REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 05/2009CE Name CE No. Licence Type Types of Regulated ActivityBear Stearns Hong Kong Limited AAI358 Licensed Corporation 2, 5Brencourt Asia Limited APV975 Licensed Corporation 9China International Capital Corporation (Hong Kong) Limited AEE667 Licensed Corporation 1, 4, 6, 9D.B. Zwirn Asia Partners Limited ALZ371 Licensed Corporation 1, 2, 4Ginger Capital Management Limited ALF316 Licensed Corporation 4, 5, 9HBK Hong Kong Limited ALL223 Licensed Corporation 9JL Capital (Hong Kong) Pte Limited ANI646 Licensed Corporation 9Patterson Financial Services Limited ADU885 Licensed Corporation 4Redbrick Capital Management (Asia) Limited ARJ978 Licensed Corporation 9Shinko Securities (H.K.) Limited ALN955 Licensed Corporation 1Starr International Company (Asia), Limited AMP560 Licensed Corporation 4, 9Sucden Financial Limited AQD035 Licensed Corporation 2Core Pacific-Yamaichi Securities (H.K.) Limited ABH177 Licensed Corporation (Deemed Licence) 1, 4, 6, 7, 9South China Fund Management Limited ABF168 Licensed Corporation (Deemed Licence) 4, 6, 9AGO Futoshi ALI486 Licensed Representative 1AU Yu Hang, Johannes AOP023 Licensed Representative 4BACCHUS Timothy Mustapha ADS696 Licensed Representative 4BAKER Kurt Alexander AAK471 Licensed Representative 2BARROSO Raul Francisco ALF573 Licensed Representative 1, 2, 7BEST Peter Andrew ANF156 Licensed Representative 1, 6BILLINGS Jason Craig ACT407 Licensed Representative 1, 4, 9BUCKLEY Mark Robert AQW563 Licensed Representative 4BUSARAKAMWONG Justin ALY339 Licensed Representative 1, 4, 6BYRNE Maghnus Patrick ANT967 Licensed Representative 1CAI Veronique Wen AOD776 Licensed Representative 1CHAN Angela AMY550 Licensed Representative 1CHAN CHAN Mei Kuen AMB217 Licensed Representative 4CHAN Chun Bong, Junbon AQY674 Licensed Representative 1, 2CHAN Godwin Kwok Wai AJO244 Licensed Representative 1, 6CHAN Hao Ming ARB279 Licensed Representative 1CHAN Hing Chiu ARK369 Licensed Representative 4CHAN Hoi Ling ALR712 Licensed Representative 1, 4, 6, 9CHAN Hon Shui, Leo APG915 Licensed Representative 1, 6CHAN Ka Chun, Karl AOY782 Licensed Representative 1, 3CHAN Ka Chung ANT245 Licensed Representative 1CHAN Ka Kin AJF102 Licensed Representative 1

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 05/2009CE Name CE No. Licence Type Types of Regulated ActivityCHAN Kwai Mui ALB302 Licensed Representative 1, 2, 3CHAN Kwong Yiu AEZ599 Licensed Representative 1, 2CHAN Lai Ping AIY540 Licensed Representative 1CHAN Lai Yin AOD812 Licensed Representative 6CHAN Lap Kee APF781 Licensed Representative 1CHAN Lee On ALF601 Licensed Representative 1, 4CHAN Leung Ting AKI937 Licensed Representative 1CHAN On Kei, Angel ALN635 Licensed Representative 1CHAN Pak Hong APD688 Licensed Representative 1, 6CHAN Pat APS561 Licensed Representative 4CHAN Pui Yung ALO080 Licensed Representative 4CHAN Sze Chung AEE351 Licensed Representative 1, 4CHAN Tim Yan APV077 Licensed Representative 1CHAN Tsz Fung AQM624 Licensed Representative 1CHAN Wai, Wynie ARN188 Licensed Representative 1, 9CHAN Winnie Wun Yin AOS567 Licensed Representative 1CHAN Yu Kit AQR413 Licensed Representative 1CHANG Chung Kei, Dominic AEA552 Licensed Representative 1, 2, 7CHANG Eric AOZ110 Licensed Representative 1, 4CHANG Hing Pong, Solomon AIY506 Licensed Representative 1, 4CHANG Lee Peng ARD326 Licensed Representative 1CHANG Shao-Hua APB690 Licensed Representative 1, 4CHANG Steve Deh-Mo AGC467 Licensed Representative 1, 2, 7CHAO Hanting AQW591 Licensed Representative 1, 6CHAU Chi Ho, Joe ART773 Licensed Representative 4CHEN Chi Hung AOX772 Licensed Representative 4, 9CHEN Eric Kay ANT456 Licensed Representative 1, 6CHEN I-ju AON788 Licensed Representative 1, 4, 9CHEN Li APR952 Licensed Representative 1, 6CHEN Mei-Hsia AQA154 Licensed Representative 1, 2CHEN Ming-Chao AQX499 Licensed Representative 1, 6CHEN Wan-Yu ARP453 Licensed Representative 1CHEN Yi AKO786 Licensed Representative 9CHEN Zi Yun, Charlotte AQA158 Licensed Representative 1, 6CHENG Chi Leung AGN133 Licensed Representative 1, 2CHENG Dien Yiu, Anthony AEE589 Licensed Representative 1, 4, 6

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 05/2009CE Name CE No. Licence Type Types of Regulated ActivityCHENG Kar Hung, Eric ANW413 Licensed Representative 1, 2CHENG Kin Kiu AOS415 Licensed Representative 1, 4, 9CHENG Kong Sen APU888 Licensed Representative 1, 6CHENG Rung Jin AML712 Licensed Representative 1CHENG Sui Kei AQQ129 Licensed Representative 1CHEUK Hoi Kit ALG198 Licensed Representative 1, 2, 8CHEUNG Hoi Hang ANM164 Licensed Representative 4CHEUNG Jay Yung Kit ARE118 Licensed Representative 1CHEUNG Kin Keung, Jocelyn ADI990 Licensed Representative 1, 2CHEUNG Loong Tai, Rose ALP703 Licensed Representative 4CHEUNG Nai Shun AAJ797 Licensed Representative 1, 2CHEUNG Wai Chi ANS193 Licensed Representative 3CHEUNG Wai Ling AFZ153 Licensed Representative 4CHEUNG Wing Sheung, Samantha AOK049 Licensed Representative 1, 2CHEUNG Yat Wah ANW454 Licensed Representative 1CHEW David Hock Lin AQH204 Licensed Representative 1, 2CHIANG Mickey Wei-Chun AQQ259 Licensed Representative 1, 6CHIE Susan Hui Chai ALF782 Licensed Representative 1, 4, 6CHIEN Te-tai AQY662 Licensed Representative 1, 2CHIEN Wen-Chi APJ408 Licensed Representative 1, 4, 9CHIN Moon Wan AGP933 Licensed Representative 4CHIU Chun Pong AFY720 Licensed Representative 1, 4, 6CHIU Sin Leung, Robert ARU078 Licensed Representative 1CHIU Sui Cheong AGU864 Licensed Representative 1, 3, 4CHO Jong Ug AQD245 Licensed Representative 1, 2CHOA James Michael ANT459 Licensed Representative 1CHOI Chi Kin Calvin AMP538 Licensed Representative 1, 6CHOI Chi Ming AFX921 Licensed Representative 2, 3CHOI Lai Ling AFW854 Licensed Representative 1CHOI Sae Min ANH726 Licensed Representative 1, 2, 7CHOI Shui Man AAJ903 Licensed Representative 2CHOI Stephen Joon AJH431 Licensed Representative 1CHOI Sung Won AFW031 Licensed Representative 1, 2, 7CHOI Wai Lun AOY503 Licensed Representative 4CHOI Young Il AMW682 Licensed Representative 1, 6CHOI Yuen Ching ACQ021 Licensed Representative 2, 3

