen David CE No.: BDL759 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: HWANG Ho Sung CE No.: BDM558


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Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: ZHANG Colin CE No.: BDN956 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: D'SOUZA Daniel CE No.: BDO551 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: WANG Tianyu CE No.: BDP115 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect:


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(i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: SAPARAMADU Shawn Malik CE No.: BDQ447 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: LIU Yanfei CE No.: BDR763 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: LI King Lam CE No.: BDT585 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: CHANG Cheng-Yu CE No.: BDT596 Licence Type: Licensed Representative Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 13 July 2015 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 1 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: CHAN Wai Sze Stephanie CE No.: BDU330 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: UCHIDA Akifumi CE No.: BDU347 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: UCHIDA Akifumi CE No.: BDU347


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Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: XIANG Yuanrui CE No.: BDU778 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: BEATTY Christopher Edward CE No.: BDV254 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: FANG John Zheng CE No.: BDV255 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect:


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(i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: HAI Sin Man Estella CE No.: BDV513 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: JIAO Yang CE No.: BDV920 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: HOU Suhan CE No.: BDW118 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: CHANDRAWAT Saniel CE No.: BDW740 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: KUEH Tan Yuan CE No.: BDX514 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: LIEU Stephen CE No.: BDX968 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity


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CE Name: HU Hanwen CE No.: BDZ919 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: WANG Rui CE No.: BEA117 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: ANG Qiu Wen, Jolin CE No.: BEA632 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: WURTZ Gregory Aaron CE No.: BEB748 Licence Type: Licensed Representative


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Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: RAVIKUMAR Ramya CE No.: BED995 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: PENG Can CE No.: BEE671 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: CHAN Chi Kit CE No.: BEF692 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or


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(ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: MARTIELLI James Diego CE No.: BEG507 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: MARTIELLI James Diego CE No.: BEG507 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: MARTIELLI James Diego CE No.: BEG507 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: MARTIELLI James Diego CE No.: BEG507 Licence Type: Licensed Representative - Responsible Officer


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Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: TEOH Ronnie Chee Keong CE No.: BEH781 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: TEOH Ronnie Chee Keong CE No.: BEH781 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: CHEN Lu CE No.: BEH822 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: CHEN Yu-Wen CE No.: BEH823 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: BRYCE Steven Craig CE No.: BEI690 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: LEE Kok Siang CE No.: BEI730 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity


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CE Name: KERKHOVE Charles-Henri Julien Marie CE No.: BEJ107 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: DELAWARDE Paul Jean Arthur CE No.: BEJ875 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: ZHANG Dan CE No.: BEJ876 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: TRINH Elizabeth Thuy CE No.: BEJ973 Licence Type: Licensed Representative


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Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: HANZAWA Lili CE No.: BEL024 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: WANG Bohua CE No.: BEL567 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: ALHENDI Fawaz S SH S CE No.: BEL722 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or


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(ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: DONG Wei CE No.: BEM064 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: WONG Kwan Ting CE No.: BEM202 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: VAZIRANI Haresh CE No.: BEM539 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: WANG Jian CE No.: BEN567 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: BAKER Hugh Richard CE No.: BEN579 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: CHAN Mei Yuen Ann CE No.: BEQ561 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity


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CE Name: DONG Yinfei CE No.: BES352 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: HUNG Chun Yu CE No.: BES357 Licence Type: Licensed Representative (Provisional Licence) Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: CHOI Siu Lam CE No.: AGU863 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 5 Regulated Activity CE Name: CHOI Siu Lam CE No.: AGU863 Licence Type: Licensed Representative - Responsible Officer


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Condition Added: For Type 5 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 5 Regulated Activity CE Name: PECOT III Charles Matthew CE No.: AHA548 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 5 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 5 Regulated Activity CE Name: LAU Wai Man CE No.: ALW732 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 5 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 5 Regulated Activity CE Name: LAU Wai Man CE No.: ALW732 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 5 Regulated Activity CE Name: CHIU Chi Chung CE No.: ARN158


