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

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

Jun 10, 2020

Download

Documents

dariahiddleston
Welcome message from author
This document is posted to help you gain knowledge. Please leave a comment to let me know what you think about it! Share it to your friends and learn new things together.
Transcript
Page 1: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING … · ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017 CE Name CE No. Licence Type Types of Regulated

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

Alipes Asset Management Limited BHL732 Licensed Corporation 4, 9

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

China Tian Yuan Commodities and Futures Limited BJI173 Licensed Corporation 2

CIF Asset Management Limited BJO832 Licensed Corporation 9

CIF Global Markets (HK) Limited BJT648 Licensed Corporation 3

Clarity Investment Partners Limited BJW518 Licensed Corporation 9

des Voeux Partners Limited BJI821 Licensed Corporation 4, 9

GAMA Private Asset Management Limited BJF054 Licensed Corporation 9

Harbour Corporate Finance Limited BJT698 Licensed Corporation 1, 6

HK Cai Fu Ju Asset Management Limited BJI408 Licensed Corporation 9

Long Success Capital Limited BJK337 Licensed Corporation 9

Magnum Research Limited BJU619 Licensed Corporation 1, 4

Odyssey Asset Management Limited BHX656 Licensed Corporation 4, 9

Perfect World Asset Management Limited BIQ236 Licensed Corporation 9

Pinetree Securities Limited BJQ404 Licensed Corporation 1

Po Lee Asset Management Limited BJP811 Licensed Corporation 9

Po Lee Investment Consultant Limited BJP812 Licensed Corporation 4

Positano Wealth Management Limited BJL801 Licensed Corporation 4, 9

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

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

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

Tongfang Capital Limited BJG439 Licensed Corporation 6

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

TUS Corporate Finance Limited BJL235 Licensed Corporation 1, 6

VisTreasure Asset Management Limited BJX653 Licensed Corporation 4, 9

AHMED Sophia Anna Probhati BJV457 Licensed Representative 1, 2

AHN Seh Joon AQR040 Licensed Representative 4, 9

AMIR Faridah BDJ450 Licensed Representative 1, 4

ANFILOGOFF George Alexander Nicholas BKD641 Licensed Representative 1, 2

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

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

AVENEL Gerald Marie Jean Alain BKO053 Licensed Representative 1

BAE Daniel Jaehyun BEI718 Licensed Representative 6

BAKSHI Priyanshu BJV152 Licensed Representative 4, 9

BAO JIAKUN BKM142 Licensed Representative 4, 9

BERMEJO Philippe AUH272 Licensed Representative 2

BERRY Romain Pierre BKL357 Licensed Representative 1

BLASETTI Karim BBB060 Licensed Representative 1, 4

BOEY Shihui Vanessa Estelle BJP843 Licensed Representative 1

BROWN Sebastian Gordon BCU731 Licensed Representative 1, 4

CASTELLI Marta Fernanda BKE622 Licensed Representative 10

CHAI Sijun BKN457 Licensed Representative 1, 2, 9

Page 1 of 31

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

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

CHAI Yingshan BKD933 Licensed Representative 1, 4, 6

CHAN Andrew Shingfun AMC389 Licensed Representative 10

CHAN Chi Chun John BJX758 Licensed Representative 4, 9

CHAN Chi Wan AFA249 Licensed Representative 1

CHAN Chi Wing BKY313 Licensed Representative 1, 4

CHAN Ching Ping BKR861 Licensed Representative 1, 6

CHAN Chun Fai AUR704 Licensed Representative 1, 4, 9

CHAN Chun Hong BKE867 Licensed Representative 1

CHAN Hiu Ka AZB706 Licensed Representative 1

CHAN Ho Wan BKQ461 Licensed Representative 4, 9

CHAN Hoi Yan AFZ453 Licensed Representative 1

CHAN Ka Ki AJH032 Licensed Representative 1

CHAN KAI YIK BKG298 Licensed Representative 1, 4

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