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 05/2009CE Name CE No. Licence Type Types of Regulated ActivityCHONG Sze King AOT956 Licensed Representative 1, 9CHONG Tam Keung AOQ514 Licensed Representative 1, 4CHOU Cheng-Sheng APV141 Licensed Representative 1CHOU Hsien-Heng ALQ450 Licensed Representative 4CHOU I Chun APU195 Licensed Representative 1, 2CHOW Kenneth Ka Kit AQQ263 Licensed Representative 1CHOW Kin Pang ACP824 Licensed Representative 1, 2CHOY Chi Ting, Eva ADK046 Licensed Representative 1, 2CHOY January Y-Y AQM721 Licensed Representative 1CHOY Tsun Kit, Jackie ANK724 Licensed Representative 4CHU Joel Jens ABZ183 Licensed Representative 4, 5, 9CHU Soi Pio AGL656 Licensed Representative 2, 3CHU Tat Kwong, Benny ABY495 Licensed Representative 1, 2CHUA Siong Kheng AHH618 Licensed Representative 1, 2, 7CHUI Henry Kar-Kea AQI323 Licensed Representative 1, 4, 9CHUI Siu Ying AED603 Licensed Representative 1CHUK Man Kin AMX654 Licensed Representative 1, 2CHUNG Dong Oak ANU214 Licensed Representative 1, 6CHUNG Hon Kee AEP533 Licensed Representative 1, 2CHUNG Wai Fan, Winnifred ADY889 Licensed Representative 1, 4, 9CHUNG Yan, Dennis AGK668 Licensed Representative 4, 9CHUNG Yau Tung, Richard ARP718 Licensed Representative 4CHUNG Yik Lam, Jackie AQJ032 Licensed Representative 1CHUNG Yuen Sheung ALA454 Licensed Representative 1, 4CRAWFORD Andrew Gilbert AOY334 Licensed Representative 4DAFIR Mohamed AMK304 Licensed Representative 1, 2, 7DAI Tianhuan AOD297 Licensed Representative 1DAVID Martin ASF044 Licensed Representative 1, 2DAY Christopher Elliott Verco ADA734 Licensed Representative 1, 2DOONG Chui Yee, Wendy AEU516 Licensed Representative 1, 2EDGE Stephen James ALB076 Licensed Representative 1, 2EGLISKIS David Walter AJC319 Licensed Representative 1, 2ESPINASSE Philippe Michel AFU382 Licensed Representative 1, 4, 6EVANGELISTA Juliano AFN124 Licensed Representative 4FAN Brian William AOU131 Licensed Representative 1FAN Shaoli ALB271 Licensed Representative 1, 4, 6

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 05/2009CE Name CE No. Licence Type Types of Regulated ActivityFANG Benjamin Xu APR171 Licensed Representative 1, 6FANG Sai Tai, Jeffrey AMF434 Licensed Representative 4, 5, 9FENG Yung-Hsien AQA085 Licensed Representative 1, 2FOLINSBEE Thomas AEA280 Licensed Representative 1FONG Fu Ying AQC320 Licensed Representative 4FONG Wai Sang, Paul ARM917 Licensed Representative 4FONG Yun Wah AQS478 Licensed Representative 4FOO Kin Chung AQJ492 Licensed Representative 1, 4FOO Lyn Leng AMF469 Licensed Representative 1, 4FOURNIER Gregory John Kennedy ACJ065 Licensed Representative 1, 4, 6FRIEND Edwin Pichay ARF004 Licensed Representative 4, 9FU Kwong Lui AFX339 Licensed Representative 1FU Kwun Ki ARS320 Licensed Representative 4FUKUNAGA Miki ALV027 Licensed Representative 1, 2FUNG Chi Wai, Victor APK975 Licensed Representative 1, 2FUNG Chung Chi AJE965 Licensed Representative 1, 2FUNG Men Chee, Agnes ASK675 Licensed Representative 1, 4FUNG To ACL348 Licensed Representative 1, 3, 4, 6, 7, 9FUNG Yim Ling AEW245 Licensed Representative 1FUNG Yiu Hang ARE108 Licensed Representative 1GABRIEL Frederic Pierre API283 Licensed Representative 1, 2, 4, 5GAJJALA Vishnu Nandan AOY860 Licensed Representative 1, 2, 7GAO Qing ALD640 Licensed Representative 6GARRICK Jonathan AGM460 Licensed Representative 1GE Gan Niu ACJ342 Licensed Representative 1, 2, 4, 4, 5, 6GERJARUSAK Sarakorn ACN942 Licensed Representative 1GHOSH Soujit AOJ195 Licensed Representative 1, 2, 4, 5GOCO Allan Gilbert Lim AEE308 Licensed Representative 1, 2GOEYARDI Tatagraha ARI509 Licensed Representative 4GONG Jianghong ASO184 Licensed Representative 1, 2GOULD Christopher Graham AQM107 Licensed Representative 1GRANT Dominic Edgar AIR196 Licensed Representative 1, 4GRAY Philip John Scott AAG974 Licensed Representative 4, 9GROVE Alexis Martin APH118 Licensed Representative 1GUAN Bin AGL097 Licensed Representative 1, 4, 6GUNNS Christopher Michael Adrian APC679 Licensed Representative 1, 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 05/2009CE Name CE No. Licence Type Types of Regulated ActivityGUO Min APZ524 Licensed Representative 1, 6HA Man Chi AQN583 Licensed Representative 4HALMOS Laurent Jacques AMX737 Licensed Representative 4HAO Lei APG891 Licensed Representative 1, 4HARRISON Adrian Russell ALQ971 Licensed Representative 1HASEGAWA Andrew Raymond AEY863 Licensed Representative 1HE Yufeng APO996 Licensed Representative 1, 6HE Yunfei AQO175 Licensed Representative 1, 6HEIDEN-BLUNT Heide Rose-Maria AOM503 Licensed Representative 1, 2, 7HEO Kwang Su AQC506 Licensed Representative 1, 2HIDAJAT Leonie Adeline Volta APJ139 Licensed Representative 1, 2HIGHFIELD Andrew Francis APP193 Licensed Representative 1, 6HO Chi Keung AKU886 Licensed Representative 1, 2HO Denise Man San AQM130 Licensed Representative 1, 6HO Hin Hung, Henry AAB955 Licensed Representative 4HO Joh Hei AMI877 Licensed Representative 4HO Po Yung ARN429 Licensed Representative 4HO Sheng Ching ACT676 Licensed Representative 1, 4HO Yiu Man, Jackey AOV335 Licensed Representative 4HON Ying Sum, Jeanly AQU404 Licensed Representative 6HONG Andrew Bum Suk ANX962 Licensed Representative 4HOO Ezien AOS005 Licensed Representative 1, 6HSIA Michael Chinsom AKO627 Licensed Representative 1, 4, 7HSU Ching Wen APF218 Licensed Representative 1, 6HSU Han-Chiang AOU907 Licensed Representative 1HSU Wei-Li AQJ841 Licensed Representative 6HUANG Bernice AFU383 Licensed Representative 1, 6HUANG Chung-hung APN977 Licensed Representative 1, 2HUANG Haiming APP834 Licensed Representative 1, 2, 7HUANG Jaw-Yang ARG744 Licensed Representative 1, 2, 4HUANG Jenny Ying AQP761 Licensed Representative 4, 9HUANG Wen-Chien APQ409 Licensed Representative 1, 4HUANG Yu Hui APL601 Licensed Representative 1, 6HUBER Nicolas Alexander ARA110 Licensed Representative 4HUI Fung Yee, Josephine ACN455 Licensed Representative 1HUI Lai Ying AQU176 Licensed Representative 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 05/2009CE Name CE No. Licence Type Types of Regulated ActivityHUI Rebecca AOB006 Licensed Representative 1, 2HUI Tin Tak, Eddie AHR096 Licensed Representative 1, 4HUI Tze Kai ARB848 Licensed Representative 1, 2HUNG Hsin-Ru AQS911 Licensed Representative 1, 4HUNG Sek Kwong, Charles AOC908 Licensed Representative 1, 2HUNG Wun Pik, Elky ARD800 Licensed Representative 9HUYNH Van Minh Jerry APC473 Licensed Representative 1, 6HYNDES James William Joseph ACP597 Licensed Representative 1IP Siu Wai, Raymond ACF085 Licensed Representative 4IP Sze Shing APF838 Licensed Representative 1, 2, 3IP Wun Tai, Mandy APO656 Licensed Representative 4ISGROVE Paul Brian AIZ559 Licensed Representative 1JACOEL Suzi-kay AMJ557 Licensed Representative 1, 2, 7JANS Andrew John AHO288 Licensed Representative 9JAYARAM Uday ANE257 Licensed Representative 4JIA Yingqi APP085 Licensed Representative 1, 6JIN Byoung Oh ANH741 Licensed Representative 1, 2JING Yun AOI876 Licensed Representative 1, 6JOTE Vijay C AKS783 Licensed Representative 1, 6JUATIRAK Pisit ARQ318 Licensed Representative 4JUNEJA Sumer ANH737 Licensed Representative 1KAISER Stephan AQM698 Licensed Representative 1, 6KANG Hoyoon Martin ANU219 Licensed Representative 1, 6KANG Hun Sok AEN435 Licensed Representative 1KAO Richard ADR379 Licensed Representative 1, 4, 6KEE Man Kit AID482 Licensed Representative 1, 2, 3, 4KHEMLANI Sanjeev Lal ARR340 Licensed Representative 4KHER Ravi Shankar AOQ701 Licensed Representative 1, 2KIM Do Yup AMN896 Licensed Representative 1, 2, 4, 7KIM Eugene Hwang ANR849 Licensed Representative 1, 2KIM Eung Who ANW471 Licensed Representative 1KIM Jee Yeon ANM620 Licensed Representative 1KIM Jeewon AQQ470 Licensed Representative 4KIM Junrae ANR679 Licensed Representative 1, 2KINAK Mehmet Sinan ASF711 Licensed Representative 4, 9KING Wei Yean APB661 Licensed Representative 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 05/2009CE Name CE No. Licence Type Types of Regulated ActivityKINSELLA Diarmuid James APB103 Licensed Representative 1, 2, 7KONG Hoi Ki, Agnes AQY042 Licensed Representative 1, 9KOO Woo Seok APL600 Licensed Representative 1, 6KOROWE Julie Anne AOK494 Licensed Representative 9KOTWAL Neha ARI433 Licensed Representative 4KRACHT Caroline Christina AND854 Licensed Representative 1, 6KRISHAN Anshul ALV265 Licensed Representative 1KU Wei-Chiang AQD402 Licensed Representative 1, 2KUN In AOA393 Licensed Representative 1, 2KUNG Ming Foo, Jackson AGM986 Licensed Representative 4KUO Che-Jung ALT954 Licensed Representative 1, 4KUO Yi-Chih AGX674 Licensed Representative 1KWAN Siu Cheung ANU212 Licensed Representative 3KWAN Yat Chiu AOV549 Licensed Representative 2KWO Shino Lai Kwan ADA050 Licensed Representative 1, 4KWOK CHEUNG Tak May AQJ220 Licensed Representative 4, 9KWOK Man Yu ALY348 Licensed Representative 3KWONG Kam Har ALG056 Licensed Representative 1, 2KWONG Michael AQS646 Licensed Representative 1KWONG Raymond Chee Young ART071 Licensed Representative 4LA HAIE Eric Michael Carr ARE449 Licensed Representative 1, 6LACOURSIERE Paul Michael ARO982 Licensed Representative 4LAI Chun Mei AOK585 Licensed Representative 1, 6LAI Hoi Ching ANA070 Licensed Representative 4LAI Ka Fai APL379 Licensed Representative 1LAI Ka Yee AFR013 Licensed Representative 1LAI Pak Nin, Christopher ADX387 Licensed Representative 4, 9LAI Sze Man, Florence APE837 Licensed Representative 1LAM Ching Yeung AEO844 Licensed Representative 1, 2, 3LAM Fu, Philip ACB938 Licensed Representative 1, 2LAM Ka Bik, Rebecca AGN145 Licensed Representative 1, 6LAM Ka Wai AOV836 Licensed Representative 1, 2LAM Pui Pui AQN699 Licensed Representative 1, 3LAM Siu Wah AMN783 Licensed Representative 2LAM Ying APC517 Licensed Representative 4LAM Yiu Wo AQQ033 Licensed Representative 1