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Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 5 Regulated Activity CE Name: CHIU Chi Chung CE No.: ARN158 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 5 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 5 Regulated Activity CE Name: D'SOUZA Daniel CE No.: BDO551 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 5 Regulated Activity CE Name: BEATTY Christopher Edward CE No.: BDV254 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 5 Regulated Activity CE Name: ZHOU Yifeng CE No.: BEA898 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 5 Regulated Activity CE Name: DELAWARDE Paul Jean Arthur CE No.: BEJ875 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 5 Regulated Activity CE Name: DONG Wei CE No.: BEM064 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 5 Regulated Activity


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CE Name: LEE Hon Man, Eric CE No.: ACB655 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission. Condition Level: Type 6 Regulated Activity CE Name: TSANG Wing Yee CE No.: ACX706 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission. Condition Level: Type 6 Regulated Activity CE Name: TSANG Wing Yee CE No.: ACX706 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: TSE Yuen Cheung CE No.: AEJ675 Licence Type: Licensed Representative Condition Removed: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: WAN Joseph Jason CE No.: AES254 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission.


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Condition Level: Type 6 Regulated Activity CE Name: THYNNE Grenville Matthew CE No.: AEZ034 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: PAK Yuen Mei, Emma CE No.: AFU418 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: PAK Yuen Mei, Emma CE No.: AFU418 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission. Condition Level: Type 6 Regulated Activity CE Name: PAK Yuen Mei, Emma CE No.: AFU418 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: CHEUNG Kwok Lung, James CE No.: AGW422 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: CHOI Ho Yi, Phyllis CE No.: AHZ637 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: LUI Tak Yan CE No.: AJO142 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission. Condition Level: Type 6 Regulated Activity CE Name: CHAN Yuet Ming CE No.: ALO527 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.


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Condition Level: Type 6 Regulated Activity CE Name: LIN Xin CE No.: AMJ471 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission. Condition Level: Type 6 Regulated Activity CE Name: KWAN Chi Wai CE No.: AOB259 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: KWAN Chi Wai CE No.: AOB259 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: WANG Ren CE No.: AOQ752 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity


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CE Name: LIM James Teik Beng CE No.: AOS215 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: LIM James Teik Beng CE No.: AOS215 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: LIM James Teik Beng CE No.: AOS215 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: YEUNG Wai Kei CE No.: AOX999 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission. Condition Level: Type 6 Regulated Activity CE Name: PAK Jin Fai CE No.: APJ739


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Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: PAK Jin Fai CE No.: APJ739 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: TSE Wai Yik CE No.: APN832 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: WANG Wei CE No.: APR020 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: WANG Wei CE No.: APR020


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Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: CHOI Yin On CE No.: APS500 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission. Condition Level: Type 6 Regulated Activity CE Name: CHOI Yin On CE No.: APS500 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: CHOI Yin On CE No.: APS500 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 6 Regulated Activity


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CE Name: LIN Chia Sheng CE No.: AQQ622 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: TSE Fung Sum, Flora CE No.: AVP874 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: PANIKKAR Kesava Rajat CE No.: AVQ218 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: PANIKKAR Kesava Rajat CE No.: AVQ218 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: YAN Vivian CE No.: AXW605 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission. Condition Level: Type 6 Regulated Activity CE Name: LUO Jun CE No.: AYR264 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: LUO Jun CE No.: AYR264 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: JHEON Fred CE No.: AYT244 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or


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(ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: YAN Xiang CE No.: AZG427 Licence Type: Licensed Representative Condition Added: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) on 23 July 2015 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 1 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: QIAO Yuanhua CE No.: AZM757 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: HE Ting CE No.: BDD699 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: SACHAN Tanmay CE No.: BDH916 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: WANG Tianyu CE No.: BDP115 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: SAPARAMADU Shawn Malik CE No.: BDQ447 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity


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CE Name: LIU Yanfei CE No.: BDR763 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: PELOUX DE REYDELLET DE CHAVAGNAC Jean-Baptiste Marie CE No.: BDT687 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: YU Cenning CE No.: BDU216 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: XIANG Yuanrui CE No.: BDU778 Licence Type: Licensed Representative


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Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: CHU Miller CE No.: BDV074 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: WANG Yang CE No.: BDV080 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: ZHANG Kairui CE No.: BDV082 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or


