2 removal eng apr 2011 - Securities & Futures Commission ... · KOH Ern Ming AOA841 Licensed Representative 4, 9 KUNG Sin Man, Anne AGC223 Licensed Representative 4 KWAN Jennifer

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 04/2011CE Name CE No. Licence Type Types of Regulated ActivityAdept Capital Partners Advisers Limited ANW516 Licensed Corporation 9All Options Asia Limited ARI804 Licensed Corporation 1, 2All Options Hong Kong Limited ASC829 Licensed Corporation 1, 2Arian Securities Hong Kong Limited ATW212 Licensed Corporation 1, 2Aviva Portfolio Investment Services Limited AQH127 Licensed Corporation 1China Earthcare Capital Limited AUE103 Licensed Corporation 1, 4Citigroup Property Investors Asia Limited AAC999 Licensed Corporation 4, 9Credit Suisse Solution Partners (Hong Kong) Limited ALC490 Licensed Corporation 4, 6Merrill Lynch Futures (Hong Kong) Limited AAE786 Licensed Corporation 2Ogna Investment Limited AVI804 Licensed Corporation 9Standard Fairhouse International Limited AFT844 Licensed Corporation 4Thornton Global Wealth Management Limited AIR848 Licensed Corporation 4Cinda International FX Limited ACK349 Licensed Corporation (Deemed Licence) 3AGARWAL Anuja AKO184 Licensed Representative 1, 2, 7AHMED Syed Shaaz AWV272 Licensed Representative 1, 7AICARDI Jean-francois AUJ793 Licensed Representative 1, 2, 4ALI Samet ATR044 Licensed Representative 1ARIMITSU Ken ATI163 Licensed Representative 1BARBEZAT Alain AFP198 Licensed Representative 1, 4, 5, 9BEJCZY Tibor Karel ASY872 Licensed Representative 1, 2BELL Lynsey Jane ALU109 Licensed Representative 9BLANCHARD Alexander Peter ARU340 Licensed Representative 1, 2BON Melissa Wai Leng AOV459 Licensed Representative 1BOTTOMLEY Amanda Elizabeth ALW477 Licensed Representative 1, 4BUNN Hamish Macgregor AQL855 Licensed Representative 1, 6BUT Chok Chi, George AFZ605 Licensed Representative 4BUT Wan Ching, Margaretta AFZ210 Licensed Representative 4CANAL Lino Mario AWF523 Licensed Representative 1, 4CHAI Tak Loon AWH859 Licensed Representative 1CHAN Chi Kwong, Paul APB687 Licensed Representative 4CHAN Chi Lun ADR136 Licensed Representative 4, 6, 9CHAN Chi Wai AGV379 Licensed Representative 1, 4CHAN Chok Sun, Alfred AAH681 Licensed Representative 4CHAN Christian James ARQ002 Licensed Representative 1CHAN David Hantang ATH921 Licensed Representative 1, 6CHAN HUNG Yuk Lan AGO223 Licensed Representative 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 04/2011CE Name CE No. Licence Type Types of Regulated ActivityCHAN Hoi Chun ARP732 Licensed Representative 1, 4CHAN Hung Chim AMU236 Licensed Representative 4CHAN Kai Lin AGE889 Licensed Representative 1, 4CHAN Kai Yiu ACJ652 Licensed Representative 1, 4CHAN Kin, Kenneth AKV328 Licensed Representative 4, 5, 9CHAN Koon Tak AUW649 Licensed Representative 1CHAN Kwok Wai ALG542 Licensed Representative 1, 2, 2, 4, 5, 5CHAN LEUNG Wing Huen, Anita AGI038 Licensed Representative 4CHAN Man Wah AMK148 Licensed Representative 1, 4CHAN Man Wah, Rachel AMF266 Licensed Representative 4CHAN Oi Por AFY267 Licensed Representative 4CHAN Pui Kai AGI808 Licensed Representative 4CHAN Shek Kum, Alice AFK014 Licensed Representative 4CHAN Shuk Yee, Stephanie ARD372 Licensed Representative 1, 4CHAN Sui Ping Pink AGH153 Licensed Representative 1CHAN Sze Wing APC078 Licensed Representative 1, 2CHAN Tai Yeung AWE573 Licensed Representative 1CHAN Wai Kwan ANK283 Licensed Representative 4CHAN Wing Man AWC299 Licensed Representative 1CHAN Yat Hung ATW416 Licensed Representative 1CHAN Yuet Fung, Phyllis AHM652 Licensed Representative 4CHANG Shun Wei, Wayne AQE042 Licensed Representative 1, 2, 7, 9CHANG Wai Lun ALR718 Licensed Representative 4, 5, 9CHAU Yuk Hing, Lillian AGO476 Licensed Representative 4CHAUDHRY Wahid AUS834 Licensed Representative 1, 2CHEN Chien Hua AQX482 Licensed Representative 4, 9CHEN Ken An ANX752 Licensed Representative 4CHEN Pei-Chun ARG671 Licensed Representative 1, 2, 4CHEN Peter Kwan Da ATO542 Licensed Representative 1, 6CHEN Zi Mu ALA254 Licensed Representative 9CHENG Hei Naat ARO882 Licensed Representative 1CHENG Kwok Shing ANJ717 Licensed Representative 4CHENG Oi Wah ACY867 Licensed Representative 1CHENG Shih-jen AMQ717 Licensed Representative 1, 2, 4, 5CHENG Siu Wa AOV295 Licensed Representative 1, 4, 6CHENG Ying Kwong, Randy ALN993 Licensed Representative 1

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 04/2011CE Name CE No. Licence Type Types of Regulated ActivityCHENG Yuen Man AGE898 Licensed Representative 4CHEONG Kin ACP792 Licensed Representative 1, 2, 5CHEUNG Chin Wai, Kevin AUZ298 Licensed Representative 4CHEUNG HSIA Bessie AEM881 Licensed Representative 4CHEUNG Hau Tsan, David AVU719 Licensed Representative 1CHEUNG Hei Yi, Hades ANQ223 Licensed Representative 4CHEUNG Hoi Suen ATD688 Licensed Representative 1, 2CHEUNG Kin Sang ARO503 Licensed Representative 1, 3, 4CHEUNG Kin Yan ALD619 Licensed Representative 1, 4, 9CHEUNG Lai Fong ARP127 Licensed Representative 1, 4CHEUNG Lan Choi, Janet ANP284 Licensed Representative 4CHEUNG Nga Ki ATC985 Licensed Representative 4CHEUNG Sau Fun ANI912 Licensed Representative 4CHEUNG Shuk Fan AFY256 Licensed Representative 4CHEUNG Shuk Yi, Clarin AGO469 Licensed Representative 4CHEUNG Wai Kwok ANS088 Licensed Representative 1, 4CHEUNG Wai Ying AEN774 Licensed Representative 1CHEUNG Wing Han, Florence ALZ278 Licensed Representative 6CHEUNG Wing Kwan AQM197 Licensed Representative 1CHEUNG Yin Hei ASL637 Licensed Representative 1, 2, 3CHEUNG Yuk Ha, Annabella ADA744 Licensed Representative 1, 2, 5CHEUNG Yuk Lam AUE967 Licensed Representative 1CHIN Sydney Chung Hin ANK516 Licensed Representative 1CHING Kam Lun AWK240 Licensed Representative 1, 4CHIU Hon Wah ABP616 Licensed Representative 1, 2, 5, 7, 9CHIU Man Fei ARQ935 Licensed Representative 4CHIU Sai Lun AUX102 Licensed Representative 1CHIU Sau King AGN984 Licensed Representative 4CHO Hyun Kyung ARJ829 Licensed Representative 1, 2CHOI Chi Kin, Calvin AMP538 Licensed Representative 6CHOI Ho Chung, Cyril AML629 Licensed Representative 1, 2CHONG Chun Wing AON981 Licensed Representative 1, 2, 4CHOR Kwok Kwong AQA631 Licensed Representative 4CHOW Anthony Chi Hang APN837 Licensed Representative 1, 2, 7CHOW Ching Yeung, Nelson AAJ582 Licensed Representative 1, 4CHOW Chun Kit ALI715 Licensed Representative 9