CHAN Kin Man AUG795 Licensed Representative 4, 9

CHAN Kwok Hay ACA610 Licensed Representative 1, 2

CHAN KWOK MAN MARK BKT932 Licensed Representative 6

CHAN Kwok Wai BCW251 Licensed Representative 9

CHAN Lai Sze BKQ410 Licensed Representative 1

CHAN Ngai Ka AOY222 Licensed Representative 1, 2, 4

CHAN On Yi BKF950 Licensed Representative 1

CHAN Pak Hong BKK318 Licensed Representative 9

CHAN Pui Yee, Christine AFV641 Licensed Representative 1

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

CHAN Tsung-Hsun Dennis BEE283 Licensed Representative 9

CHAN Wing Cheung BKJ264 Licensed Representative 1, 2

CHAN Wing Lam BKJ927 Licensed Representative 1

CHAN Yi BKH673 Licensed Representative 1, 6

CHAN Yik Cheung BKQ351 Licensed Representative 1

CHAN Yu Kai AYC303 Licensed Representative 10

CHAN Yuen Fan BKP220 Licensed Representative 1, 4

CHAN Yuk Ming, Phonda AZQ766 Licensed Representative 1

CHAN Zelig BKJ191 Licensed Representative 1, 6

CHANG Kai Kuan BKE812 Licensed Representative 1, 2

CHANG Mei Ling BKD637 Licensed Representative 1

CHAO Tzu Chi BKD176 Licensed Representative 1, 2, 4

CHAU Alexandre Gia-hon BEM701 Licensed Representative 9

CHAU Che Huen BKQ952 Licensed Representative 1, 2

CHAU Wing Yung BKM994 Licensed Representative 6

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

CHEN Emily Aimei BKH333 Licensed Representative 1, 2

CHEN Hung BKJ755 Licensed Representative 1, 2

Page 2 of 31

Page 3: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING … · ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017 CE Name CE No. Licence Type Types of Regulated

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

CHEN Jianjun BKH376 Licensed Representative 1, 6

CHEN Jiongfa BKI623 Licensed Representative 1, 6

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

CHEN Jou Ting Tina BJV550 Licensed Representative 1, 4

CHEN Mingyi BKD532 Licensed Representative 1, 4, 6

CHEN Qiwen BKL749 Licensed Representative 1, 2, 4

CHEN Ruofan BKV994 Licensed Representative 4

CHEN Te Hen Toku AMI234 Licensed Representative 9

CHEN Wang BKF044 Licensed Representative 1, 6

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

CHEN Wei Hsun ARG669 Licensed Representative 1, 9

CHEN Xinxuan BKF807 Licensed Representative 1, 6

CHEN Yiran BJW905 Licensed Representative 4, 9

CHEN Yu Shiuan BKP273 Licensed Representative 1, 9

CHEN Zhaoxi BKF795 Licensed Representative 1, 6

CHEN Zhiyi BJU798 Licensed Representative 1, 4

CHENG CHEONG KIT BKM843 Licensed Representative 9

CHENG Chi Kin BKV086 Licensed Representative 1, 2, 4

CHENG King Tong BKQ319 Licensed Representative 6

CHENG Yuen Kin BKT548 Licensed Representative 1, 2

CHENG Zhiqian BKU851 Licensed Representative 1, 2

CHEONG Brandon Gee BJW322 Licensed Representative 4, 9

CHEUNG Bonathan Wai Ka BIF071 Licensed Representative 6

CHEUNG Chung Pan BKU271 Licensed Representative 2

CHEUNG Ho Bun BKI572 Licensed Representative 4

CHEUNG Kim Ching BKC185 Licensed Representative 1

CHEUNG Lai Hung BKQ774 Licensed Representative 1, 2

CHEUNG Man Ting Stella BDL886 Licensed Representative 4

CHEUNG Siu Kit BKN639 Licensed Representative 1

CHEUNG SUI YING BKF955 Licensed Representative 1, 4, 6

CHEUNG YAN KIT KEN BKK360 Licensed Representative 1, 2

CHEUNG Yik Ki BKL730 Licensed Representative 1, 6

CHEUNG Yuk Har Jemma BKE346 Licensed Representative 1

CHIO Ka Fai BKJ536 Licensed Representative 1, 6

CHIU Chun Ho, Simon BKG268 Licensed Representative 1

CHIU On Sang AJE177 Licensed Representative 1, 4, 6

CHIU Shing Fung BKL343 Licensed Representative 1, 2

CHIU Shui Kei AOH254 Licensed Representative 1

CHIU Wing AGP697 Licensed Representative 4

CHNG Tian Yi Joshua BKH338 Licensed Representative 1

CHO Hyunjin BJW728 Licensed Representative 1, 4

CHO Taejung BKM785 Licensed Representative 1, 4

Page 3 of 31

Page 4: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING … · ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017 CE Name CE No. Licence Type Types of Regulated