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 05/2009CE Name CE No. Licence Type Types of Regulated ActivityLAN Shunxiang ANW227 Licensed Representative 1, 2, 4LAN Yun APZ553 Licensed Representative 1, 6LANE Graeme John AOG216 Licensed Representative 1LAU Chi Ho AJD618 Licensed Representative 1, 2LAU Chu Hung AMU853 Licensed Representative 1, 2LAU Evan Louis ANM991 Licensed Representative 1, 6LAU Fu Yee ADS350 Licensed Representative 3LAU Ho To AQD647 Licensed Representative 9LAU Kai Chung AMF559 Licensed Representative 4LAU Man Ling AQK266 Licensed Representative 4LAU Tsui Heung APQ483 Licensed Representative 1, 4, 9LAU Ue APU467 Licensed Representative 4LAUNGANI Gautam Sukhdev ANQ013 Licensed Representative 1LAW Jessica AQM740 Licensed Representative 1, 4LAW So Ching APB509 Licensed Representative 4LEE Andrew Yen Chia ARG730 Licensed Representative 1, 2, 4LEE Cheril Chung Chi AEF121 Licensed Representative 1, 2, 4LEE Chi Hwa, Joshua AGL509 Licensed Representative 1, 6LEE Chi Wing ALB349 Licensed Representative 1, 2LEE Chui Fan, Delphine ANZ876 Licensed Representative 1, 2, 7LEE Chun AQO183 Licensed Representative 4LEE Hang Foon, Jacinta AKO639 Licensed Representative 1LEE Ho Man ARN584 Licensed Representative 1LEE Hui-Ling AQD725 Licensed Representative 1, 2LEE Jieun Jennifer APG363 Licensed Representative 1, 2LEE Joseph AQS018 Licensed Representative 1, 6LEE Ka Lee ANN084 Licensed Representative 1, 4, 9LEE Kang Suh APZ625 Licensed Representative 1, 2LEE Kermit Tao-Hung APC692 Licensed Representative 1, 2LEE Man Yiu, Paul ADV329 Licensed Representative 1, 2LEE Min Hee ANE094 Licensed Representative 1, 2, 4, 7LEE Shuk Ching ARN582 Licensed Representative 3LEE Siu Tong ARD581 Licensed Representative 2LEE Tak Ming, Rix AQO377 Licensed Representative 1, 2, 3LEE Wai Kee AQI239 Licensed Representative 3LEE Weihan AGN723 Licensed Representative 1, 6