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(ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: ZHOU Puqian CE No.: BDV086 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: CHEN Yuyuan CE No.: BDV095 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: NUSSBAUM Daniel Fabio CE No.: BDV169 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: NAVLEKAR Abhijit Shirish CE No.: BDV540 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: WANG Rui CE No.: BEA117 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: ANG Qiu Wen, Jolin CE No.: BEA632 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity


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CE Name: CHEUNG Kar Wah, Allista CE No.: BEB411 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: PENG Can CE No.: BEE671 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: PENG Bihe CE No.: BEG253 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: TEOH Ronnie Chee Keong CE No.: BEH781 Licence Type: Licensed Representative - Responsible Officer


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Condition Added: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: TEOH Ronnie Chee Keong CE No.: BEH781 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: TEOH Ronnie Chee Keong CE No.: BEH781 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: LEE Kok Siang CE No.: BEI730 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity


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CE Name: ZHANG Dan CE No.: BEJ876 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: CHAN Kiu Yee, Eva CE No.: BEM502 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: WANG Jian CE No.: BEN567 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: DONG Yinfei CE No.: BES352 Licence Type: Licensed Representative Condition Removed:


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This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: CHAN Shu Kai CE No.: AAJ626 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: CHAN Kin Wah CE No.: ABL924 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: CHAN Kin Wah CE No.: ABL924 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity


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CE Name: PUN Tit Shan CE No.: ABR234 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: PUN Tit Shan CE No.: ABR234 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: CASEY John Milton CE No.: ACC046 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: WANG Nathan CE No.: ADJ636 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is:


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(a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: WANG Nathan CE No.: ADJ636 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: WONG Wing Nin CE No.: AFC914 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: WONG Wing Nin CE No.: AFC914 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: JOO Sang Soo CE No.: AFS591 Licence Type: Licensed Representative - Responsible Officer


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Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: HO Kum Loon Patrick CE No.: AGH918 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: HO Kum Loon Patrick CE No.: AGH918 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: CHOI Siu Lam CE No.: AGU863 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: CHOI Siu Lam CE No.: AGU863


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Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: SO Pak Ming CE No.: AJG658 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: HAN Bing CE No.: AKY573 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: CHENG Kai Chung, Garrick CE No.: ALW207 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition.


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Condition Level: Type 9 Regulated Activity CE Name: CLAYTON Christopher Winslow CE No.: AMK158 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: LAU Pui Kit CE No.: AMN578 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: LAU Pui Kit CE No.: AMN578 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: CHAN Carman Wing Yan CE No.: AOX997 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and


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(b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: YANG Xinlin CE No.: APG517 Licence Type: Licensed Representative Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: OU Hung Chieh CE No.: AQE456 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: OU Hung Chieh CE No.: AQE456 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: MACINTOSH Andrew Keith CE No.: AQI388 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must, in the capacity as a responsible officer in managing or supervising the management of portfolios containing


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futures contracts for another person, act under the advice of another responsible officer who is: (a) licensed for the activity without any condition which prohibits him/her from providing a service of managing a portfolio of futures contracts for another person; (b) accredited to the principal concerned of the licensee in respect of the activity; and (c) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: MACINTOSH Andrew Keith CE No.: AQI388 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: LAU Lai Shan CE No.: AQZ608 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: BOTELHO BASTOS Pedro Augusto CE No.: ATV304 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity


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CE Name: BOTELHO BASTOS Pedro Augusto CE No.: ATV304 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: MOELLER Steven Edward CE No.: AVR015 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: CHOW Lai Man CE No.: AVT288 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: CHOW Lai Man CE No.: AVT288 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: CHEN Shouhong CE No.: AXG889 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: CHEN Shouhong CE No.: AXG889 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: WONG Chi CE No.: AZF867 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: WONG Chi CE No.: AZF867 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect:


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(i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: WANG Feifei CE No.: AZV648 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: WANG Feifei CE No.: AZV648 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: HORA Francois Josef CE No.: AZV769 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: HORA Francois Josef


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CE No.: AZV769 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: VENET Thierry Victor CE No.: BBJ307 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: WONG Justin Kai-wei CE No.: BBQ435 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: CHEN Qing CE No.: BBU785 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and