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 04/2011CE Name CE No. Licence Type Types of Regulated ActivityCHOW Kai Kei ATY743 Licensed Representative 1, 2CHU Sik Chee APQ395 Licensed Representative 1CHU Wee Chuen AGO323 Licensed Representative 4CHUI Kai Pui, Monny ABP721 Licensed Representative 1, 4CLAY IV William Thomas AFW139 Licensed Representative 1, 4, 6CONDE Ma. Cristina Menez AVV761 Licensed Representative 1DASWANEY Haresh Gordon AGI324 Licensed Representative 4DE SAINT-EXUPERY Jinus APV583 Licensed Representative 9DING Hiu Ying, Crystal AGF289 Licensed Representative 4DOWNER Michael David Leonard ADI094 Licensed Representative 1, 4DUAN Aimin APY939 Licensed Representative 1FICHEUX Veronique Marcelle ACC804 Licensed Representative 4FONG Chin Yi, Tansy AUZ346 Licensed Representative 1, 2FU Yun Sun, Michael AGQ619 Licensed Representative 4GAO Meng AWK830 Licensed Representative 4, 9GIBSON James David Almond AUM716 Licensed Representative 1, 4GOPALAKRISHNAN Sreekumar AVT380 Licensed Representative 1, 6GUAN Le APG916 Licensed Representative 1, 4, 6HA Chun Kit ALY336 Licensed Representative 1, 2, 3HAN Bok Hee ASL547 Licensed Representative 1, 4HAN Bruce Wook ACO279 Licensed Representative 1, 2HART William ANR266 Licensed Representative 1HAYASHIHARA Hideki APW213 Licensed Representative 1, 4, 6HO Cheuk Kwun ALL185 Licensed Representative 4HO Chi Pang ARP396 Licensed Representative 1, 4HO Ka Ho Alvin ARG944 Licensed Representative 4HO Kit Yee APY320 Licensed Representative 1, 2HO Mei Lok AMY548 Licensed Representative 1, 4HO Ming Kai AVT080 Licensed Representative 1HO Yat Tai, Florence AGC204 Licensed Representative 4HODGSON Jonathan Roy ADB785 Licensed Representative 1, 2, 7HOGAN George Timothy AQA108 Licensed Representative 4HONG Chien Han ALY616 Licensed Representative 4HSU Yi-Ju APK835 Licensed Representative 1, 4, 9HU Xiaobing APQ500 Licensed Representative 1HUI Ka Chun AVB836 Licensed Representative 1

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 04/2011CE Name CE No. Licence Type Types of Regulated ActivityHUI Man Yee ANP989 Licensed Representative 4HUI Yuen Ho AOS077 Licensed Representative 1HUNG Kei Fung ATX630 Licensed Representative 1, 2HUNG Kin Houw, Alvin ASM440 Licensed Representative 4, 9HUYNH Armand ALG109 Licensed Representative 1, 2IANNONE Angelo Gerald AQE834 Licensed Representative 1, 2JAYARAM Vinay Jaygopal ALO566 Licensed Representative 1, 6JIA YuanLing AVY038 Licensed Representative 1KAM Wai Ming ARI519 Licensed Representative 1, 4KAY Chi Wing AGM911 Licensed Representative 4KEI Lan Chan, Janet ADD604 Licensed Representative 4KHOO Min Koon AIC489 Licensed Representative 1, 2KIANG Li Chin, Grace ARJ145 Licensed Representative 4KIM Hyun Taek AQE046 Licensed Representative 1, 4, 9KIM Sharon ALI349 Licensed Representative 1, 2, 4, 9KO Kit, Scarlett AFR179 Licensed Representative 1, 4, 6KOH Ern Ming AOA841 Licensed Representative 4, 9KUNG Sin Man, Anne AGC223 Licensed Representative 4KWAN Jennifer Yin Ping AGB992 Licensed Representative 4, 5, 9KWO Yeuk Sze, Anita AOO821 Licensed Representative 1, 2KWOK Cheuk Wah, Stephen AFM405 Licensed Representative 4KWOK Chun Chung ANK772 Licensed Representative 4KWOK Siu Wai APH017 Licensed Representative 1, 4KWOK Wai Yu, Iris AGO237 Licensed Representative 4KWOK Wing Man, William AEM734 Licensed Representative 4KWONG Man Yee, Frances AGO614 Licensed Representative 4LAI Shu Sum ATN723 Licensed Representative 1, 2, 9LAI Wai Chung ADV179 Licensed Representative 1, 5LAI Yi Ling APA393 Licensed Representative 1, 4LAM Alberta Kit Yee AOV837 Licensed Representative 1, 4LAM Cheuk Yan AUH942 Licensed Representative 4LAM Hok Leung AVV717 Licensed Representative 1, 4LAM Ka Hang APL883 Licensed Representative 1LAM Po Ching AKP804 Licensed Representative 1, 4, 9LAM Pui Yiu, Sandy AER305 Licensed Representative 1LAM Sau Yi AGP830 Licensed Representative 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 04/2011CE Name CE No. Licence Type Types of Regulated ActivityLAM Sheung Lai APR414 Licensed Representative 1, 2LAM Siu Chun AGP749 Licensed Representative 4LAM Wai Kin AQD594 Licensed Representative 1LAM Wai Ying, Teresa APC505 Licensed Representative 1LAM Yik Yin, Evanmax AHF488 Licensed Representative 1LAM Yuk Ching AFW648 Licensed Representative 4LAM Yun Tak AVU833 Licensed Representative 1, 2LANG Tao Yih, Arthur AMS316 Licensed Representative 1, 6LAU Cheung Hing, Michael AGE891 Licensed Representative 4LAU Chi Wa AGC245 Licensed Representative 4LAU Chuen Yu AMM426 Licensed Representative 4LAU Kwok Hung, Eric AOG200 Licensed Representative 1, 4, 4LAU Shiu Lon AGO153 Licensed Representative 4LAU Tik Sze AWS532 Licensed Representative 1LAU Wai Shing ASD134 Licensed Representative 1LAU Yat Nga AGO515 Licensed Representative 4LAU Yee Man APA404 Licensed Representative 1, 4, 7, 9LAUR Yuh-Weei AIR886 Licensed Representative 1LAURENT-BELLUE Edouard Marie Pierre AWR814 Licensed Representative 1, 2LAW Ho Ben, Herbert ATS495 Licensed Representative 1, 4LAW Siu Wing AQC869 Licensed Representative 3LEDGER Timothy John AQQ606 Licensed Representative 4LEE Chang Ho ASL550 Licensed Representative 1, 4LEE Chun Wai AMK225 Licensed Representative 4LEE Chun Yee AGO375 Licensed Representative 4LEE Hyun Woo ANH636 Licensed Representative 1, 4, 6, 6LEE Jackie Kai Yat AWD626 Licensed Representative 4LEE Jong Hak AOH583 Licensed Representative 4, 9LEE Ju-hae APP105 Licensed Representative 1, 4LEE Kern AQG465 Licensed Representative 1, 4LEE Man Kam AMJ899 Licensed Representative 4LEE Ping Tak AVO465 Licensed Representative 1, 2, 4LEE Pun Wah AKY773 Licensed Representative 1, 2LEE Sang Joon AVQ789 Licensed Representative 1, 4, 6LEE Wai Keung, Sam AAE938 Licensed Representative 1, 2LEE Yan Ki AOV197 Licensed Representative 1, 6