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 05/2009CE Name CE No. Licence Type Types of Regulated ActivityLEE Wing Hong, Ricky AAB012 Licensed Representative 1, 2LEE Yuet Ho ARE968 Licensed Representative 4LEONG Wei Qun ARN267 Licensed Representative 1LESMINA Sarina AOU971 Licensed Representative 4LEUNG Derek Hay Wai AQD605 Licensed Representative 1, 6LEUNG Douglas Gi Keen APX190 Licensed Representative 1, 2LEUNG Grace Wing Han AKY651 Licensed Representative 1, 2LEUNG Ho Ming AJH302 Licensed Representative 1, 2, 3, 4LEUNG Kin Yee, Judy ACZ304 Licensed Representative 1, 2LEUNG King Hei AQE889 Licensed Representative 1, 4LEUNG Kwun Yu AOT730 Licensed Representative 4LEUNG Marcus Hoi Yu AMI316 Licensed Representative 1, 2LEUNG Sai Hung APW120 Licensed Representative 1LEUNG Wai Man ASK678 Licensed Representative 6LEUNG Winnie AON776 Licensed Representative 1, 6LEUNG Woon Yin APF188 Licensed Representative 1, 2, 9LEUNG Yu Hang, Charmaine APY428 Licensed Representative 1LI Chin Lam AQG583 Licensed Representative 4LI Heung Chun AQS720 Licensed Representative 1, 2LI Kai Wing, Kelvin AAV689 Licensed Representative 1, 4, 5, 9LI Kei Man, Canny AOS669 Licensed Representative 1, 2LI Kin Shing, Alan ANR250 Licensed Representative 1, 6LI Kwong Kuen ABZ057 Licensed Representative 1LI Man Ho ANJ073 Licensed Representative 3LI Shanna ARQ975 Licensed Representative 6LI Yeuk Sheung, Jessie AGN337 Licensed Representative 1LI Yi Lung ANU832 Licensed Representative 1, 6LI Ying AQC794 Licensed Representative 4LI Zaozao APR812 Licensed Representative 4LI Zhenyu AKN225 Licensed Representative 1, 4, 6, 9LIANG Bing APN800 Licensed Representative 1, 6LIANG Wei Jen, William AGU673 Licensed Representative 1, 2LIANG Yang-Ti AMY787 Licensed Representative 1, 2LIAO Nancy Lihua APR024 Licensed Representative 1, 4, 9LIM Fung Ee AFL363 Licensed Representative 1, 2, 7LIN Chang-Chung ANC156 Licensed Representative 1, 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 05/2009CE Name CE No. Licence Type Types of Regulated ActivityLIN Li Yu AHT091 Licensed Representative 1, 4LIN Sek Keung ANP873 Licensed Representative 1, 2LIN Susan Ying AIR969 Licensed Representative 1LIN Tsz Kit, Albert AIL021 Licensed Representative 1, 2, 3LIN Yang-ming ANQ718 Licensed Representative 1, 2LING Michael API079 Licensed Representative 1LIU Bin AOV460 Licensed Representative 4LIU Chiu-Chu ARG735 Licensed Representative 1, 2LIU Gillian Ching Wan ALG537 Licensed Representative 1, 2LIU Hui-Yi APS335 Licensed Representative 1, 6LIU Jason I AOX008 Licensed Representative 1, 2LIU Yili AIU618 Licensed Representative 4, 9LIU Yong APR217 Licensed Representative 1, 6LO James Kwok-Lun ALQ506 Licensed Representative 1, 2LO Kin Wing, Terry AFH844 Licensed Representative 4LO Ted Shu-Chung AHK486 Licensed Representative 1, 7LO Wei Lie ACA524 Licensed Representative 1LOK Lai Yin, Meko AMJ378 Licensed Representative 1LOO Gerald AQZ732 Licensed Representative 1, 9LOOK Rosalind AKJ147 Licensed Representative 4, 9LU Gloria Jane APP086 Licensed Representative 1LU Wubin ANQ762 Licensed Representative 1LU Yanyan ARP734 Licensed Representative 4LU Zhen AIU627 Licensed Representative 1LUI Agnes Ka-bo AQY873 Licensed Representative 1LUK Oi Ying AOQ584 Licensed Representative 4LUK Yiu Fai AAJ059 Licensed Representative 1, 2LUNG Donald Andrew AKU007 Licensed Representative 1LUNG Nai Cheung, Patrick ABH432 Licensed Representative 4, 5, 9LUO Nan ANG603 Licensed Representative 1MA Adeline AEM553 Licensed Representative 1MA Jer ARH458 Licensed Representative 1MAK Bing Sum AGC300 Licensed Representative 1, 1, 4, 9, 9MAK Kon Tong AER866 Licensed Representative 4MAN Ka Ming APH262 Licensed Representative 1, 2, 4MANE Keeran Jagannath AQE839 Licensed Representative 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 05/2009CE Name CE No. Licence Type Types of Regulated ActivityMANN Chi Sam AJK798 Licensed Representative 1, 2, 7MAO Jingzhu AQM402 Licensed Representative 1, 2MASNICK Simon Ari AIO054 Licensed Representative 1, 2MATHARU Ramnek Singh AGQ974 Licensed Representative 1MC CONAGHA Adam Cameron APJ417 Licensed Representative 1MCALINDEN Barry APF630 Licensed Representative 1MCGRATH Stuart James ARO705 Licensed Representative 1MCMURTRAY Nathan Noel ALW212 Licensed Representative 1, 6MENG Weihuan AOL218 Licensed Representative 1, 4, 6MERAJ Syed Adnan AML803 Licensed Representative 1, 6MIAO Ko-huei AOG942 Licensed Representative 1MO In Sun AND184 Licensed Representative 1MO Wai Chun AQT147 Licensed Representative 3MO Yuen Yan, Carol AON680 Licensed Representative 1MOK Pui Yan, Jeanie AOA329 Licensed Representative 1, 2MOK Shiu Chuen AAH426 Licensed Representative 1MURRAY John Bernard AOL180 Licensed Representative 9NAJI Ramin APH952 Licensed Representative 1, 6NATHANY Vishal AQP769 Licensed Representative 9NG Chak Ming AGK075 Licensed Representative 1, 2NG Chi Wai AQQ434 Licensed Representative 4NG Chun Wai AQX393 Licensed Representative 1, 2NG Evelyn Yee-Ling ALK998 Licensed Representative 1, 6NG Ka Fuk ABM509 Licensed Representative 1, 2, 7NG Po Yiu ARI222 Licensed Representative 1, 2NG Sai Chung APP424 Licensed Representative 1, 2, 4NG Stephen APV980 Licensed Representative 1, 4, 9NG Tin Chuck, Agnes AQR017 Licensed Representative 1, 4, 9NG Wai Yu AGJ184 Licensed Representative 1, 1, 4, 6NG Wing Sze, Grace AGW637 Licensed Representative 1, 4, 9NGO Man Lai AFF145 Licensed Representative 1NGUYEN Son Nam AFE207 Licensed Representative 1, 6OH Young Min AOY021 Licensed Representative 1OLIVER Simon Coutts APB758 Licensed Representative 1, 2, 4, 5, 7ONG Chee Ling AOK816 Licensed Representative 1, 4ONG Wee Gin ALI345 Licensed Representative 1

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 05/2009CE Name CE No. Licence Type Types of Regulated ActivityOR Felix ADH585 Licensed Representative 1, 2OZORIO Gertrude Marion APC863 Licensed Representative 1, 2PACKARD-REED Frank Charles AOT685 Licensed Representative 9PAGLIARINI Alberto APH107 Licensed Representative 1, 6PANG Ka Yin AEF574 Licensed Representative 1PANG Man Wai ARD488 Licensed Representative 1PANG Soo Nee, Wendy AQC652 Licensed Representative 1, 6PANG Ying Kit APC130 Licensed Representative 1, 6PARK Hesson AOM783 Licensed Representative 1, 4PASCUAL Francis Mark Azcarate APS311 Licensed Representative 1, 4PASK Georgia Nancye ALT877 Licensed Representative 1, 6PATTERSON Richard John AFK071 Licensed Representative 2PHAN Khanh Nhat AQM716 Licensed Representative 1, 2, 7PONG Shu Hon, Stephen AME710 Licensed Representative 1, 2POON Kwun Yu APR192 Licensed Representative 4POON Wing Dai, Cosmas APW818 Licensed Representative 4PORANDLA Virinchi Narayan ALU601 Licensed Representative 1, 4, 6POULTON Charles Francis Campbell AMK227 Licensed Representative 1, 2, 7PRAKASH Ankur AOV402 Licensed Representative 1, 4RAMANI Vivek APU604 Licensed Representative 1, 2REN Sharon AGC627 Licensed Representative 1, 6RICHMOND Sally Victoria ARL393 Licensed Representative 4ROBERTS David Northam ADB641 Licensed Representative 1ROLAND Mathilde Suzanne AIU423 Licensed Representative 1, 2, 5, 7, 9SALEMBIER David H. E. APV923 Licensed Representative 1SAMUEL Jacob ANJ557 Licensed Representative 4SANKAR Andrea Chivanee AOG304 Licensed Representative 1SANKARANARAYANAN Nagarajan APF039 Licensed Representative 1, 2SATO Megumi AQI267 Licensed Representative 1, 2SCHUMACHER Michael Robert AFZ876 Licensed Representative 1, 6SEAH Ang AQG416 Licensed Representative 1SEE Wee Phing, Eric AQU543 Licensed Representative 1SHAH Arik Pradip ANV262 Licensed Representative 1SHANG Yu-Shan ARD619 Licensed Representative 1, 4SHEN Nain-Chieh APU671 Licensed Representative 1SHIMADA Yoshihiro AFK725 Licensed Representative 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 05/2009CE Name CE No. Licence Type Types of Regulated ActivitySHIU Gi Pin APW369 Licensed Representative 1, 2SHIU Yeuk Kwai, Dilys ANQ242 Licensed Representative 4SHUK Lap ALB297 Licensed Representative 1, 2, 3SHUM Lui Pang AQH110 Licensed Representative 1, 2SHUNG Kwok Yin AFF211 Licensed Representative 1, 2SIDARTO Arief Widyawan ADV079 Licensed Representative 1, 6SIM Min AQM701 Licensed Representative 1, 6SIU Wai Man ARP887 Licensed Representative 4SIU Yik Chiu AQE294 Licensed Representative 1SO Ka Man AHX165 Licensed Representative 1SO Kwai Chuen ANW537 Licensed Representative 1, 2, 3SONG Jiajia ARE974 Licensed Representative 1SONG Sally APZ784 Licensed Representative 1SOU Wai Cheong ANJ750 Licensed Representative 4STEPHENS Clifford Peter ANI824 Licensed Representative 1, 2STRADMOOR Norman Alexanda ARR597 Licensed Representative 1, 4SU Pin Rung ANQ271 Licensed Representative 1, 2SU Xing ARP042 Licensed Representative 1, 6SUH David Bumchul APF220 Licensed Representative 1SUNG Hsueh Jen ADV180 Licensed Representative 4SUSANTO Edward Tjahja APF777 Licensed Representative 4TAM Ping Wah ASL793 Licensed Representative 4TAM Sak Man ABE231 Licensed Representative 2, 3TANG Kam Ming, Calvin ANB555 Licensed Representative 1, 2TANG Lydia Yee Ting AQR392 Licensed Representative 1TANG Ngai Leung ARS159 Licensed Representative 4TANG P Wa AGG691 Licensed Representative 1, 6TANG Qingqing ADI445 Licensed Representative 1, 4TANG Siu Lai, Stanley AFQ893 Licensed Representative 1, 6TANG Tsz Tung AEN111 Licensed Representative 1, 2TANG Wai Lun, Alan AOS497 Licensed Representative 1, 3TAO Hui ANE418 Licensed Representative 4TAY Chien Thuan, Francis APB099 Licensed Representative 1, 2TAY Wan Chen, Sharon ANP724 Licensed Representative 1, 6TEDMAN Daniel Stuart AQB045 Licensed Representative 1, 2, 7TENG Pi-Yun AFQ368 Licensed Representative 1, 2