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

CHOE Steven Kent ANQ119 Licensed Representative 2, 5

CHOI Chun Fai BKV279 Licensed Representative 1

CHOI Ming Lung AVS381 Licensed Representative 2

CHOI So Yeon BKQ224 Licensed Representative 1, 4

CHOI Wing Lun BJD733 Licensed Representative 1, 9

CHOI Yuk Lung BKE841 Licensed Representative 4

CHONG Man Ting BKL829 Licensed Representative 1

CHOW Yung BDL629 Licensed Representative 4, 9

CHOW CHUI NGAN BKQ451 Licensed Representative 4

CHOW Wai Lam BJU686 Licensed Representative 2

CHU Tsz Ying BKQ747 Licensed Representative 1

CHU Wai Fan, Frankie BIB842 Licensed Representative 1

CHU Wayne Wing Kar AHO643 Licensed Representative 1

CHUNG Jeffrey Jin Wook AEA620 Licensed Representative 4, 9

CHUNG Man Wai, David AOU630 Licensed Representative 10

CHUNG Margaret Kar Lo BKS969 Licensed Representative 1, 2

CHUNG Tony ACJ250 Licensed Representative 1

CHUNG Tsun Kee BKM101 Licensed Representative 1, 2

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

COCKELL Janny AAC141 Licensed Representative 9

COPE Dillon Levander BKA646 Licensed Representative 1, 4, 6

CORK Craig William BKF941 Licensed Representative 4

CRAMER Reuben Saul BKK593 Licensed Representative 1, 4

CUI Can AUQ924 Licensed Representative 1, 4

CUI Cui AYO745 Licensed Representative 1, 4

CUI Ziying BKQ946 Licensed Representative 1, 6

CUNNINGHAM Jeremy James Warren AQS229 Licensed Representative 1

DAI Andy Andong BKD313 Licensed Representative 1, 6

DAI Di BKI617 Licensed Representative 1, 2

DAVE Neel Rajendra BJQ196 Licensed Representative 1

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

DELIVRON Martha Erin BKE571 Licensed Representative 9

DENG Jun BKZ667 Licensed Representative 4, 9

DENG Lifan BKP402 Licensed Representative 1, 2

DENG Qing BKM801 Licensed Representative 2

DEPIETS Simon BKE801 Licensed Representative 9

DONG Fengqiao BJS141 Licensed Representative 1, 4, 9

DONG Yanzhen BKV856 Licensed Representative 1

DOSHI Nirav Niranjan BKO057 Licensed Representative 1

DU Yang BKA417 Licensed Representative 4, 9

EIO Jingfeng Jonathan BKR579 Licensed Representative 1

ESPINO Marc Christopher Jison BKT749 Licensed Representative 4

Page 4 of 31

Page 5: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING … · ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017 CE Name CE No. Licence Type Types of Regulated