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 04/2011CE Name CE No. Licence Type Types of Regulated ActivityLEE Yin Ping AND558 Licensed Representative 4LEE Yuk Kuen AGL365 Licensed Representative 1, 4LEEDS Andrew John AOV724 Licensed Representative 1, 2LEI Chan Seng AOB895 Licensed Representative 1, 2LEMAIRE-SICRE Francois Charles B. ARQ008 Licensed Representative 1LEUNG Chi Keung AOC945 Licensed Representative 1LEUNG Chui Chui AGC979 Licensed Representative 1LEUNG Chung Chi ACK500 Licensed Representative 3LEUNG Cici ALW472 Licensed Representative 4, 9LEUNG Fiona Man Yee APO627 Licensed Representative 4LEUNG Ho Pong, Ronald AGN975 Licensed Representative 1, 6LEUNG Hoi Yee, Donna AFY245 Licensed Representative 4LEUNG Man Pun AMK456 Licensed Representative 1, 4LEUNG Man Yee AGP891 Licensed Representative 4LEUNG Men Ching AUV725 Licensed Representative 9LEUNG On Ki, Angel APR262 Licensed Representative 4LEUNG Shiu Yip AGF042 Licensed Representative 4LEUNG Wai Chi Gloria ARE180 Licensed Representative 2LEUNG Wing Keung ANN152 Licensed Representative 4LEUNG Yee Sik, Grace AGO689 Licensed Representative 4LEWCHALERMWONG Sumetha ARP050 Licensed Representative 4, 9LI Chun Chung AAF006 Licensed Representative 1LI Mo Chuen AMP226 Licensed Representative 1, 2LI Yin Mei AGI133 Licensed Representative 4LIAO Juan AQD576 Licensed Representative 1LIDSTONE Mark John AOS066 Licensed Representative 1, 4LIM Chui Yeng, Andrea ARJ657 Licensed Representative 1, 2LIN Hsiu-ling AOW813 Licensed Representative 1LIN Hsuan Liang AKJ183 Licensed Representative 1, 4LIN Juan ATI415 Licensed Representative 1, 4LINSCHOTEN Jean-Paul AGT475 Licensed Representative 1, 2, 4, 5LIST Wendy Gaye APL829 Licensed Representative 4LIU Jing AUK370 Licensed Representative 1, 4LO Kam Kong, Anthony ACT021 Licensed Representative 1LO Kin Cheung, Kenneth ARQ678 Licensed Representative 4LO Pui On ARK442 Licensed Representative 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 04/2011CE Name CE No. Licence Type Types of Regulated ActivityLU Binghui AMI560 Licensed Representative 1, 6LUI Kwong Kee AFK924 Licensed Representative 4LUI Martin Wing Kei AOH219 Licensed Representative 1LUK Anna AGO561 Licensed Representative 4LUK Hoi Kin ATP130 Licensed Representative 1, 2LUK Wai Kei, Vicky ALH855 Licensed Representative 1, 9, 9LUK Ying Choi AGI327 Licensed Representative 4MA Alice AFN546 Licensed Representative 1MA Po Chi, Benjamin AKX570 Licensed Representative 4MA Richard Deh-En ARM322 Licensed Representative 1MAK Ka Yan, Jennifer AUW603 Licensed Representative 1, 2MAN Wai Choi, Kieran AGP118 Licensed Representative 1MELDRUM Stuart Craig AOR310 Licensed Representative 1, 4, 9MISHRA Vineet ALY547 Licensed Representative 6MO Mei Ling AMM409 Licensed Representative 1, 4MOK Ka Ki AUS554 Licensed Representative 1, 2MOK Lai Yung, Candy AGE919 Licensed Representative 4MOK Pui Yin, Terry AMU982 Licensed Representative 4NEER Brian Grant AND896 Licensed Representative 1NG Chu Man ALH831 Licensed Representative 1NG Hung Wai, Tony AVC722 Licensed Representative 1NG Mei Yung, Emy ADT675 Licensed Representative 1NG Ping Chi AGI297 Licensed Representative 4NG Sum Wah, Joanne APR072 Licensed Representative 4NG Wai Ting, Wendy AMS675 Licensed Representative 4NG Whye Keong ARG597 Licensed Representative 1, 6NGAN Che Fung, Dennis ANT839 Licensed Representative 1NGUYEN Kim Thi ANA971 Licensed Representative 1, 4, 6, 9NIE Sze Man, Valerie Maria AEI262 Licensed Representative 1, 2OKA Taikan ARU690 Licensed Representative 1, 2OLONAN Minda Claver Aganan AOX765 Licensed Representative 4ON Chi Ki AGF183 Licensed Representative 1OTTERY Gavin John ALS347 Licensed Representative 1, 7PADUANO Rocco AMK429 Licensed Representative 1, 2, 7, 9PANG Man Hin ASO298 Licensed Representative 6PANG Wing Shan AVT491 Licensed Representative 1

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 04/2011CE Name CE No. Licence Type Types of Regulated ActivityPARK Ansik APL004 Licensed Representative 1, 2ROBERTS David Edward De Mestre ANT966 Licensed Representative 1, 6RYU Tantan AQQ257 Licensed Representative 1SAKAGUCHI Haruhiko ARM332 Licensed Representative 1, 2, 7SCHIFFMAN Glenn Howard APD926 Licensed Representative 4, 6SCHMID Michael AVY685 Licensed Representative 1, 4SENER Fatih AWA028 Licensed Representative 1, 2SHIH Pui Ying AJL962 Licensed Representative 1, 4, 9SHING Chee Kau AFF104 Licensed Representative 4SHIU Hing Kuen, Simon ACG292 Licensed Representative 4SIN Ka Ying AOD822 Licensed Representative 1, 2SIU Chung Sum, Samuel ARG336 Licensed Representative 1, 4, 9SO Mei Ching AGQ611 Licensed Representative 4SO Pik Shoon, Caroline AFR007 Licensed Representative 4SO Wai Pang AAB420 Licensed Representative 1STOIBER Christian ATB828 Licensed Representative 1, 6SUM Kin Tung AMJ926 Licensed Representative 4SUNG Bun Wah AIR859 Licensed Representative 1TAI Wai See, Germaine AMC821 Licensed Representative 4, 9TAKEUCHI Tomonori APG738 Licensed Representative 1, 2TAN Dao Shen AVA554 Licensed Representative 9TAN Hsien Jun, Brian ALY372 Licensed Representative 1TAN Yong Hui, Lenny ASE576 Licensed Representative 1, 4TANG Kim Chung APS509 Licensed Representative 1, 2TANIMITSU Hideya ATM476 Licensed Representative 1TAO Nien-chun ARV068 Licensed Representative 1TEOH Chin Wei ARP541 Licensed Representative 6THUN-HOHENSTEIN Juan Christian APL009 Licensed Representative 1, 4, 6TO Man Hin AFS643 Licensed Representative 3TO Mui Yuk AAB818 Licensed Representative 1TO See Wai AFK974 Licensed Representative 4TONG Kathryn Yao ANV078 Licensed Representative 1, 6TONG Sui Lun, Franco ABG092 Licensed Representative 1, 2TONG Wai Chun, Winnie AFP163 Licensed Representative 4TSAI Cheng-Pei ASX956 Licensed Representative 1, 4TSANG Chi Chiu APB632 Licensed Representative 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 04/2011CE Name CE No. Licence Type Types of Regulated ActivityTSANG Hoi Ching, Cindy ASE036 Licensed Representative 4TSANG Hoi Yip ARI810 Licensed Representative 1, 2TSANG Wai Tak, Victor ACP649 Licensed Representative 1TSANG Wing Yin AQW404 Licensed Representative 3TSE Ching Man AUV440 Licensed Representative 1TSE Mei Yi, Joyce APJ451 Licensed Representative 1, 4, 6TSENG An Cheng AQX426 Licensed Representative 4, 9TSOI Yin Fai AVJ087 Licensed Representative 1TSUI Kam Hee ARO573 Licensed Representative 1TSUI Kam Wah ALF322 Licensed Representative 1, 4TSUI Yi Har ALG499 Licensed Representative 1, 2VAN DIJK Arthur Cornelis Alexander ALR730 Licensed Representative 1, 6WAN Ka Cheong ABH093 Licensed Representative 1, 2WAN Yun Chuan APP697 Licensed Representative 1, 6WANG Cheng APD923 Licensed Representative 1WANG Feng ARR583 Licensed Representative 1WANG John Hong-Chiun ADU310 Licensed Representative 1, 2WANG Mimi Christine AOO269 Licensed Representative 1, 7WANG Min-di AOW814 Licensed Representative 1, 2WANG Nien Lin AQX470 Licensed Representative 4, 9WANG Po Yuk ATW993 Licensed Representative 1WANG Ziyuan ARA154 Licensed Representative 1, 4, 9WEI Xiaoshuang ASC765 Licensed Representative 4WOLF Matthias AVZ099 Licensed Representative 1WONG Ah Hung AFV214 Licensed Representative 4WONG Cheuk Lam APV085 Licensed Representative 1WONG Chi Leung ALB208 Licensed Representative 4WONG Chi Lok, Cedric APF151 Licensed Representative 1, 3, 4WONG Chi Yu, Michelle ANM091 Licensed Representative 1, 6WONG Dick Hong APR439 Licensed Representative 4WONG Hiu Man AMJ982 Licensed Representative 1, 4, 4, 9, 9WONG How King, Alistair AOD998 Licensed Representative 1, 4, 9WONG Hung Piu ACL704 Licensed Representative 1, 3WONG Ka Chung AGT048 Licensed Representative 1, 4WONG Ka Chung ATC923 Licensed Representative 1WONG Kim Cheung, Pius AGE447 Licensed Representative 1