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(b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: CHEN Qing CE No.: BBU785 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: ENDO Yoshiya CE No.: BDL126 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: WANG Yifen David CE No.: BDL759 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: MARMION Myles Columba


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CE No.: BDM368 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: HWANG Ho Sung CE No.: BDM558 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: TONG Francis Ho Yuen CE No.: BDN346 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: ZHANG Colin CE No.: BDN956 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect:


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(i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: LEE Chi Ming CE No.: BDO996 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 6 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: MAZUMDAR Susanta CE No.: BDQ616 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: CHAN Wai Sze Stephanie CE No.: BDU330 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or


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(ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: UCHIDA Akifumi CE No.: BDU347 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: UCHIDA Akifumi CE No.: BDU347 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: FANG John Zheng CE No.: BDV255 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity


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CE Name: HAI Sin Man Estella CE No.: BDV513 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: JIAO Yang CE No.: BDV920 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: CHANDRAWAT Saniel CE No.: BDW740 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: KUEH Tan Yuan CE No.: BDX514 Licence Type: Licensed Representative Condition Removed:


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This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: LIEU Stephen CE No.: BDX968 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: COMEGYS Carl Rodney CE No.: BEB075 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: COMEGYS Carl Rodney CE No.: BEB075 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and


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(b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: BRAITHWAITE Joanne Louise CE No.: BEC604 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: RAVIKUMAR Ramya CE No.: BED995 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: YAMADA Hiroshi CE No.: BEG532 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: CHEN Lu


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CE No.: BEH822 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: ALHENDI Fawaz S SH S CE No.: BEL722 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: WU Yi Ju CE No.: BEM056 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: CHANG Gary Yu Chia CE No.: BEM480 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect:


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(i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: VAZIRANI Haresh CE No.: BEM539 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: HUNG Chun Yu CE No.: BES357 Licence Type: Licensed Representative (Provisional Licence) Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: CLAYTON Christopher Winslow CE No.: AMK158 Licence Type: Licensed Representative - Responsible Officer Condition Removed: The licensee shall not carry out the regulated activity(ies) in Hong Kong for more than 30 days in each calendar year and shall at all times be accompanied by a licensed person in performing the regulated activity(ies) in Hong Kong. Condition Level: Licence


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CE Name: KILLIAN Anita CE No.: ARL331 Licence Type: Licensed Representative Condition Added: The licensee: (1) shall not carry out the regulated activity(ies) in Hong Kong for more than 30 days in each calendar year; and (2) shall not provide related services to any person other than a professional investor unless the licensee is accompanied at all times by a licensed person in performing the regulated activity(ies) in Hong Kong. The term "professional investor" is as defined in Part 1 of Schedule 1 to the Securities and Futures Ordinance but does not include any person of a class which is prescribed by the Securities and Futures (Professional Investor) Rules. Condition Level: Licence CE Name: BECKETT David CE No.: AUC303 Licence Type: Licensed Representative Condition Added: The licensee shall not carry out the regulated activity(ies) in Hong Kong for more than 30 days in each calendar year and shall at all times be accompanied by a licensed person in performing the regulated activity(ies) in Hong Kong. Condition Level: Licence CE Name: BIAN Simin CE No.: AZG419 Licence Type: Licensed Representative Condition Removed: The licensee shall not carry out the regulated activity(ies) in Hong Kong for more than 30 days in each calendar year and shall at all times be accompanied by a licensed person in performing the regulated activity(ies) in Hong Kong. Condition Level: Licence CE Name: YAN Xiang CE No.: AZG427 Licence Type: Licensed Representative Condition Removed: The licensee shall not carry out the regulated activity(ies) in Hong Kong for more than 30 days in each calendar year and shall at all times be accompanied by a licensed person in performing the regulated activity(ies) in Hong Kong. Condition Level: Licence CE Name: KIM Alice Seiyoung CE No.: AZS371 Licence Type: Licensed Representative Condition Added:


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The licensee shall not carry out the regulated activity(ies) in Hong Kong for more than 30 days in each calendar year and shall not provide related services to any person other than a professional investor. The term "professional investor" is as defined in Part 1 of Schedule 1 to the Securities and Futures Ordinance but does not include any person of a class which is prescribed by the Securities and Futures (Professional Investor) Rules. Condition Level: Licence CE Name: WANG Chu CE No.: BAH829 Licence Type: Licensed Representative Condition Removed: The licensee shall not carry out the regulated activity(ies) in Hong Kong for more than 30 days in each calendar year and shall at all times be accompanied by a licensed person in performing the regulated activity(ies) in Hong Kong. Condition Level: Licence CE Name: NAKANISHI Takaki CE No.: BAU421 Licence Type: Licensed Representative Condition Added: The licensee shall not carry out the regulated activity(ies) in Hong Kong for more than 30 days in each calendar year and shall not provide related services to any person other than a professional investor. The term "professional investor" is as defined in Part 1 of Schedule 1 to the Securities and Futures Ordinance but does not include any person of a class which is prescribed by the Securities and Futures (Professional Investor) Rules. Condition Level: Licence CE Name: NAKANISHI Takaki CE No.: BAU421 Licence Type: Licensed Representative Condition Removed: The licensee shall not carry out the regulated activity(ies) in Hong Kong for more than 30 days in each calendar year and shall at all times be accompanied by a licensed person in performing the regulated activity(ies) in Hong Kong. Condition Level: Licence CE Name: VILICNIK Ivana CE No.: BBM024 Licence Type: Licensed Representative Condition Added: The licensee shall not carry out the regulated activity(ies) in Hong Kong for more than 30 days in each calendar year and shall at all times be accompanied by a licensed person in performing the regulated activity(ies) in Hong Kong. Condition Level: Licence CE Name: XIN Fusong


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CE No.: BBU531 Licence Type: Licensed Representative Condition Removed: The licensee shall not carry out the regulated activity(ies) in Hong Kong for more than 30 days in each calendar year and shall at all times be accompanied by a licensed person in performing the regulated activity(ies) in Hong Kong. Condition Level: Licence CE Name: MARWAH Ritesh CE No.: BDM859 Licence Type: Licensed Representative Condition Added: The licensee: (1) shall not carry out the regulated activity(ies) in Hong Kong for more than 30 days in each calendar year; and (2) shall not provide related services to any person other than a professional investor unless the licensee is accompanied at all times by a licensed person in performing the regulated activity(ies) in Hong Kong. The term "professional investor" is as defined in Part 1 of Schedule 1 to the Securities and Futures Ordinance but does not include any person of a class which is prescribed by the Securities and Futures (Professional Investor) Rules. Condition Level: Licence CE Name: CHANG Cheng-Yu CE No.: BDT596 Licence Type: Licensed Representative Condition Removed: The licensee shall not carry out the regulated activity(ies) in Hong Kong for more than 30 days in each calendar year and shall at all times be accompanied by a licensed person in performing the regulated activity(ies) in Hong Kong. Condition Level: Licence CE Name: CHAN Wai To CE No.: ABX157 Licence Type: Licensed Representative Condition Removed: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: I-Access Investors Limited CE No.: ALV032 Licence Type: Licensed Corporation Condition Added: For Type 7 regulated activity, the licensee shall: (1) Only provide Automated Trading Services: (a) via the Odd Lot Trading Platform (i.e. the "OTP"); and