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 05/2009CE Name CE No. Licence Type Types of Regulated ActivityTING Chuan Hui, Frederick AOB592 Licensed Representative 4, 9TO Chi Kin ARB689 Licensed Representative 4TOISUTA Lydia Jessica AQZ708 Licensed Representative 4TONG Cheuk Wai, Tony AQW016 Licensed Representative 1, 2, 3TONG Ngai Lam, Leo ARI984 Licensed Representative 1, 4TRENT Christopher Frank API008 Licensed Representative 1TSAI Alex I-chung ARA025 Licensed Representative 1TSAI Hou-Kuei AIU373 Licensed Representative 1TSAI Wan-Yu ALH788 Licensed Representative 1TSANG Wai Hang, Wayne AOB854 Licensed Representative 9TSANG Wai Man AIH681 Licensed Representative 3TSANGARIDES Neophytos ARO107 Licensed Representative 9TSAO Theodore Tsuhua AHJ596 Licensed Representative 1, 2TSAO Yu-lung ANN468 Licensed Representative 1, 2, 5TSE Kai Lun AOG193 Licensed Representative 4TSE King Chung, Kendall ANN387 Licensed Representative 1, 4, 7TSE King Fai, Philip AGG695 Licensed Representative 1, 4, 6TSE Sai Wah AQI814 Licensed Representative 4TSENG Jorge AQW616 Licensed Representative 1, 4TSENG Man-ting ARR378 Licensed Representative 1, 2TSO Yung Yee, Charlotte ANK894 Licensed Representative 1TSUCHIYA Shiro ASL837 Licensed Representative 4TSUI Luen On AIB800 Licensed Representative 1, 2, 3TULL Robert Geoffrey AOL151 Licensed Representative 9UMEH Ugochukwu Ihunanya APP083 Licensed Representative 1, 6VIJAYA RAGHAVAN Ramesh ADX194 Licensed Representative 1, 2, 7WAN Nga Yee, Joyce AOH920 Licensed Representative 1WANG Anyi AML958 Licensed Representative 1, 6WANG Jinyin APB790 Licensed Representative 1, 4WANG Kevin AKU002 Licensed Representative 1, 2WANG Qianming AON544 Licensed Representative 4, 9WANG Xu AQQ048 Licensed Representative 1, 6WANG Xun Christopher AIL178 Licensed Representative 1, 6WATTERSON Kate Gabriel AMN687 Licensed Representative 1WEI Wei ANW403 Licensed Representative 1WESTBERG Sven Erik Christer AMS271 Licensed Representative 1, 9

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 05/2009CE Name CE No. Licence Type Types of Regulated ActivityWHITE Mark Barry Ewart AAA066 Licensed Representative 4WONG Alan APD362 Licensed Representative 1, 2, 7WONG Chi Wai, Vincent AAJ396 Licensed Representative 1, 2WONG Fiona Yin Yee APW087 Licensed Representative 1WONG George Ka Kui ANG162 Licensed Representative 1, 9WONG Hoi Sze, Alice AFS332 Licensed Representative 1, 4, 6WONG Hoi Wa, Vivian ANQ466 Licensed Representative 4WONG Ka Ki, Eva AQD871 Licensed Representative 1, 2, 4WONG Kai Pong AGT686 Licensed Representative 3WONG Kar Po AQG676 Licensed Representative 1, 4, 9WONG Kin Hoi ARL949 Licensed Representative 4WONG Kwok Sun ARD538 Licensed Representative 4WONG Lai Loi, Connie AOY325 Licensed Representative 1, 2WONG Ling Sze, Susanna ALZ486 Licensed Representative 1, 4WONG Man Hing ARS171 Licensed Representative 4WONG Man Yee, Helen ARB298 Licensed Representative 1WONG Po Hoi, Raymond AGN457 Licensed Representative 9WONG Pok Man APW433 Licensed Representative 1WONG Si Man ARS172 Licensed Representative 4WONG U-Yun AQY831 Licensed Representative 9WONG Wai Hung AQR577 Licensed Representative 1WONG Wai Lung APJ557 Licensed Representative 1, 2WONG Wing Yi, Christy AOG826 Licensed Representative 1WOOD Malcolm George ANI728 Licensed Representative 1WU Philip Lat Fei AOV735 Licensed Representative 1, 2WU Tien-Wei, David AFZ823 Licensed Representative 1, 2WU Wing Kei ACJ586 Licensed Representative 1, 2WU Yi-Hsuan AMK380 Licensed Representative 1XIAO Xin AQA153 Licensed Representative 1, 6XU Bin AQX592 Licensed Representative 1, 6XU Cheng APH603 Licensed Representative 4XU Nuo APJ126 Licensed Representative 1, 6XU Xiang AQE820 Licensed Representative 9YANG Bo AQO328 Licensed Representative 4YANG Elizabeth ARP703 Licensed Representative 1YANG Shih Fong, Katie Simmone ACD926 Licensed Representative 1, 2

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 05/2009CE Name CE No. Licence Type Types of Regulated ActivityYAU Kam Keung ARA099 Licensed Representative 1YAU Kit Yu AFS957 Licensed Representative 4YEH Eddie Shang-Yun AOD271 Licensed Representative 1, 6YEH Li Ping AHX817 Licensed Representative 1YEH Mark Shing ART226 Licensed Representative 1YEOH Jonathan Sheung Chern ANB177 Licensed Representative 1, 2YETMAN Mark Stephen ACT009 Licensed Representative 1YEUNG Chun Yin ARB947 Licensed Representative 1YEUNG Fan AJD919 Licensed Representative 2YEUNG Hiu Chit AML649 Licensed Representative 9YEUNG Leung Chun ANL005 Licensed Representative 1, 1, 2, 4, 9YEUNG Ping Kee AOO270 Licensed Representative 1, 2, 7YEUNG Suen Leong APL480 Licensed Representative 3YEUNG Wing Yee, Cecilia AQU954 Licensed Representative 1YEUNG Yin Shan AFZ387 Licensed Representative 1, 2YIM Man Ki ALZ712 Licensed Representative 1YIM Wai Kei ALI465 Licensed Representative 1, 4YIP Chun Pong APP238 Licensed Representative 4YIP Mei Fu ASS649 Licensed Representative 4YIP Vicky King Lun ALQ685 Licensed Representative 1, 2, 4YIU Sin Lai ACL310 Licensed Representative 3YOKOTA Fumiko AGC833 Licensed Representative 1YONG Elizabeth Hoi Yan AEJ557 Licensed Representative 1YOU Seung Min AOO984 Licensed Representative 1YOUNG Koon Hay, Simon AJF488 Licensed Representative 1, 2YU Dan Dan, Jennifer AHR314 Licensed Representative 1, 2YU Fong Lin ADU046 Licensed Representative 1, 2YU Ka Ho, Bernard AQR189 Licensed Representative 9YU Ming Lai AFU845 Licensed Representative 4, 9YU Wai Yin, Alice APW434 Licensed Representative 1YUAN Nelson Chien AKY987 Licensed Representative 1, 9YUEN Chang Sern ALV414 Licensed Representative 4YUEN Chung Shing AOG188 Licensed Representative 4YUEN Kwai Wo AAG060 Licensed Representative 1, 2YUEN Wilson Wai Chi ARN440 Licensed Representative 4, 9YUEN Yik Ting, Dicky ASO312 Licensed Representative 1, 2