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

EVANS Curtis Leigh BKK557 Licensed Representative 1

FAJARDO Bennette Edward John BKM832 Licensed Representative 4

FAN Kai Yeung BKV397 Licensed Representative 10

FAN Mei Mei BKL563 Licensed Representative 1

FAN Zhenchuan BKM357 Licensed Representative 9

FANG Cong BKD315 Licensed Representative 4

FENG Hao BKH221 Licensed Representative 2

FENG Rong BDI572 Licensed Representative 6

FENG Tingshuai BKQ263 Licensed Representative 4

FENG Yuqi BKM664 Licensed Representative 1, 2

FONG Yuet Wan Fanny BKI974 Licensed Representative 1, 4

FRASER Gordon BJX002 Licensed Representative 1, 4, 9

FU SIN BKF907 Licensed Representative 1

FU Zhilei BJY522 Licensed Representative 1

FUNG Hei Lok BKQ945 Licensed Representative 1

FUNG Kin Hang BKQ949 Licensed Representative 1, 6

FUNG Sim Kuen BKC637 Licensed Representative 1

FUNG Wing Sum BKJ844 Licensed Representative 1, 4

FUNG Yuen Yi BBN298 Licensed Representative 1

GAN Liang BJW266 Licensed Representative 1, 4

GAN Siok Hong ALF539 Licensed Representative 1

GAO Chenxian BKS232 Licensed Representative 1, 4, 9

GAO Fei BKK631 Licensed Representative 1, 2

GAO Jing BKF946 Licensed Representative 1, 9

GARRETT Adam Guy Orlebar ALQ136 Licensed Representative 4, 9

GONG Jiuzhou BKP327 Licensed Representative 1, 2, 9

GONG Minghui BKN578 Licensed Representative 1, 4, 6

GOVENDER Avishkar BJT860 Licensed Representative 1, 6

GRINZATO Eros BKE850 Licensed Representative 1

GU Shuncong BKO335 Licensed Representative 1, 4, 6

GUAN Guhan BKH264 Licensed Representative 1, 2

GULICK-STUTZ Derek Nolan BKF898 Licensed Representative 1, 6

GUNTURU Advait Dattatreya BJG617 Licensed Representative 1, 2

GUO Li Ning BKU075 Licensed Representative 1

GUO Ni BKF563 Licensed Representative 1, 2

HAH CHANGWOO BKD619 Licensed Representative 1, 4, 6

HAN Lin Chour, William BAN066 Licensed Representative 1

HE WANQING BJZ502 Licensed Representative 1, 2

HE Yi BKZ654 Licensed Representative 9

HENG Mui Gek ANM460 Licensed Representative 2

HO Chun Hang BKN358 Licensed Representative 1

HO Hiu Kan, Kenneth AYO801 Licensed Representative 1, 4

Page 5 of 31

Page 6: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING … · ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017 CE Name CE No. Licence Type Types of Regulated