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 04/2011CE Name CE No. Licence Type Types of Regulated ActivityWONG Kim Man, Winnie AGC256 Licensed Representative 4WONG King Kwok, Raymond ABE485 Licensed Representative 1, 4, 9WONG Li Ping ASE829 Licensed Representative 1, 4WONG Man Kin AUG882 Licensed Representative 1, 2WONG Miu Sheung, Mavis AGN844 Licensed Representative 4WONG Nga Leung AMC619 Licensed Representative 1, 6, 9WONG Shun Kin AFL880 Licensed Representative 4WONG So Lin ANS077 Licensed Representative 4WONG Steven Siu Kee AGC687 Licensed Representative 4, 6WONG Sui Ki, Anthony AIL109 Licensed Representative 4, 9WONG Sze Chai AUQ666 Licensed Representative 1WONG Sze Man AOR611 Licensed Representative 1, 4, 9WONG Sze Ming, Simon ABQ531 Licensed Representative 4, 9WONG Tak Wai, Bernice APH172 Licensed Representative 1WONG Wing Han, Judy AMO503 Licensed Representative 4WONG Yuet Ching AFZ152 Licensed Representative 4WONG Yuet Mui, Amy AGO068 Licensed Representative 1, 4WONG Yuk Lin, Estella AER931 Licensed Representative 1WONG Yuk Yi, Suki AQL404 Licensed Representative 1WOO Ka On AER331 Licensed Representative 1, 4WOO Kam Hung ANN727 Licensed Representative 4WOO Wei Si'eu ARE548 Licensed Representative 9WU Chung Wai, Danny AGE900 Licensed Representative 4WU Jennifer Qian AUR749 Licensed Representative 6WU Kun-Lung AQY756 Licensed Representative 1, 4WU Li-ping AVI651 Licensed Representative 1WU Siu Ling, Noel ADR966 Licensed Representative 1, 4WU Ut Man AUW723 Licensed Representative 1WU Xiao AOS437 Licensed Representative 4, 9XIE Cuin Ling AGP876 Licensed Representative 4XU Bing ARW766 Licensed Representative 9XU Jun ASZ597 Licensed Representative 4XU Lin AVZ985 Licensed Representative 9XU Wen APO463 Licensed Representative 4, 5, 9YANG Bohan AWH555 Licensed Representative 1, 4YANG Feilong AQJ980 Licensed Representative 9

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 04/2011CE Name CE No. Licence Type Types of Regulated ActivityYAO Jun APJ554 Licensed Representative 1, 2YAU Lawrence APR383 Licensed Representative 1YEUNG Chi Man AVI546 Licensed Representative 1YEUNG Hiu Tung ARD429 Licensed Representative 1, 2, 3YEUNG Joanne APR084 Licensed Representative 4YEUNG Pok Man, Peason AGW988 Licensed Representative 1, 2, 4, 9YI Fan APG287 Licensed Representative 1YIM Ka Wang AOB160 Licensed Representative 1, 3, 4YIM Wan Choi AQS308 Licensed Representative 4YIP Chi Ho APC509 Licensed Representative 1YIP May Ling, Vivian AQI874 Licensed Representative 9YIP Tsun Wah Alvan ATO776 Licensed Representative 1, 4YIU Ching Lan AMJ923 Licensed Representative 4YIU Yam Shun, Patrick APR094 Licensed Representative 4YIU Ying Ying, Mina ASH675 Licensed Representative 1, 2YOO Hyun Chul ATJ080 Licensed Representative 4, 9YU Choi Yan AKP037 Licensed Representative 4YU Man Lok AGD592 Licensed Representative 1YU Pui Sheung, Tinny AGN932 Licensed Representative 4YUEN Cheuk Chung AJG896 Licensed Representative 5, 9YUEN Chi Kong AGO098 Licensed Representative 4YUEN Chung Ping AUW576 Licensed Representative 1, 4YUEN King Ping AOE308 Licensed Representative 1, 2, 4, 9ZHANG Jianwen AOR293 Licensed Representative 6ZHENG Chengzhen ASK158 Licensed Representative 1, 4, 6ZHOU Lei AUV419 Licensed Representative 6BORMANN Frank AOP021 Licensed Representative - Responsible Officer 1BOUSSARD Emmanuel Bertrand Marie AUW793 Licensed Representative - Responsible Officer 1, 9CHAN Hing Wah AET272 Licensed Representative - Responsible Officer 1, 2, 4, 9CHOI Wai King ACL677 Licensed Representative - Responsible Officer 4, 9DALTON Andrew Searle AAF149 Licensed Representative - Responsible Officer 9FICHEUX Veronique Marcelle ACC804 Licensed Representative - Responsible Officer 9GARWAY-TEMPLEMAN Hugh Garway ACO160 Licensed Representative - Responsible Officer 4, 9HU Hau Ping AAH805 Licensed Representative - Responsible Officer 1KANG Wing Hong, Jansen ACD417 Licensed Representative - Responsible Officer 9KEI Chi Wing, Brian ALV081 Licensed Representative - Responsible Officer 1

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 04/2011CE Name CE No. Licence Type Types of Regulated ActivityLAM Yik Yin, Evanmax AHF488 Licensed Representative - Responsible Officer 3LAMBERT Robin Neill AAD879 Licensed Representative - Responsible Officer 4LIU Qian ATS617 Licensed Representative - Responsible Officer 1LU Gloria Yi ADA784 Licensed Representative - Responsible Officer 4, 9MAN Wai Kong AQK093 Licensed Representative - Responsible Officer 9MONTRUCCHIO Riccardo Giuseppe ATW214 Licensed Representative - Responsible Officer 1, 2MUELLER Thomas Andrew APA401 Licensed Representative - Responsible Officer 2OHARA Atsuji ATC549 Licensed Representative - Responsible Officer 4PARK Hyun Kuk AGH368 Licensed Representative - Responsible Officer 1, 4, 6PLOWMAN Boyd Rex AVC906 Licensed Representative - Responsible Officer 9SIONE Nicolas APH555 Licensed Representative - Responsible Officer 1, 4TANG Hamilton Ty ABR278 Licensed Representative - Responsible Officer 4, 9THAM Seng Yum, Ronald ALF563 Licensed Representative - Responsible Officer 1, 6TSE Nissim ACT176 Licensed Representative - Responsible Officer 4, 5, 9TZUNG Chien-cheng APB699 Licensed Representative - Responsible Officer 1, 4, 9VERGARA Robert Garcia AAO970 Licensed Representative - Responsible Officer 4, 9WONG Chak Wai ACN129 Licensed Representative - Responsible Officer 1ALBERT Gavin Lewis AWY702 Licensed Representative (Provisional Licence) 9ALLISON Philip James AWX444 Licensed Representative (Provisional Licence) 1AU-YEUNG Pak Leung APN585 Licensed Representative (Provisional Licence) 1, 2BAGNALL Andrew Edward James ADB034 Licensed Representative (Provisional Licence) 4BALLARD Charles Jean Raymond AWY937 Licensed Representative (Provisional Licence) 6BOCQUET Paul Gabriel Michel AWZ402 Licensed Representative (Provisional Licence) 1, 2, 7BOND Phillip Matthew AWZ057 Licensed Representative (Provisional Licence) 1, 4BRICK Freddy Saul AXB050 Licensed Representative (Provisional Licence) 4, 5, 9BRUNJES Mark Nicholas AVJ281 Licensed Representative (Provisional Licence) 1, 2, 4, 5BURKE James Thompson AWZ262 Licensed Representative (Provisional Licence) 1BYERS Martin John AXA009 Licensed Representative (Provisional Licence) 4CAI Tingting AWZ416 Licensed Representative (Provisional Licence) 1, 6CASATI Andrea AMW488 Licensed Representative (Provisional Licence) 1, 2, 4, 5CEVHER Tuncay AWZ578 Licensed Representative (Provisional Licence) 9CHAN Cheung Kin AWX844 Licensed Representative (Provisional Licence) 1CHAN Chuek Wai, Christopher AWZ427 Licensed Representative (Provisional Licence) 4CHAN Hiu Ying, Claudia AWY984 Licensed Representative (Provisional Licence) 1, 6CHAN Hon Man, Hermione AWV258 Licensed Representative (Provisional Licence) 1, 4CHAN Kong Yu AXB502 Licensed Representative (Provisional Licence) 1