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(b) for the purpose of trading of odd lot of shares listed on The Stock Exchange of Hong Kong. (2) Have a trading methodology that enables fair and orderly trading on the OTP. (3) Have appropriate arrangements in place that ensure: (a) the required information about completed transactions of securities listed on The Stock Exchange of Hong Kong is reported to The Stock Exchange of Hong Kong within the prescribed time limit; and (b) regular transaction analysis made available to users of the OTP. (4) Keep for a period of not less than seven years the following records in respect of the activities on the OTP in such a manner as to enable them to be readily accessible and readily convertible into written form in the Chinese or English language; and provide any of those records to the Commission upon request: (a) User details, including their registered names and addresses, dates of admission and cessation, authorised traders and related details, and client agreements; (b) Details of restricting, suspending, or terminating any user's access, including related reasons; (c) All notices and other information, whether written or communicated through electronic means, provided by the OTP to users generally; (d) Routine daily and monthly summary of trading on the OTP including: (i) securities for which transactions have been executed; and (ii) transaction volume, expressed in number of trades; number of shares traded; and total settlement value. (5) Keep for a period of not less than two years time-sequenced records of orders and any other actions or activities on the OTP as particularised below in such a manner as to enable them to be readily accessible and readily convertible into written form in the Chinese or English language; and provide any of those records to the Commission upon request: (a) date and time that the order was received, executed, modified, cancelled and expired (where applicable); (b) identity of the user and authorised trader initiating the entry, modification, cancellation and execution of the order; (c) particulars of the order and any subsequent modification and execution of the order (where applicable), including but not limited to, the security involved, the size and side (buy or sell) of the order, the order type, and any order designation, time and price limit and other conditions specified by the user initiating the order; and (d) particulars of the allocation and re-allocation (where applicable) of an execution. Condition Level: Type 7 Regulated Activity CE Name: I-Access Investors Limited CE No.: ALV032 Licence Type: Licensed Corporation Condition Removed: For Type 7 regulated activity, the licensee shall: (1) Only provide Automated Trading Services: (a) via the Odd Lot Trading Platform (i.e. the "OTP"); and (b) for the purpose of trading of odd lot of shares listed on The Stock Exchange of Hong Kong. (2) Have a trading methodology that enables fair and orderly trading on the OTP.


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(3) Have appropriate arrangements in place that ensure: (a) the required information about completed transactions of securities listed on The Stock Exchange of Hong Kong is reported to The Stock Exchange of Hong Kong within the prescribed time limit; and (b) regular transaction analysis made available to users of the OTP. (4) Keep for a period of not less than seven years the following records in respect of the activities on the OTP in such a manner as to enable them to be readily accessible and readily convertible into written form in the Chinese or English language; and provide any of those records to the Commission upon request: (a) User details, including their registered names and addresses, dates of admission and cessation, authorised traders and related details, and client agreements; (b) Details of restricting, suspending, or terminating any user's access, including related reasons; (c) All notices and other information, whether written or communicated through electronic means, provided by the OTP to users generally; (d) Routine daily and monthly summary of trading on the OTP including: (i) securities for which transactions have been executed; and (ii) transaction volume, expressed in number of trades; number of shares traded; and total settlement value. (5) Keep for a period of not less than two years time-sequenced records of orders and any other actions or activities on the OTP as particularised below in such a manner as to enable them to be readily accessible and readily convertible into written form in the Chinese or English language; and provide any of those records to the Commission upon request: (a) date and time that the order was received, executed, modified, cancelled and expired (where applicable); (b) identity of the user and authorised trader initiating the entry, modification, cancellation and execution of the order; (c) particulars of the order and any subsequent modification and execution of the order (where applicable), including but not limited to, the security involved, the size and side (buy or sell) of the order, the order type, and any order designation, time and price limit and other conditions specified by the user initiating the order; and (d) particulars of the allocation and re-allocation (where applicable) of an execution. Condition Level: Type 7 Regulated Activity CE Name: I-Access Investors Limited CE No.: ALV032 Licence Type: Licensed Corporation Condition Added: For Type 7 regulated activity, the licensee shall: (1) Have appropriate arrangements in place that enable it to: (a) Monitor transactions undertaken on the OTP to identify suspected breaches of any rules relating to fair and orderly trading on the OTP and conduct that may constitute market abuse; (b) Report to the Commission suspected material breaches of its rules relating to fair and orderly trading on the OTP or suspected market abuse; and