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 05/2009CE Name CE No. Licence Type Types of Regulated ActivityYUN Mi Jung AMK098 Licensed Representative 1, 6ZENG Wei-Di AON744 Licensed Representative 1ZHAN Ni ARQ978 Licensed Representative 6ZHANG Bo APK583 Licensed Representative 4, 9ZHANG Xi AHI333 Licensed Representative 4ZHANG Yinghua APV192 Licensed Representative 4ZHAO Liujun ANR808 Licensed Representative 1, 6ZHAO Tian ANR067 Licensed Representative 1, 6ZHOU Xudong ARD602 Licensed Representative 1, 6ZU SAYN-WITTGENSTEIN BERLEBURG Sebastian Fredrik AMJ963 Licensed Representative 1, 6AOKI Keisuke AIH933 Licensed Representative - Responsible Officer 4, 9BAKER Kurt Alexander AAK471 Licensed Representative - Responsible Officer 1BROWN Jonathan Neill ARH138 Licensed Representative - Responsible Officer 9CHAN Ho Sun, Sunny ABG920 Licensed Representative - Responsible Officer 1, 6CHANG Shao-Yu AQQ079 Licensed Representative - Responsible Officer 2CHEUNG Yat Ming AEG753 Licensed Representative - Responsible Officer 4, 9CHOI Nga Chung ADG746 Licensed Representative - Responsible Officer 4, 6, 9CHU Yuen Yi, Joanna AGN479 Licensed Representative - Responsible Officer 1, 4, 6, 9CHUNILAL Damian Ratilal AJH327 Licensed Representative - Responsible Officer 1, 4, 6DOUGLAS Anton Steven Ian ALB051 Licensed Representative - Responsible Officer 1HO Edmund ACR485 Licensed Representative - Responsible Officer 1, 6HSU Christopher Chung-yi ANO876 Licensed Representative - Responsible Officer 9KAY Nigel Timothy ACU879 Licensed Representative - Responsible Officer 4, 9KUMAR Srihari AEO804 Licensed Representative - Responsible Officer 9LAIDLOW Jonathan David AQI181 Licensed Representative - Responsible Officer 9LAM Frank Pun Yuen AFU929 Licensed Representative - Responsible Officer 1, 4, 6LAM Hu Yang ADU633 Licensed Representative - Responsible Officer 9LAM Ngok Fung AFD783 Licensed Representative - Responsible Officer 4, 9LANE Graeme John AOG216 Licensed Representative - Responsible Officer 2LAW Kai Yee ACP527 Licensed Representative - Responsible Officer 1, 2, 3LAW Ming Lap ADB584 Licensed Representative - Responsible Officer 3LEE David AHL406 Licensed Representative - Responsible Officer 1, 2LEE Jian Xiang APW890 Licensed Representative - Responsible Officer 1, 4, 9LO Mo Yee AGR049 Licensed Representative - Responsible Officer 4, 9LUI Jammy AJE971 Licensed Representative - Responsible Officer 1, 2MAK Chak Hung AAC295 Licensed Representative - Responsible Officer 4, 9

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 05/2009CE Name CE No. Licence Type Types of Regulated ActivityMASON Eric Rogan AFH007 Licensed Representative - Responsible Officer 1, 9MOORE John James APZ212 Licensed Representative - Responsible Officer 1, 4, 7NG Chiu Mui AFZ381 Licensed Representative - Responsible Officer 1, 3, 6OMATSU Masaki AGC876 Licensed Representative - Responsible Officer 4, 5PALMER Michael Louis APV979 Licensed Representative - Responsible Officer 9PATTERSON Richard John AFK071 Licensed Representative - Responsible Officer 1, 7SAMUELL Darren John AJB856 Licensed Representative - Responsible Officer 1, 4, 7, 7SIM Choon ADQ377 Licensed Representative - Responsible Officer 1, 6SO Fuk Lam AAE856 Licensed Representative - Responsible Officer 1SONI Ajay AMS611 Licensed Representative - Responsible Officer 9SOUZA Daniel Maria ACC702 Licensed Representative - Responsible Officer 4, 9SUBRAMANIAM Mohan ADD198 Licensed Representative - Responsible Officer 2THROSBY Timothy James Osborne ACT590 Licensed Representative - Responsible Officer 9TO Kok Wing AMV304 Licensed Representative - Responsible Officer 5TREW David Lachlan Meacle ALO007 Licensed Representative - Responsible Officer 3VAN EEK Richard Paul Christiaan APO588 Licensed Representative - Responsible Officer 1, 2WALLACE Lee Peter ADM554 Licensed Representative - Responsible Officer 1, 4WILLIAMS Max Robert AQZ598 Licensed Representative - Responsible Officer 9WOO Kam For ADY966 Licensed Representative - Responsible Officer 1, 2ZHANG Anzhi AJX187 Licensed Representative - Responsible Officer 1, 4, 6AGARWAL Vibhu ARR424 Licensed Representative (Provisional Licence) 1AN Joo Hee ASG213 Licensed Representative (Provisional Licence) 4, 9ANSVANANDA Kasemsant AEQ791 Licensed Representative (Provisional Licence) 1, 6ARIKI Nobutaka ASU316 Licensed Representative (Provisional Licence) 9BAJPAI Jayanti Shankar AEV502 Licensed Representative (Provisional Licence) 1, 4, 6BARRETT James Richard ARH869 Licensed Representative (Provisional Licence) 4, 9BLAKE John Charles David AMB469 Licensed Representative (Provisional Licence) 1BOSELEY Richard Peter Alexander AEU151 Licensed Representative (Provisional Licence) 1, 2BRADBURY Colin David AAV861 Licensed Representative (Provisional Licence) 4BRINKER Anthony Ambrose ASU307 Licensed Representative (Provisional Licence) 1BURT Stephen Richard AHC380 Licensed Representative (Provisional Licence) 1CAHYADI Jeffrey ASQ544 Licensed Representative (Provisional Licence) 4CHABOUREAU Stephane Alain Dominique ASW645 Licensed Representative (Provisional Licence) 1CHAKRABORTY Joydeep ASS640 Licensed Representative (Provisional Licence) 1, 6CHAMBERS Michael Edmund Carrick ARP470 Licensed Representative (Provisional Licence) 1CHAN I Wa ASW720 Licensed Representative (Provisional Licence) 1, 2

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 05/2009CE Name CE No. Licence Type Types of Regulated ActivityCHAN Kai Yan ACI583 Licensed Representative (Provisional Licence) 1, 2CHAN Lai Man ASS908 Licensed Representative (Provisional Licence) 2CHAN Pui Yeung, Yvonne ASW460 Licensed Representative (Provisional Licence) 1, 4CHAN Shing Yin AST185 Licensed Representative (Provisional Licence) 4CHAN Yau Shing ASS781 Licensed Representative (Provisional Licence) 1CHANG Yuan AST179 Licensed Representative (Provisional Licence) 1CHEAH Kheng Leong ASU039 Licensed Representative (Provisional Licence) 1, 4, 9CHEN Chia-hui ASU227 Licensed Representative (Provisional Licence) 1CHENG Hiu Tung AST652 Licensed Representative (Provisional Licence) 1, 4CHENG Man Kuen, Richard ACY876 Licensed Representative (Provisional Licence) 1CHENG Pui Wan, Nicole ASL610 Licensed Representative (Provisional Licence) 1, 2CHENG Yu-Pin APO464 Licensed Representative (Provisional Licence) 1, 6CHEW Ewen ASS430 Licensed Representative (Provisional Licence) 1, 6CHIU Cheuk Man ASS493 Licensed Representative (Provisional Licence) 1, 2CHOI Lai Ching ASW952 Licensed Representative (Provisional Licence) 1CHOI Wai ADN272 Licensed Representative (Provisional Licence) 4CHOU Cho Fan, Jonathan AST316 Licensed Representative (Provisional Licence) 1, 2CHU Wai Lun ASX101 Licensed Representative (Provisional Licence) 4CHUA Yi Zhi Maria ASU036 Licensed Representative (Provisional Licence) 1, 6CHUI Man Nga ASX258 Licensed Representative (Provisional Licence) 1, 2, 4CHUNG Hyung Kwon AGN872 Licensed Representative (Provisional Licence) 1, 4, 6CHUNG Yat Kit ASN776 Licensed Representative (Provisional Licence) 1, 4CLEMENTSON Christian James ANE031 Licensed Representative (Provisional Licence) 1COULTER Douglas Andrew ADX170 Licensed Representative (Provisional Licence) 4DELIENS Mathieu Gaetan Eric Marie ASS968 Licensed Representative (Provisional Licence) 1, 2DIAZ GARCIA Maria Inmaculada AQN975 Licensed Representative (Provisional Licence) 1DU Jun ARJ285 Licensed Representative (Provisional Licence) 1FAN Suet Heung Fanny AST833 Licensed Representative (Provisional Licence) 1, 4FANG Gene ASS901 Licensed Representative (Provisional Licence) 6FENG Ivy Xiao AQY489 Licensed Representative (Provisional Licence) 1, 6FONG Yuk Yin ASW654 Licensed Representative (Provisional Licence) 1FUNG Koon Bong, Raymond AST200 Licensed Representative (Provisional Licence) 4, 6, 9FUNG Yeuk Ting ASU021 Licensed Representative (Provisional Licence) 4GAN Ker Ann ASU034 Licensed Representative (Provisional Licence) 1, 6GARROW Michael Patrick AIS160 Licensed Representative (Provisional Licence) 9GLYNN Stephen Andrew ASK162 Licensed Representative (Provisional Licence) 1, 2