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 04/2011CE Name CE No. Licence Type Types of Regulated ActivityCHAN Kwok Kin AWZ078 Licensed Representative (Provisional Licence) 1, 3CHAN Kwun Hou, Charles AWX856 Licensed Representative (Provisional Licence) 1, 2CHAN Mei Tak ABQ011 Licensed Representative (Provisional Licence) 1, 2, 4, 9CHAN Nga Shan AWZ604 Licensed Representative (Provisional Licence) 4CHAN Xiang Yi AWX827 Licensed Representative (Provisional Licence) 1CHAN Ying Yu Leanna AXC369 Licensed Representative (Provisional Licence) 4, 9CHAN Yuen To AXA208 Licensed Representative (Provisional Licence) 1CHANG Amanda Man Yee AXB833 Licensed Representative (Provisional Licence) 1CHANG Hsien-Chun APO868 Licensed Representative (Provisional Licence) 1CHANG Joseph Chau ART436 Licensed Representative (Provisional Licence) 6CHAU Sin Man APJ517 Licensed Representative (Provisional Licence) 1CHEN Chen AWZ084 Licensed Representative (Provisional Licence) 6CHEN Crystal Ying AXB374 Licensed Representative (Provisional Licence) 4, 6CHEN Hung Ming AWX208 Licensed Representative (Provisional Licence) 1, 2CHEN Lin AWZ157 Licensed Representative (Provisional Licence) 1CHEN Shujin AXB928 Licensed Representative (Provisional Licence) 4CHEN Wen Hwa AXB946 Licensed Representative (Provisional Licence) 1CHEN Wenzhi AWP610 Licensed Representative (Provisional Licence) 9CHEN Yali AWY297 Licensed Representative (Provisional Licence) 6CHEN Yi AWY298 Licensed Representative (Provisional Licence) 6CHEN Yi-Lun AXA159 Licensed Representative (Provisional Licence) 1, 2CHEN Yi-yin AXB314 Licensed Representative (Provisional Licence) 1, 6CHEN Zhengjie AWZ022 Licensed Representative (Provisional Licence) 1CHENG Anthony Roger AXC419 Licensed Representative (Provisional Licence) 1, 2CHENG Ka Wing AIB365 Licensed Representative (Provisional Licence) 4CHENG Sze Yuen AWX242 Licensed Representative (Provisional Licence) 4, 9CHENG Ye AXB362 Licensed Representative (Provisional Licence) 4CHENG Yuen Tung AXC640 Licensed Representative (Provisional Licence) 1, 4, 9CHEUNG Chee Him, Vincent AWV265 Licensed Representative (Provisional Licence) 1, 4CHEUNG Ching Bo AWZ179 Licensed Representative (Provisional Licence) 1, 4CHEUNG Chuen Ki, Jacqueline AWX866 Licensed Representative (Provisional Licence) 1, 2CHEUNG Hai Man, Flora AWY934 Licensed Representative (Provisional Licence) 1, 2CHEUNG Wai Kwan AXA397 Licensed Representative (Provisional Licence) 1CHEUNG Yik Man AWZ174 Licensed Representative (Provisional Licence) 1, 4, 5, 9CHIN Johnny AXC531 Licensed Representative (Provisional Licence) 1, 2, 7CHO Wan AWX765 Licensed Representative (Provisional Licence) 1, 2

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 04/2011CE Name CE No. Licence Type Types of Regulated ActivityCHOI Cary AXA029 Licensed Representative (Provisional Licence) 9CHOI Wai Man AJD238 Licensed Representative (Provisional Licence) 1CHOW Chi Chung AWZ197 Licensed Representative (Provisional Licence) 1, 4CHUNG Kwok Wai, Kevin Jone AWX598 Licensed Representative (Provisional Licence) 2CHUNG Wai Shing AFP827 Licensed Representative (Provisional Licence) 9CORBISIERO Anthony AWZ572 Licensed Representative (Provisional Licence) 9COX Carrie Bigelow ADR668 Licensed Representative (Provisional Licence) 1CUI Yan Yan AXB643 Licensed Representative (Provisional Licence) 4, 9CUNNINGHAM Nicholas James AWY119 Licensed Representative (Provisional Licence) 4DASTUR Laila Kersy AWX496 Licensed Representative (Provisional Licence) 1DAVIS Bernard Steven AWZ387 Licensed Representative (Provisional Licence) 1DENUIT Richard AWY094 Licensed Representative (Provisional Licence) 1, 2DILLON Michael Francis AWX602 Licensed Representative (Provisional Licence) 1, 4, 9DING Ning AWY300 Licensed Representative (Provisional Licence) 6DING Yue AWT001 Licensed Representative (Provisional Licence) 1, 4DONG Fangming AXB945 Licensed Representative (Provisional Licence) 1DONNELLY Martin Charles AXB384 Licensed Representative (Provisional Licence) 1DUVALL Margret Eva AWY016 Licensed Representative (Provisional Licence) 1DWYER Brendan Patrick AWZ263 Licensed Representative (Provisional Licence) 1EBNER Bridget Ahern AWZ196 Licensed Representative (Provisional Licence) 4, 9EDWARDS Robert Willem John AWX547 Licensed Representative (Provisional Licence) 4FAN King Yip Felix AXC707 Licensed Representative (Provisional Licence) 1, 4FONG Jason Yik Kuen AWU679 Licensed Representative (Provisional Licence) 1FOONG Yuk Pei ALF464 Licensed Representative (Provisional Licence) 1, 4FUNG Kit Sing AXC105 Licensed Representative (Provisional Licence) 1GAO Shu AWQ627 Licensed Representative (Provisional Licence) 6GARDNER Andrew James AWZ776 Licensed Representative (Provisional Licence) 4GAZADZE Ekaterina AWX078 Licensed Representative (Provisional Licence) 4GERMAN Victor AWU684 Licensed Representative (Provisional Licence) 4GORAIEB Amine AWY822 Licensed Representative (Provisional Licence) 1, 2GOTOH Fumihito AXA141 Licensed Representative (Provisional Licence) 4GROVE Alexis Martin APH118 Licensed Representative (Provisional Licence) 1GUIHAN Stephen AWZ566 Licensed Representative (Provisional Licence) 9HAHN Daniel Sangwon AWZ260 Licensed Representative (Provisional Licence) 1HAINSBY Raymond Michael AWZ264 Licensed Representative (Provisional Licence) 1HALFORD Steven Thomas AWV229 Licensed Representative (Provisional Licence) 1, 2

Page 15 of 25

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 04/2011CE Name CE No. Licence Type Types of Regulated ActivityHAMADA Takayuki AXB349 Licensed Representative (Provisional Licence) 1, 4HAN Liqiao AXA298 Licensed Representative (Provisional Licence) 1, 2, 7HAZARIKA Anupom AWY734 Licensed Representative (Provisional Licence) 1, 2, 4, 5HO Shuk Man, Imellda AWY270 Licensed Representative (Provisional Licence) 1HO Steven ARB640 Licensed Representative (Provisional Licence) 9HOPSON Anthony Francis AOO457 Licensed Representative (Provisional Licence) 1, 6HSU Ching-Ching AOL311 Licensed Representative (Provisional Licence) 1HU Weiwei AWQ269 Licensed Representative (Provisional Licence) 1, 6HUANG Chenli ALG491 Licensed Representative (Provisional Licence) 6HUANG Shao Hsuan AWY449 Licensed Representative (Provisional Licence) 9HUANG Shasha AXA351 Licensed Representative (Provisional Licence) 1HUANG Yali AXB973 Licensed Representative (Provisional Licence) 1, 2HUI Jonathan Kim-Pong AJF934 Licensed Representative (Provisional Licence) 9HUI Ka Yan AXB563 Licensed Representative (Provisional Licence) 1HUI Pak Chi AQY763 Licensed Representative (Provisional Licence) 9Ho Man Yiu, Arion ALK797 Licensed Representative (Provisional Licence) 1INOUE Junichi AXA032 Licensed Representative (Provisional Licence) 1, 9INOUE Yuichiro AWX808 Licensed Representative (Provisional Licence) 1, 2IP Hon Tak AQJ001 Licensed Representative (Provisional Licence) 1, 2IVANOVA-VENTURINI Milena Petkova AWX091 Licensed Representative (Provisional Licence) 4JACKSON Dawn Michelle AXA057 Licensed Representative (Provisional Licence) 1JIANG Xiaoyan AXB297 Licensed Representative (Provisional Licence) 6JIN Jane AGP059 Licensed Representative (Provisional Licence) 1, 4, 6JOHNSON Alexander Walker AXA190 Licensed Representative (Provisional Licence) 1JOHNSON Christopher Leigh AXB478 Licensed Representative (Provisional Licence) 1, 2, 7KAM Hoi Wai AXB920 Licensed Representative (Provisional Licence) 1KAMAL Nur' Ashikin Binte AWY940 Licensed Representative (Provisional Licence) 4, 9KANG Suhgoo AXB367 Licensed Representative (Provisional Licence) 1, 4, 6KASIH Devi Arini AXC524 Licensed Representative (Provisional Licence) 1KAUFMANN Michael AWY542 Licensed Representative (Provisional Licence) 1KHALIL Joseph Wassfy AWZ558 Licensed Representative (Provisional Licence) 9KIM Aki ATM633 Licensed Representative (Provisional Licence) 1, 2KIM Chi Hyun AIY444 Licensed Representative (Provisional Licence) 1, 4KIM Jong Kuk AFC107 Licensed Representative (Provisional Licence) 1, 4KIM Jungtae AXC074 Licensed Representative (Provisional Licence) 1KIM Noah Youngsu AXB587 Licensed Representative (Provisional Licence) 1