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(c) Upon request from the Commission, supply relevant information to the Commission as soon as practicable regarding any suspected breaches or suspected market abuse and provide full assistance to the Commission in inquiring into or investigating the suspected breaches or suspected market abuse. (2) Notify the Commission on any material changes to the matters set out in paragraph 52 of the Guidelines for the Regulation of Automated Trading Services (March 2003) and particularly to the matters specified below, prior to the changes taking effect: (a) Corporate structure and governance arrangements; (b) Business plans/operations; (c) the OTP (including changes in trading rules, operator of the system, hardware, software, and other technology); (d) Markets and products to be traded through the OTP; (e) Its contractual responsibilities for users of the OTP; and (f) Criteria for approval or disapproval of users of the OTP. (3) Put in place appropriate business continuity plans and disaster recovery programmes for its operations and the OTP and notify the Commission of any material changes to the plans or programmes. Condition Level: Type 7 Regulated Activity CE Name: I-Access Investors Limited CE No.: ALV032 Licence Type: Licensed Corporation Condition Removed: For Type 7 regulated activity, the licensee shall: (1) Have appropriate arrangements in place that enable it to: (a) Monitor transactions undertaken on the OTP to identify suspected breaches of any rules relating to fair and orderly trading on the OTP and conduct that may constitute market abuse; (b) Report to the Commission suspected material breaches of its rules relating to fair and orderly trading on the OTP or suspected market abuse; and (c) Upon request from the Commission, supply relevant information to the Commission as soon as practicable regarding any suspected breaches or suspected market abuse and provide full assistance to the Commission in inquiring into or investigating the suspected breaches or suspected market abuse. (2) Notify the Commission on any material changes to the matters set out in paragraph 52 of the Guidelines for the Regulation of Automated Trading Services (March 2003) and particularly to the matters specified below, prior to the changes taking effect: (a) Corporate structure and governance arrangements; (b) Business plans/operations; (c) the OTP (including changes in trading rules, operator of the system, hardware, software, and other technology); (d) Markets and products to be traded through the OTP; (e) Its contractual responsibilities for users of the OTP; and (f) Criteria for approval or disapproval of users of the OTP.


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(3) Put in place appropriate business continuity plans and disaster recovery programmes for its operations and the OTP and notify the Commission of any material changes to the plans or programmes. Condition Level: Type 7 Regulated Activity CE Name: I-Access Investors Limited CE No.: ALV032 Licence Type: Licensed Corporation Condition Added: For Type 7 regulated activity, the licensee shall: (1) Notify the Commission of any incident of material service breakdown or disruption of the operations of the OTP affecting its users. (2) Provide the Commission with any updated independent review report of the OTP when available. (3) Provide the Commission with the following statistics on a monthly basis within two weeks after the end of each month or upon request: (a) The volume of trades conducted for each of the top ten securities listed on The Stock Exchange of Hong Kong in the OTP; and (b) The aggregate volume of trades conducted for each type of securities listed on The Stock Exchange of Hong Kong in the OTP. (4) For the avoidance of doubt, have arrangements in place to ensure that it and its clients (including the users of the OTP and the ultimate clients of the users) will be able to comply with the Client Identity Rule Policy issued by the Commission. Condition Level: Type 7 Regulated Activity CE Name: I-Access Investors Limited CE No.: ALV032 Licence Type: Licensed Corporation Condition Removed: For Type 7 regulated activity, the licensee shall: (1) Notify the Commission of any incident of material service breakdown or disruption of the operations of the OTP affecting its users. (2) Provide the Commission with any updated independent review report of the OTP when available. (3) Provide the Commission with the following statistics on a monthly basis within two weeks after the end of each month or upon request: (a) The volume of trades conducted for each of the top ten securities listed on The Stock Exchange of Hong Kong in the OTP; and (b) The aggregate volume of trades conducted for each type of securities listed on The Stock Exchange of Hong Kong in the OTP. (4) For the avoidance of doubt, have arrangements in place to ensure that it and its clients (including the users of the OTP and the ultimate clients of the users) will be able to comply with the Client Identity Rule Policy issued by the Commission.


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Condition Level: Type 7 Regulated Activity CE Name: KIM Jason Yong CE No.: ARF013 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: KIM Jason Yong CE No.: ARF013 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: LUI Tak Yan CE No.: AJO142 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: LUI Tak Yan CE No.: AJO142 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission. Condition Level: Type 6 Regulated Activity


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CE Name: VILICNIK Ivana CE No.: BBM024 Licence Type: Licensed Representative Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: WONG Ping Hang CE No.: BBQ017 Licence Type: Licensed Representative Condition Removed: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: YIP Ka Lung CE No.: ADZ376 Licence Type: Licensed Representative Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: YIP Mei Na CE No.: BAZ555 Licence Type: Licensed Representative Condition Removed: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity

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