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 05/2009CE Name CE No. Licence Type Types of Regulated ActivityGONZALEZ QUEREJAZU Maria Mercedes AST262 Licensed Representative (Provisional Licence) 1GUO Jia AST198 Licensed Representative (Provisional Licence) 1, 6HADLEY Paul Jason ANU724 Licensed Representative (Provisional Licence) 1HAN Bruce Wook ACO279 Licensed Representative (Provisional Licence) 1, 2HEUGH Kristian Ness-hansen ASU019 Licensed Representative (Provisional Licence) 1, 9HO Ching Man ASX093 Licensed Representative (Provisional Licence) 4HO Sai Ho ASW373 Licensed Representative (Provisional Licence) 1HO Yuk Lun ARD455 Licensed Representative (Provisional Licence) 4HONG Eugene Cheeryeh ASW556 Licensed Representative (Provisional Licence) 1, 6HUI Yat Ho AST199 Licensed Representative (Provisional Licence) 1JAISINGH Rahul ASS592 Licensed Representative (Provisional Licence) 1, 6JIA Peng AOZ129 Licensed Representative (Provisional Licence) 1, 4KAN Katherine Ka Ki ASU022 Licensed Representative (Provisional Licence) 4KAPOOR Raghav ASQ212 Licensed Representative (Provisional Licence) 1KARWAL Vijay Paul ASS433 Licensed Representative (Provisional Licence) 1, 6KAWAUCHI Eijiro AST137 Licensed Representative (Provisional Licence) 1, 4, 6KINOUCHI Tomohito ASU536 Licensed Representative (Provisional Licence) 1, 4KRAUSKOPF Martin William AST685 Licensed Representative (Provisional Licence) 1, 6KWAN Ka Hung AOS250 Licensed Representative (Provisional Licence) 1, 2, 4KWOK Hang Tat ASU352 Licensed Representative (Provisional Licence) 1, 2KWOK Suk Yu ASS940 Licensed Representative (Provisional Licence) 1LAI Joyce Pui Shuen AST197 Licensed Representative (Provisional Licence) 1, 6LAI Tsz Yang ALZ815 Licensed Representative (Provisional Licence) 1LAM Chi Ying ASX092 Licensed Representative (Provisional Licence) 4LAM Kou Ngai AST091 Licensed Representative (Provisional Licence) 1LAM Lawrence Wai Keung ASU037 Licensed Representative (Provisional Licence) 4, 6, 9LAM Tze Him, Timothy ASU235 Licensed Representative (Provisional Licence) 4LAM Yi, Joyce ASW997 Licensed Representative (Provisional Licence) 1LAM Yu Hang AST136 Licensed Representative (Provisional Licence) 1, 2LAM Ze Wa, Monica AEY447 Licensed Representative (Provisional Licence) 1LAU Kam Yan, Karen ASU268 Licensed Representative (Provisional Licence) 1LAU Kin Wing ASX100 Licensed Representative (Provisional Licence) 4LAU Kwok Wai ASU345 Licensed Representative (Provisional Licence) 1LAW Chun Wai ASS893 Licensed Representative (Provisional Licence) 2LAWRENCE Andrew John AEC577 Licensed Representative (Provisional Licence) 4LAY Joao Fernando AST881 Licensed Representative (Provisional Licence) 1, 2

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 05/2009CE Name CE No. Licence Type Types of Regulated ActivityLEE Chi Fung ALH771 Licensed Representative (Provisional Licence) 1LEE Hin Tak Dominic ARS144 Licensed Representative (Provisional Licence) 4LEE Hon Ki AST192 Licensed Representative (Provisional Licence) 1, 2LEE Kong Hian ARQ361 Licensed Representative (Provisional Licence) 1LEE Lai Yee, Sandra ASW839 Licensed Representative (Provisional Licence) 1LEE So Ryung ARG849 Licensed Representative (Provisional Licence) 1, 2LEE Wang Tak, Paul ASQ170 Licensed Representative (Provisional Licence) 1LEUNG Colin Kwok Hai ADS523 Licensed Representative (Provisional Licence) 4, 6, 9LEUNG Ho Yin, Gregory ASU344 Licensed Representative (Provisional Licence) 1LEUNG Pui Yin ASX099 Licensed Representative (Provisional Licence) 4LEUNG Siu Ping ASU009 Licensed Representative (Provisional Licence) 1, 4LI Ji ASS293 Licensed Representative (Provisional Licence) 4, 6LI Kay Yuen ASS699 Licensed Representative (Provisional Licence) 1LI Min ASU506 Licensed Representative (Provisional Licence) 4LI Xi ASU033 Licensed Representative (Provisional Licence) 1, 6LIAO Jing ASH573 Licensed Representative (Provisional Licence) 1LIEM Chung Wong, Jasper APY809 Licensed Representative (Provisional Licence) 4, 9LIM Allan AEY356 Licensed Representative (Provisional Licence) 1, 2LIN Sik Mei, Anita ASS669 Licensed Representative (Provisional Licence) 1, 2LIU Ka Ki AST868 Licensed Representative (Provisional Licence) 1, 6LO Alexander Chun Him AST189 Licensed Representative (Provisional Licence) 1, 6LOK Sing To ANG496 Licensed Representative (Provisional Licence) 1, 2LU Yanxiang AQX954 Licensed Representative (Provisional Licence) 1, 4LUI Siu Wing, Tony ASW835 Licensed Representative (Provisional Licence) 1, 2, 3LUM Chi Yeung ASX252 Licensed Representative (Provisional Licence) 1MAK Cho Fai, Francis AST022 Licensed Representative (Provisional Licence) 1, 2MAK Fuk Wah AEL261 Licensed Representative (Provisional Licence) 1MAK Hoi Fung AST835 Licensed Representative (Provisional Licence) 1MAN Ka Kin ASX082 Licensed Representative (Provisional Licence) 1MASHIKO Takeshi ARS044 Licensed Representative (Provisional Licence) 1, 4, 6MASON Edward James AIR197 Licensed Representative (Provisional Licence) 1MILLS Robert George ASW674 Licensed Representative (Provisional Licence) 1MILNER Dennis Colin AST687 Licensed Representative (Provisional Licence) 1, 2MOK Sze Wai ASS432 Licensed Representative (Provisional Licence) 1, 6MOK Ting Fai, Ringo ARD458 Licensed Representative (Provisional Licence) 4MOU Alex Xinghai AJB639 Licensed Representative (Provisional Licence) 4, 9