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

HO Tsz Tung BGL231 Licensed Representative 1

HO Yin Shan, Cookie ANG573 Licensed Representative 1, 4

HON Kwan Kit BKV249 Licensed Representative 1, 2

HORNG Jia-yi BKS143 Licensed Representative 2, 5

HOU CHIA I BKP281 Licensed Representative 4, 9

HOU Yanni BKD164 Licensed Representative 1

HSU Shu Chuan ARD668 Licensed Representative 1

HSU Yu Yu BKK579 Licensed Representative 1, 4

HU Kun BKB457 Licensed Representative 1, 4, 9

HU Michael BKR588 Licensed Representative 1

HU Qingzi BKF945 Licensed Representative 1, 6

HU Yanmo BKZ666 Licensed Representative 1, 6

HUANG Jiayu BKV122 Licensed Representative 1

HUANG Jikang BKU813 Licensed Representative 9

HUANG Jing BEM790 Licensed Representative 1

HUANG Peikai BKH958 Licensed Representative 1, 2

HUANG Ye AXW924 Licensed Representative 1, 6

HUBBARD David John BKR680 Licensed Representative 1, 4

HUEN Chi Wai BKF442 Licensed Representative 1, 2

HUGHES Glyn John BJT332 Licensed Representative 1

HUI Chun Kwok BKK679 Licensed Representative 1

HUI Hiu Yan BKI714 Licensed Representative 1, 6

HUI Yau Wei BKI519 Licensed Representative 10

IP Man Ka BKV989 Licensed Representative 4

ISCHER Valentin Yvan BKI939 Licensed Representative 1, 4, 9

IWAO Yohei BIZ237 Licensed Representative 1, 2

JHAWAR Aditya Hiralal BFP474 Licensed Representative 4

JIANG Bo BJE767 Licensed Representative 9

JIANG Chuxuan BGM935 Licensed Representative 1, 4

JIANG Kanfeng BKE630 Licensed Representative 1

JIANG Qinglin BKK308 Licensed Representative 4

JIANG Tian BKI423 Licensed Representative 1, 4

JIANG Wei BKF710 Licensed Representative 6

JIANG Yingyun BKL592 Licensed Representative 10

JIANG Yipei BKL413 Licensed Representative 1, 6

JIAO Shang BKM830 Licensed Representative 1, 4, 6

JIN Ling BKH182 Licensed Representative 4, 9

JUNG Joong Hoon BKF444 Licensed Representative 2, 5

KANTHAN Aparna BKL765 Licensed Representative 1, 2

KAO Margaret Chien Mei Hsu AJE094 Licensed Representative 1

KE Dongyang BKH652 Licensed Representative 1, 4, 6

KENT Benedict David Brownie BKD947 Licensed Representative 4, 9

Page 6 of 31

Page 7: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING … · ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017 CE Name CE No. Licence Type Types of Regulated