Page 16 of 25

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 04/2011CE Name CE No. Licence Type Types of Regulated ActivityKIM Won Koo AWW839 Licensed Representative (Provisional Licence) 1KIMATRAI Shubir Kailash AWY815 Licensed Representative (Provisional Licence) 1KO Denise Chi Heng ALI388 Licensed Representative (Provisional Licence) 4, 5, 9KO Kurt C AOX350 Licensed Representative (Provisional Licence) 1, 2KONDO Kensei AWY938 Licensed Representative (Provisional Licence) 1KOO Maurice Win-chong AWZ621 Licensed Representative (Provisional Licence) 1, 4, 9KUNG Hsin Yuan AWY581 Licensed Representative (Provisional Licence) 1LAI Hoi Ki AVP642 Licensed Representative (Provisional Licence) 1, 3LAI Ka Lee AWZ075 Licensed Representative (Provisional Licence) 1LAI Man Ling AWX953 Licensed Representative (Provisional Licence) 4LAI Ming Hon, Justin AWY011 Licensed Representative (Provisional Licence) 1, 4, 6LAI Tsz Ping AWX858 Licensed Representative (Provisional Licence) 1, 2LAI Yip Wan, Ashley AWX942 Licensed Representative (Provisional Licence) 1LAM Hoi Shan AXB616 Licensed Representative (Provisional Licence) 1, 2LAM Hoi Yi AOQ879 Licensed Representative (Provisional Licence) 1, 2LAM Ka Kin AWY522 Licensed Representative (Provisional Licence) 1, 2LAM Keung ADZ888 Licensed Representative (Provisional Licence) 1, 2LAM Ling Fung AVY965 Licensed Representative (Provisional Licence) 1, 2LAM Mei Lan AXB614 Licensed Representative (Provisional Licence) 1, 2LAM Ting Wai, Anita AOE462 Licensed Representative (Provisional Licence) 1, 4, 9LAM Wai Kwong, Anthony AWZ041 Licensed Representative (Provisional Licence) 1LAM Wing Lun AXB594 Licensed Representative (Provisional Licence) 1LAU Chi Yan ARN514 Licensed Representative (Provisional Licence) 1LAU Ho Yin Joanna AXB972 Licensed Representative (Provisional Licence) 1, 2LAU James Z AXA406 Licensed Representative (Provisional Licence) 9LAU Ka Ho AXB862 Licensed Representative (Provisional Licence) 1LAU Mak Ham, John AWY104 Licensed Representative (Provisional Licence) 1LAU Wai Fung AWY989 Licensed Representative (Provisional Licence) 1LAW Kin Lok AWY230 Licensed Representative (Provisional Licence) 6LAW Margaret Man Nei AWX212 Licensed Representative (Provisional Licence) 1LAW Tsz Chung AVW686 Licensed Representative (Provisional Licence) 1, 2LEE Cheuk Hin AXB363 Licensed Representative (Provisional Licence) 1LEE Jason Kwan Ho AWW455 Licensed Representative (Provisional Licence) 1, 2LEE Jung Hoon AWZ400 Licensed Representative (Provisional Licence) 1, 2, 7LEE Man Hon John AXB797 Licensed Representative (Provisional Licence) 1LEE Sin Wa AWY556 Licensed Representative (Provisional Licence) 1

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 04/2011CE Name CE No. Licence Type Types of Regulated ActivityLEE Sze Ching AXB971 Licensed Representative (Provisional Licence) 1, 2LEE Tak Long, Felix AWX605 Licensed Representative (Provisional Licence) 1, 4, 9LEE Wai Yip AWX944 Licensed Representative (Provisional Licence) 1, 2LEE Yick Chung AEE525 Licensed Representative (Provisional Licence) 1LEE Yin Han AWX947 Licensed Representative (Provisional Licence) 1, 2LEUNG Chun Kit, Billy AWZ076 Licensed Representative (Provisional Licence) 1, 2LEUNG Kit Ling, Lydia APF366 Licensed Representative (Provisional Licence) 1, 2, 4, 5LEUNG Wai Chung AWY785 Licensed Representative (Provisional Licence) 1LEVY James Samuel AWY377 Licensed Representative (Provisional Licence) 1, 2, 4, 9LI Alexander William AWZ383 Licensed Representative (Provisional Licence) 1, 2, 7LI Hao AWZ990 Licensed Representative (Provisional Licence) 4LI Hongpeng AWT344 Licensed Representative (Provisional Licence) 4LI Huaiyu AWU869 Licensed Representative (Provisional Licence) 4, 9LI Mee Yee AWY093 Licensed Representative (Provisional Licence) 1LI Qian ARI666 Licensed Representative (Provisional Licence) 1LI Siu Sing, Nelson AAI318 Licensed Representative (Provisional Licence) 1LI Wenjing AWZ394 Licensed Representative (Provisional Licence) 1, 6LI Yuyan AWT574 Licensed Representative (Provisional Licence) 2LI Zheren AWP314 Licensed Representative (Provisional Licence) 1, 4LIAO Xufa AWX150 Licensed Representative (Provisional Licence) 1, 4LIM Yeon Sun AFJ019 Licensed Representative (Provisional Licence) 1, 4, 6LIN Qing AWS553 Licensed Representative (Provisional Licence) 1, 6LING Zhi AWY465 Licensed Representative (Provisional Licence) 1, 2LIU Haotian AWW988 Licensed Representative (Provisional Licence) 6LIU Pei-yun AWX356 Licensed Representative (Provisional Licence) 1, 4LIU Zhijing AWW251 Licensed Representative (Provisional Licence) 4LO Ka Shun AXA210 Licensed Representative (Provisional Licence) 1, 2LO Man Hei AXB870 Licensed Representative (Provisional Licence) 1, 2LOGAN Rowan Gerald AWV266 Licensed Representative (Provisional Licence) 1, 2, 4, 9LUK Ka Fat ADG929 Licensed Representative (Provisional Licence) 4, 9MA Wai Yan AWX834 Licensed Representative (Provisional Licence) 1, 2MAK Dennis John ATG738 Licensed Representative (Provisional Licence) 4MAK Ka Ho AWC175 Licensed Representative (Provisional Licence) 1MAN Derek Tak-lai AWY306 Licensed Representative (Provisional Licence) 4, 5, 9MAN Wai Sim AWY619 Licensed Representative (Provisional Licence) 1MANN Ryan Thomas AWY076 Licensed Representative (Provisional Licence) 1, 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 04/2011CE Name CE No. Licence Type Types of Regulated ActivityMATSUZAWA Ryuji AXA165 Licensed Representative (Provisional Licence) 1MCCARTHY Sean Joseph AWI446 Licensed Representative (Provisional Licence) 1, 2MCWILLIAM Paul David ATR977 Licensed Representative (Provisional Licence) 1, 4, 6MEI Xue AWY288 Licensed Representative (Provisional Licence) 1, 6MHANGO Yvonne AWX088 Licensed Representative (Provisional Licence) 4MIAO Qing AXB348 Licensed Representative (Provisional Licence) 4MILLER Christopher Patrick Leahey AUF117 Licensed Representative (Provisional Licence) 1MIYAZAKI Nami AWW845 Licensed Representative (Provisional Licence) 1, 4MO Siu Lung AWY802 Licensed Representative (Provisional Licence) 1, 2MOK Ching Yee AWZ201 Licensed Representative (Provisional Licence) 1, 2NARAYANAN Aishwarya AXC061 Licensed Representative (Provisional Licence) 1, 4NATH Nikhil ALW163 Licensed Representative (Provisional Licence) 1, 4, 6NEWBERRY Mark AWY936 Licensed Representative (Provisional Licence) 1NG Andy Sheung Yan AWY200 Licensed Representative (Provisional Licence) 1NG Chi Shing AXA202 Licensed Representative (Provisional Licence) 1NG Hon Nin AWZ070 Licensed Representative (Provisional Licence) 1, 4, 5NG Ka Chi AWZ059 Licensed Representative (Provisional Licence) 1NG Kwan Chun AXC096 Licensed Representative (Provisional Licence) 1NG Mei Ling AWZ065 Licensed Representative (Provisional Licence) 1NG Siu Wai AWX842 Licensed Representative (Provisional Licence) 1NG Yik Sing, David AFS697 Licensed Representative (Provisional Licence) 1NGAI Tin Wai AXB871 Licensed Representative (Provisional Licence) 1, 2NIE Yang AXB905 Licensed Representative (Provisional Licence) 1, 6NISHI Katsuhiro ATW712 Licensed Representative (Provisional Licence) 1, 2OEI Ting Theresa AXC534 Licensed Representative (Provisional Licence) 1, 4, 6ONG Yu Kai James AWY773 Licensed Representative (Provisional Licence) 1, 2PAN Calliea AWZ809 Licensed Representative (Provisional Licence) 1, 4, 9PAN Ran AWZ187 Licensed Representative (Provisional Licence) 1PANG Wing Hey AWZ636 Licensed Representative (Provisional Licence) 1, 4, 9PANG Ying Kit APC130 Licensed Representative (Provisional Licence) 6PARK Albert Soong Moo AXB551 Licensed Representative (Provisional Licence) 1, 4PEI Yifei AWX822 Licensed Representative (Provisional Licence) 4PODRZYCKI Marc Wladyslas Raymond AWV259 Licensed Representative (Provisional Licence) 2POON Yun Keung ABS049 Licensed Representative (Provisional Licence) 1, 2POPE Leavitt Joseph AOY694 Licensed Representative (Provisional Licence) 1, 4PRAKASAM Gopinath AXC423 Licensed Representative (Provisional Licence) 1