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 05/2009CE Name CE No. Licence Type Types of Regulated ActivityNAKAMURA Koichiro ASU523 Licensed Representative (Provisional Licence) 9NARAIN Raghavendra AST870 Licensed Representative (Provisional Licence) 1, 6NG Chi Tin, Herman ASQ359 Licensed Representative (Provisional Licence) 1, 4, 9NG Ching Ha ASS324 Licensed Representative (Provisional Licence) 1, 2NG Ka Man ASX090 Licensed Representative (Provisional Licence) 4NG Wang On ASS267 Licensed Representative (Provisional Licence) 1NG Wing Yee, Joyce AST289 Licensed Representative (Provisional Licence) 1, 2NIEDERBERGER Michael Robert ALZ575 Licensed Representative (Provisional Licence) 1, 6NIK MAHMOOD Nik Hadi Bin AMJ211 Licensed Representative (Provisional Licence) 4NOWAKOWSKI Marcin Andrzej ASS434 Licensed Representative (Provisional Licence) 1, 6O'LEAR Christopher James ASS488 Licensed Representative (Provisional Licence) 1, 2PENANGWALA Rahim Shabuddin ASU514 Licensed Representative (Provisional Licence) 4PENG Yuxiu ANJ135 Licensed Representative (Provisional Licence) 4PENG Zhenyu ASU495 Licensed Representative (Provisional Licence) 1, 2, 4, 9PO Kwong Chiu AFK747 Licensed Representative (Provisional Licence) 1QIN Xiao AOY193 Licensed Representative (Provisional Licence) 1, 6QIU Wenqin AQE450 Licensed Representative (Provisional Licence) 1, 6RIME Christian Patrick ASW882 Licensed Representative (Provisional Licence) 1SAGLANI Chirag Pankaj AST878 Licensed Representative (Provisional Licence) 4SHAH Nillai Drupad AST270 Licensed Representative (Provisional Licence) 1SHARMA Ashish ASW394 Licensed Representative (Provisional Licence) 1SON Yong Koo ARD485 Licensed Representative (Provisional Licence) 1SOON Dominic Chee Hoong ASU503 Licensed Representative (Provisional Licence) 4SPENSLEY Oliver Giles ASW652 Licensed Representative (Provisional Licence) 1SUEN Yee Man ASS641 Licensed Representative (Provisional Licence) 4SULLIVAN James Robert ANA240 Licensed Representative (Provisional Licence) 9TAM Yiu Leung AST889 Licensed Representative (Provisional Licence) 1, 2TAN Eng Lee AST882 Licensed Representative (Provisional Licence) 1, 2TANDEAN Rika ASU349 Licensed Representative (Provisional Licence) 1, 2TANG Kit Ting ASX098 Licensed Representative (Provisional Licence) 4TANG Zhigang AGP130 Licensed Representative (Provisional Licence) 4TATTERSALL Christopher Steven ASS780 Licensed Representative (Provisional Licence) 1, 2TAU Sai Kit, Terry ARI167 Licensed Representative (Provisional Licence) 4TEO Swee Yong ASW357 Licensed Representative (Provisional Licence) 1TEO Yee Chen Shalynn ASS591 Licensed Representative (Provisional Licence) 1, 6TONG Chun Wa ASU018 Licensed Representative (Provisional Licence) 1

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 05/2009CE Name CE No. Licence Type Types of Regulated ActivityTONG Ka Wa AST276 Licensed Representative (Provisional Licence) 4TSAI Hsien Wen AST254 Licensed Representative (Provisional Licence) 1, 4TSANG Shui Fan, Winease AST273 Licensed Representative (Provisional Licence) 1, 4TSANG Tin Wai AEE403 Licensed Representative (Provisional Licence) 1TSANG Wai Ming ACE376 Licensed Representative (Provisional Licence) 1, 4TSUDA Kotaro AST683 Licensed Representative (Provisional Licence) 9VAN GULIK Robert Ken ASU202 Licensed Representative (Provisional Licence) 1, 4WALLACE Matthew Arnold ASQ136 Licensed Representative (Provisional Licence) 1, 4, 6WANG Bing Eric ASP107 Licensed Representative (Provisional Licence) 4, 9WANG Diana Ding Fang ASP322 Licensed Representative (Provisional Licence) 1, 6WANG Lan ASW638 Licensed Representative (Provisional Licence) 1, 6WANG Mai AST869 Licensed Representative (Provisional Licence) 1, 6WELCH JR David John ASW658 Licensed Representative (Provisional Licence) 1WONG Chi Cheong, Calvin ASS645 Licensed Representative (Provisional Licence) 4WONG Fung AJB474 Licensed Representative (Provisional Licence) 4WONG Jackie Kin Fung AST362 Licensed Representative (Provisional Licence) 1, 4WONG Man Kit ASW461 Licensed Representative (Provisional Licence) 1, 4WONG Ping Ting ASS429 Licensed Representative (Provisional Licence) 1, 2WONG Tsz Kwan, Linda ASU389 Licensed Representative (Provisional Licence) 4, 6, 9WONG Wai Po AST279 Licensed Representative (Provisional Licence) 4WOO Yee Ting, Patricia ARH501 Licensed Representative (Provisional Licence) 1, 4, 6WU Jing ASS431 Licensed Representative (Provisional Licence) 1, 6XIONG Zhe ASW639 Licensed Representative (Provisional Licence) 1, 6YAU Chi Kwan ASU315 Licensed Representative (Provisional Licence) 1YEUNG Chim Cheung ADL300 Licensed Representative (Provisional Licence) 1, 3YEUNG Tsz Ning, Alan AEF926 Licensed Representative (Provisional Licence) 1YEUNG Yui Tim ASW938 Licensed Representative (Provisional Licence) 4YIP Ho Yin ASU230 Licensed Representative (Provisional Licence) 4, 5, 9YIP Mei Fu ASS649 Licensed Representative (Provisional Licence) 4YOUNG Ping Yeung ARG766 Licensed Representative (Provisional Licence) 9YU Hon Man, Herman ASH712 Licensed Representative (Provisional Licence) 1, 2YUAN Jianyu ASW650 Licensed Representative (Provisional Licence) 1, 6YUEN Lai King ASU024 Licensed Representative (Provisional Licence) 1ZHANG Daquan ASW646 Licensed Representative (Provisional Licence) 1, 6ZHANG Naixin ASW653 Licensed Representative (Provisional Licence) 1, 6ZHANG Xiaogang ANC110 Licensed Representative (Provisional Licence) 4, 9

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 05/2009CE Name CE No. Licence Type Types of Regulated ActivityZHAO Yuping ASW880 Licensed Representative (Provisional Licence) 1, 2ZHENG Qin ASP724 Licensed Representative (Provisional Licence) 2ZHU Liang ASW584 Licensed Representative (Provisional Licence) 4ZIRGER Stephen Daniel ASS309 Licensed Representative (Provisional Licence) 1ANTONELLI Christopher George AQJ320 Licensed Representative (Temporary Licence) 1BOULAY Nicolas Philippe AQI395 Licensed Representative (Temporary Licence) 1CHANDER Deepak AQS277 Licensed Representative (Temporary Licence) 1FOSTER Derek Patrick Jack ARU732 Licensed Representative (Temporary Licence) 1, 4FRANKLIN Mark Richard AOO728 Licensed Representative (Temporary Licence) 1GOODY Paul Richard ASQ573 Licensed Representative (Temporary Licence) 1GOTO Yukihiro ASS287 Licensed Representative (Temporary Licence) 4GRIFFITHS Graeme Derek Victor AOA583 Licensed Representative (Temporary Licence) 4HANSEN Patrick Dwight AST134 Licensed Representative (Temporary Licence) 4HAYTHE David Otway ASW890 Licensed Representative (Temporary Licence) 1KATAYAMA Eiichi AMO855 Licensed Representative (Temporary Licence) 4KAWASAKI Kenichi ASW927 Licensed Representative (Temporary Licence) 4KIEL Christopher Howard ARF108 Licensed Representative (Temporary Licence) 1KOCOUREK Petr Milan AOM509 Licensed Representative (Temporary Licence) 1LUCAS Daniel James AST135 Licensed Representative (Temporary Licence) 4MAISONNEUVE Virginie Monique ANA059 Licensed Representative (Temporary Licence) 1MC DONNELL Joseph Michael ASW812 Licensed Representative (Temporary Licence) 1MCKENZIE William Ian Mackinnon ASY398 Licensed Representative (Temporary Licence) 1ODEN John Evans AOU898 Licensed Representative (Temporary Licence) 4TELFER Patrick ASY387 Licensed Representative (Temporary Licence) 1THONG Wai Meng Damian ANC081 Licensed Representative (Temporary Licence) 4VERMA Sanjay ASW818 Licensed Representative (Temporary Licence) 1WENZEL Michael Bruce APU308 Licensed Representative (Temporary Licence) 1

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