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

KETTEMANN Nils Ken BKL417 Licensed Representative 1, 6

KEUNG Nga Yee Teresa BKD475 Licensed Representative 1, 9

KIM Hyo Jin BKG492 Licensed Representative 1, 4, 9

KIM Jason Yong ARF013 Licensed Representative 1, 4

KIM JUN SUNG BJW321 Licensed Representative 1, 2

KIM Min Ji BKI604 Licensed Representative 1

KOBAYASHI Yohsuke BKD934 Licensed Representative 9

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

KOO Doheon BKD640 Licensed Representative 1, 6

KOO Siu Kong BJY470 Licensed Representative 1

KOO Tun Lok Carlos BKK383 Licensed Representative 1, 6

KOO Yat Hong AYM836 Licensed Representative 1, 4

KORINKE Ryan Patrick BKN674 Licensed Representative 1, 4, 9

KOST Alexander Stephen BKN871 Licensed Representative 1

KOU Betty AGL770 Licensed Representative 9

KUNG Tin Wai BKF902 Licensed Representative 1, 6

KUSUDA Yusuke BKL141 Licensed Representative 1, 4, 6

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

KWAN Sing Yan BKR621 Licensed Representative 1

KWOK Alvina Iris Wei Lin BKN953 Licensed Representative 1

KWOK Hoi Kit Victor BKB387 Licensed Representative 1, 6

KWOK Ki Lung BKP650 Licensed Representative 4, 9

KWONG Yu Hin BKK547 Licensed Representative 1, 6

LAI Andrew Kai-Jie BKL102 Licensed Representative 1, 2

LAI Billy Yee Piu AMV035 Licensed Representative 1, 9

LAI Chun Wai BKB802 Licensed Representative 1, 2

LAI Hoi Yu AFJ214 Licensed Representative 1

LAI Ka Wah ATR461 Licensed Representative 1, 2, 4

LAI Man Chun BJT118 Licensed Representative 1

LAI Po Shan BKO202 Licensed Representative 1, 9

LAI Sze Kit BKG892 Licensed Representative 1, 4, 9

LAI Yidan BKK438 Licensed Representative 1, 4, 9

LAI Yuen Yung, Elita AYW932 Licensed Representative 5

LAM Chuen Ming Thomas ADW501 Licensed Representative 1

LAM Chun Hang BFE153 Licensed Representative 1, 2

LAM Chung Shu Xylona BKK339 Licensed Representative 1, 2

LAM Kwok Yiu BKQ400 Licensed Representative 1, 4

LAM Man Wai BKM760 Licensed Representative 9

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

LAM Ting Fung BKW514 Licensed Representative 6

LAM Tsam Hung BKS996 Licensed Representative 1, 4

LAM Yuk Ting BKK325 Licensed Representative 9

Page 7 of 31

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

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

LAMAR Mia Danielle BKK695 Licensed Representative 1

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

LAU Kei Chun Simon BKQ269 Licensed Representative 1, 2

LAU Ming Cham BKQ930 Licensed Representative 1

LAU Ming Yeung, Stephen ANB243 Licensed Representative 1, 6

LAU Tin Yau BKL785 Licensed Representative 1, 2

LAU Wai Kong ACF644 Licensed Representative 1, 4

LAU Wai Sum AHU045 Licensed Representative 1

LAU Yat Sing BKP656 Licensed Representative 1

LAW King Yung Darrell BKO687 Licensed Representative 1, 6

LE BINH Khoi BKP233 Licensed Representative 5

LEE Hae Su BKG266 Licensed Representative 4, 9

LEE Joanshien, Johanne AOI966 Licensed Representative 1, 9

LEE John Kwok Yung Edward BKQ970 Licensed Representative 1

LEE Junho BKO336 Licensed Representative 1, 4, 6

LEE Kwai Yin BHV345 Licensed Representative 4

LEE Kyung Min AVH974 Licensed Representative 1, 6

LEE Man Tim BKJ894 Licensed Representative 1, 4, 6

LEE Po Ling BKB901 Licensed Representative 1

LEE Susan Marie BKV447 Licensed Representative 1, 6

LEE Sze Nga BKR625 Licensed Representative 2

LEE Trevor Nicholas Chin Hong BJY415 Licensed Representative 2

LEE Tsz Yin Jonathan BKM304 Licensed Representative 1, 2

LEE Wai Hung AEI501 Licensed Representative 1

LEE Wonjun BKJ881 Licensed Representative 1, 4, 6

LEONG Kar Wye BKD051 Licensed Representative 1, 4

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

LEUNG Chiu Lun BJT513 Licensed Representative 1

LEUNG Chun Chit, Adrian BKF951 Licensed Representative 1, 2

LEUNG Hiu Tan BCE397 Licensed Representative 1

LEUNG Kin Shan APL039 Licensed Representative 9

LEUNG Man Ho AMF525 Licensed Representative 1, 6

LEUNG Mei Lai BKQ258 Licensed Representative 1, 4

LEUNG Yiu Ming, Eric AED697 Licensed Representative 1

LI Adrian BDJ811 Licensed Representative 1, 6

LI CHAO BKE572 Licensed Representative 4, 9

LI Chen BBK724 Licensed Representative 1

LI Haihu BBJ048 Licensed Representative 10

LI Han BKJ648 Licensed Representative 4, 9

LI Jielin BKA650 Licensed Representative 1, 4, 6

LI Jingting BKO985 Licensed Representative 1, 6

LI Ka Fai BKJ906 Licensed Representative 1, 2, 4

Page 8 of 31

Page 9: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING … · ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017 CE Name CE No. Licence Type Types of Regulated