Page 19 of 25

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 04/2011CE Name CE No. Licence Type Types of Regulated ActivityPRYAL Michael Anthony AWZ755 Licensed Representative (Provisional Licence) 1QIANG Jing AWU229 Licensed Representative (Provisional Licence) 1, 4QIAO Zhe AXB868 Licensed Representative (Provisional Licence) 1QU Wei AWQ291 Licensed Representative (Provisional Licence) 1, 4, 6RHOW Sandra Sungwon AWZ522 Licensed Representative (Provisional Licence) 9RICHARDSON Peter George Lister AUD567 Licensed Representative (Provisional Licence) 1SANKAR Andrea Chivanee AOG304 Licensed Representative (Provisional Licence) 1SCHAEFER Florian Michael AWZ021 Licensed Representative (Provisional Licence) 1, 4SELLAROLI Philip John James AXA163 Licensed Representative (Provisional Licence) 1SENGUPTA Amita Asimkumar AWZ371 Licensed Representative (Provisional Licence) 1SETO Ka Leung AXB922 Licensed Representative (Provisional Licence) 1, 6SHAH Amish Chandrakant AUW978 Licensed Representative (Provisional Licence) 4SHAW Jensens AXA403 Licensed Representative (Provisional Licence) 1SHEN Bowen AWY018 Licensed Representative (Provisional Licence) 4SHEN Jian AWY335 Licensed Representative (Provisional Licence) 4SHI Chun Hei ARM302 Licensed Representative (Provisional Licence) 1SHI Guangyuan ANK749 Licensed Representative (Provisional Licence) 1SHU Changmeng AWZ784 Licensed Representative (Provisional Licence) 1, 6SHUM Choi Kwan AXA010 Licensed Representative (Provisional Licence) 1SINGH Kapil AWX950 Licensed Representative (Provisional Licence) 4SIU Kai Fung, Kevin AWZ524 Licensed Representative (Provisional Licence) 1, 2SMITH Matthew Bruce AWY821 Licensed Representative (Provisional Licence) 1SO Man Chung AXA205 Licensed Representative (Provisional Licence) 1SONG Li AWW362 Licensed Representative (Provisional Licence) 1, 4SONG Tony Tianyuan AWY337 Licensed Representative (Provisional Licence) 1, 2STUBER Beat AWY816 Licensed Representative (Provisional Licence) 1SUN Kit Cheung AXA194 Licensed Representative (Provisional Licence) 6TAI Benjamin Yat Ching AWX743 Licensed Representative (Provisional Licence) 4TAN Aik Chuan AXA192 Licensed Representative (Provisional Licence) 1TAN Jennette May AWX573 Licensed Representative (Provisional Licence) 1, 4TANG Fung AXA214 Licensed Representative (Provisional Licence) 6TANG Kwan Yue AOV744 Licensed Representative (Provisional Licence) 1TANG Wei AOC715 Licensed Representative (Provisional Licence) 1, 6TANG Yui Yi AWY997 Licensed Representative (Provisional Licence) 1TAO Kar Yee Queenie AVC243 Licensed Representative (Provisional Licence) 1TAWAKLEY Anish AXA036 Licensed Representative (Provisional Licence) 4

Page 20 of 25

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 04/2011CE Name CE No. Licence Type Types of Regulated ActivityTENNANT Colin Hector AWY568 Licensed Representative (Provisional Licence) 4THACKRAY Simon George AWU696 Licensed Representative (Provisional Licence) 4TIRUMALAI SUDERSHAN Sunil AWZ814 Licensed Representative (Provisional Licence) 4TOGO Tomoyuki AXC507 Licensed Representative (Provisional Licence) 4, 9TONG Ho Man AWX807 Licensed Representative (Provisional Licence) 1, 2TRAJKOV Dragan AWZ413 Licensed Representative (Provisional Licence) 4TSANG Ka Yan, Jessica AXB555 Licensed Representative (Provisional Licence) 1TSANG Pui Ching, Patricia ADM025 Licensed Representative (Provisional Licence) 1, 4TSANG Stacey Ti AXA193 Licensed Representative (Provisional Licence) 1TSANG Wai Keung AXA008 Licensed Representative (Provisional Licence) 1, 4TSANG Yan Shing AWZ617 Licensed Representative (Provisional Licence) 1TSO Yam Fan AWZ404 Licensed Representative (Provisional Licence) 4TSOI Sze Yeung AQI788 Licensed Representative (Provisional Licence) 9TSUI Kwok Leung AXA220 Licensed Representative (Provisional Licence) 4U Pou Keong AWY617 Licensed Representative (Provisional Licence) 1VIJAYARAJAN Prithvi Raj AXB459 Licensed Representative (Provisional Licence) 1, 2VIRA Hardik Chandresh AWX447 Licensed Representative (Provisional Licence) 4WALKER Matthew John AWY574 Licensed Representative (Provisional Licence) 4WALKER Richard AWY708 Licensed Representative (Provisional Licence) 1WAN Ho Kan Fionne AXA222 Licensed Representative (Provisional Licence) 1WANG Dongchen AWX611 Licensed Representative (Provisional Licence) 1, 7WANG Gengyu AWX949 Licensed Representative (Provisional Licence) 1WANG Qin AWV212 Licensed Representative (Provisional Licence) 6WANG Wei AWZ622 Licensed Representative (Provisional Licence) 4WANG Xin AWU552 Licensed Representative (Provisional Licence) 6WANG Zheng AXA416 Licensed Representative (Provisional Licence) 1, 2WEVERS Martin Robert AWX587 Licensed Representative (Provisional Licence) 9WILHELM Ronald Eugene AWZ240 Licensed Representative (Provisional Licence) 9WILKINS David James AWX540 Licensed Representative (Provisional Licence) 1WONG Chiu AXC517 Licensed Representative (Provisional Licence) 2, 5WONG Chung Kwan AWY558 Licensed Representative (Provisional Licence) 1WONG Hoi Ting Janice AXC160 Licensed Representative (Provisional Licence) 4, 9WONG Hoi Wai AXB970 Licensed Representative (Provisional Licence) 1, 2WONG Kin Wing ASF460 Licensed Representative (Provisional Licence) 1WONG King Wah, Jodie ANP439 Licensed Representative (Provisional Licence) 1WONG King Wai AXB795 Licensed Representative (Provisional Licence) 1, 2

Page 21 of 25

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 04/2011CE Name CE No. Licence Type Types of Regulated ActivityWONG Nga Lai APG257 Licensed Representative (Provisional Licence) 1, 4WONG Pak Chun AQZ536 Licensed Representative (Provisional Licence) 1WONG Tak Po Pauline AWW990 Licensed Representative (Provisional Licence) 6WONG Tsz Hong AJC318 Licensed Representative (Provisional Licence) 4WONG Wan Chun AWY068 Licensed Representative (Provisional Licence) 1WONG Yau Wing AXC090 Licensed Representative (Provisional Licence) 1, 2WONG Yu-Ling AWX854 Licensed Representative (Provisional Licence) 1WOO Chun To, Albert AWZ525 Licensed Representative (Provisional Licence) 1, 2WOOL Kyle Michael AWV269 Licensed Representative (Provisional Licence) 1WU Chia Hui AWZ064 Licensed Representative (Provisional Licence) 1WU Di AWR518 Licensed Representative (Provisional Licence) 9WU Lan AXC526 Licensed Representative (Provisional Licence) 1, 4WU Yunpeng AMX486 Licensed Representative (Provisional Licence) 1, 4WU Zhenrong AXB799 Licensed Representative (Provisional Licence) 1, 2, 7WU Zhifang AMH574 Licensed Representative (Provisional Licence) 4WUN Po Yan, Daisy AXB321 Licensed Representative (Provisional Licence) 1XIA Nan AQL118 Licensed Representative (Provisional Licence) 1, 2XIE Shuying AWX899 Licensed Representative (Provisional Licence) 1, 2, 4, 5XU Jing AWX946 Licensed Representative (Provisional Licence) 6XU Jingfan AWZ618 Licensed Representative (Provisional Licence) 4XU Yingzhi AWZ415 Licensed Representative (Provisional Licence) 6XUE Yuning AWW250 Licensed Representative (Provisional Licence) 4YAN Fan AWU555 Licensed Representative (Provisional Licence) 4YANG Fan AWY077 Licensed Representative (Provisional Licence) 4, 6YANG Geng AWW234 Licensed Representative (Provisional Licence) 4YANG Seok Mo AWY705 Licensed Representative (Provisional Licence) 1, 4YANG Yuwei AXA151 Licensed Representative (Provisional Licence) 1, 6YE Gen AXA161 Licensed Representative (Provisional Licence) 1, 7YEUNG Kwun Po AVW215 Licensed Representative (Provisional Licence) 1YI Jiaru AWY616 Licensed Representative (Provisional Licence) 9YING Dan Yung AOK932 Licensed Representative (Provisional Licence) 1, 4YIP Johnny Ka Chun AXB565 Licensed Representative (Provisional Licence) 1YIP Kam Kay AWZ429 Licensed Representative (Provisional Licence) 4, 9YIP Kwok Ho AWX811 Licensed Representative (Provisional Licence) 1YU Binyan AWY099 Licensed Representative (Provisional Licence) 1YU Shek Lun ATQ882 Licensed Representative (Provisional Licence) 1

Page 22 of 25

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 04/2011CE Name CE No. Licence Type Types of Regulated ActivityYU Weijiang AWW324 Licensed Representative (Provisional Licence) 1YU Zhongyuan AWZ373 Licensed Representative (Provisional Licence) 1, 4ZHANG Feiyun AWV255 Licensed Representative (Provisional Licence) 1ZHANG Liren AWZ924 Licensed Representative (Provisional Licence) 1ZHANG Lu AXB802 Licensed Representative (Provisional Licence) 1, 4ZHANG Wei AWX952 Licensed Representative (Provisional Licence) 1ZHANG Xian AWY302 Licensed Representative (Provisional Licence) 6ZHANG Xinnian AWZ901 Licensed Representative (Provisional Licence) 1, 4ZHANG Yong ANT437 Licensed Representative (Provisional Licence) 1ZHANG Yong AWZ206 Licensed Representative (Provisional Licence) 4, 9ZHAO Zhao AWY586 Licensed Representative (Provisional Licence) 1, 4, 9ZHOU Enxu AWJ278 Licensed Representative (Provisional Licence) 4ZHU Fu AWZ817 Licensed Representative (Provisional Licence) 1, 2, 7ZOU Yue AXA213 Licensed Representative (Provisional Licence) 1, 2ABDUL AZIZ Annuar Bin AUX121 Licensed Representative (Temporary Licence) 4ABDUL AZIZ Tengku Mohamed Rizal Bin AWZ438 Licensed Representative (Temporary Licence) 4AFSAH-HEDJRI Seid Esmail AWZ981 Licensed Representative (Temporary Licence) 1ALLONBY Poppy AWZ588 Licensed Representative (Temporary Licence) 1, 4ALYSON SHIN Kum Yen AWP653 Licensed Representative (Temporary Licence) 4BARNARD David AVD117 Licensed Representative (Temporary Licence) 4BOYD-CLARK Neil Gerald AWZ620 Licensed Representative (Temporary Licence) 4BROWN Alan John AMM410 Licensed Representative (Temporary Licence) 1CAFFERY Daniel Patrick AWQ790 Licensed Representative (Temporary Licence) 1, 6COOK Robert William AXC578 Licensed Representative (Temporary Licence) 4CORNELL James Campbell ART873 Licensed Representative (Temporary Licence) 1CRAWFORD James Duncan Laing AVG867 Licensed Representative (Temporary Licence) 4DE GALE William Hervey AWX197 Licensed Representative (Temporary Licence) 1, 4DOUGHERTY Kelly A AXD379 Licensed Representative (Temporary Licence) 4FIONA LEONG Wai Yen AWP652 Licensed Representative (Temporary Licence) 4FREEDMAN Joshua AWZ586 Licensed Representative (Temporary Licence) 1, 4GOH Eng Siang AUX124 Licensed Representative (Temporary Licence) 4GURNSEY Benjamin James AWZ647 Licensed Representative (Temporary Licence) 1HAGGER Stephen John Watson AUX120 Licensed Representative (Temporary Licence) 4HALL William AWZ984 Licensed Representative (Temporary Licence) 1, 2HAMZAH Amir Bin AUX125 Licensed Representative (Temporary Licence) 4HARRINGTON JR Thomas James AWA209 Licensed Representative (Temporary Licence) 1

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 04/2011CE Name CE No. Licence Type Types of Regulated ActivityHASENSTAB Michael James ASL607 Licensed Representative (Temporary Licence) 1HEAGERTY John Andrew AXA185 Licensed Representative (Temporary Licence) 4HOFFMANN-BECKING Dirk Alexander AXB230 Licensed Representative (Temporary Licence) 4HORNBACH Matthew Thomas AWZ985 Licensed Representative (Temporary Licence) 1, 2INOUE Kimiko AWZ152 Licensed Representative (Temporary Licence) 1KANG Younghwa AVM546 Licensed Representative (Temporary Licence) 1KARNER Marge AUT767 Licensed Representative (Temporary Licence) 1KIM Sungjae AWZ758 Licensed Representative (Temporary Licence) 1, 2LEE Brendan AXD882 Licensed Representative (Temporary Licence) 1LEE Gil Woo AXC629 Licensed Representative (Temporary Licence) 1LEE LI Elizabeth Shu AUV482 Licensed Representative (Temporary Licence) 1LOKE Foong Wai AUX122 Licensed Representative (Temporary Licence) 4LOW Bee Hooi AVC094 Licensed Representative (Temporary Licence) 1MACPHERSON Skye Eva AVA096 Licensed Representative (Temporary Licence) 4MARTIN Jarrod William AUX267 Licensed Representative (Temporary Licence) 4MCCULLAGH Sandra Kathleen AUX274 Licensed Representative (Temporary Licence) 4MCPHEE Peter George AWZ619 Licensed Representative (Temporary Licence) 4MEGHJI Mohammed Azim AUZ503 Licensed Representative (Temporary Licence) 1MIKOSHIBA Shiro ARG492 Licensed Representative (Temporary Licence) 4MIWA Toshiyuki AXB380 Licensed Representative (Temporary Licence) 1MOELLER Steven Edward AVR015 Licensed Representative (Temporary Licence) 1MURAYAMA Makoto AQS274 Licensed Representative (Temporary Licence) 4MURRAY Stuart David AQS705 Licensed Representative (Temporary Licence) 1NG Yong Yin AWP649 Licensed Representative (Temporary Licence) 4NICODEMO Anthony Joseph ASI178 Licensed Representative (Temporary Licence) 1, 2OTSUKA Wataru AUS196 Licensed Representative (Temporary Licence) 4PENDERT Stefan Alexander ANF152 Licensed Representative (Temporary Licence) 1PETRINA CHONG Pek Ling AWP648 Licensed Representative (Temporary Licence) 4SAKAI Hidetsugu AWQ788 Licensed Representative (Temporary Licence) 1TAN Soon Huat AUX123 Licensed Representative (Temporary Licence) 4TAN Ting Min AUX128 Licensed Representative (Temporary Licence) 4TU John AWQ075 Licensed Representative (Temporary Licence) 1, 2WARNER Joanne Kathleen AOJ444 Licensed Representative (Temporary Licence) 4WEI Wei AWZ983 Licensed Representative (Temporary Licence) 1, 2WONG Wayne Ray AWZ151 Licensed Representative (Temporary Licence) 1, 2WRIGHT Finlay Francis Harry AWL692 Licensed Representative (Temporary Licence) 1, 4, 6

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 04/2011CE Name CE No. Licence Type Types of Regulated ActivityYEOH Charles Seng Khew AWZ335 Licensed Representative (Temporary Licence) 4ZALAKET Michael J AUH396 Licensed Representative (Temporary Licence) 1

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