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

LI Kwok Man BKA616 Licensed Representative 1

LI Lai Yee AIP435 Licensed Representative 1, 4, 9

LI LU BKI387 Licensed Representative 1, 4

LI Mengdi BKJ260 Licensed Representative 1, 6

LI Mengze BKP399 Licensed Representative 1, 4

LI Mengzhen BKE330 Licensed Representative 1, 9

LI Misty BKL914 Licensed Representative 1, 2

LI Runyuan BKK550 Licensed Representative 1, 4, 9

LI Sai Hung BKT393 Licensed Representative 1, 2

LI Sze Lok BKK628 Licensed Representative 6

LI Tianrun BKK369 Licensed Representative 4

LI Tsz Hin BKL833 Licensed Representative 1

LI Wei BKJ042 Licensed Representative 9

LI Wenjie BKP340 Licensed Representative 1, 4, 9

LI Wenliang BJV219 Licensed Representative 1, 4, 6

LI Yen-Cheng BKU850 Licensed Representative 1, 2

LI Yi Sum AXF706 Licensed Representative 1, 2

LI Yin Kuk AMX118 Licensed Representative 1, 4

LI Zexi BJY934 Licensed Representative 6

LI Zhiqi BJW556 Licensed Representative 1, 6

LIANG Junlin BKT594 Licensed Representative 4

LIANG QianQian BKQ750 Licensed Representative 1, 4, 6

LIANG Xingjun BKQ748 Licensed Representative 1, 4, 6

LIAO Biyi BKO922 Licensed Representative 1, 4, 9

LIN Chun Hsien AQW621 Licensed Representative 1, 4

LIN Shiying BKL632 Licensed Representative 6

LIN Siting BKO337 Licensed Representative 4, 9

LIN Siyuan BKE838 Licensed Representative 1, 4, 6

LING Andrew Yew Chung BKN022 Licensed Representative 1, 6

LIU Dawei BKO397 Licensed Representative 1, 2

LIU Huanrui BKE998 Licensed Representative 6

LIU Jiandong BKN438 Licensed Representative 1, 4, 6

LIU Muzi BKL412 Licensed Representative 1, 6

LIU Po Wen ATL504 Licensed Representative 4, 9

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

LIU WEI QI BKM111 Licensed Representative 1, 4

LIU Xinxing BKS243 Licensed Representative 4

LIU Ying BKV274 Licensed Representative 1

LIU Yuchen BKK370 Licensed Representative 4

LIU Yuhan BKS230 Licensed Representative 4

LIU Yuting BKS408 Licensed Representative 1, 4

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

Page 9 of 31

Page 10: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING … · ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017 CE Name CE No. Licence Type Types of Regulated

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

LO Shuk Sui BKM815 Licensed Representative 1, 2

LO Siu Lung BDK089 Licensed Representative 1, 4

LO Wing Ho BKL193 Licensed Representative 1

LOU Yuxiang BKK546 Licensed Representative 1, 6

LU Cheng BKE555 Licensed Representative 4

LU Hsin-Lin BKH337 Licensed Representative 1

LU Jingyi BJX882 Licensed Representative 1, 2

LU Yang BKP940 Licensed Representative 1, 6

LU Zhe BKD789 Licensed Representative 1, 6

LUO Chen BKT275 Licensed Representative 6

LUO Shengjie BFU576 Licensed Representative 1, 4, 9

LUO Zhen BKN825 Licensed Representative 6

MA Biu BCK253 Licensed Representative 9

MA Ruosi BKM256 Licensed Representative 1, 4, 9

MA Sze Man AED753 Licensed Representative 1

MA Wai Shun BID786 Licensed Representative 1

MA Yung-Jie BKP540 Licensed Representative 1, 4

MAK Chun Wing BKK371 Licensed Representative 4

MAK Ka Wing BKH229 Licensed Representative 1, 2

MAK Tsan Kwai BKM809 Licensed Representative 1, 4, 9

MAN Ngai Hang BKU345 Licensed Representative 1, 2

MASU Megumi BGQ554 Licensed Representative 1, 2

MCMURTRAY Nathan Noel ALW212 Licensed Representative 1, 4, 6

MENG Zhaojin BKF968 Licensed Representative 1, 2

MIN Junyan BKE044 Licensed Representative 1, 6

MO Chelsea BKI563 Licensed Representative 1, 6

MO Wei BJQ537 Licensed Representative 1, 4

MOHIUDDIN Suhail AZL059 Licensed Representative 9

MOK Ka Ying ALW654 Licensed Representative 1

MONLIBERT Hugues BKN715 Licensed Representative 1, 2

MORELAND Bradley Anthony ARG325 Licensed Representative 1

MORGAN Joseph Henry BJT439 Licensed Representative 4

MUI HIN LAI HENRY BKC984 Licensed Representative 1, 4

MUI Ka Ho Wallace BKU044 Licensed Representative 6

NAKABAYASHI Yuji BIX277 Licensed Representative 1, 4, 6

NAM BEVERLY MAN WAI BKI846 Licensed Representative 1, 9

NEWSOME Allan Per BKB399 Licensed Representative 1

NG Hui Yuen BKQ338 Licensed Representative 1

NG Keegan Ken BKJ530 Licensed Representative 1

NG Kwan Ning BKG128 Licensed Representative 1, 4, 9

NG Lai Yee, April BKI453 Licensed Representative 1, 4

NG Pauline Pui-han BKQ278 Licensed Representative 1, 4

Page 10 of 31

Page 11: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING … · ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017 CE Name CE No. Licence Type Types of Regulated

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

NG Wai Suen, Daphne ADL365 Licensed Representative 1, 6

NGAI CHI HO BKP596 Licensed Representative 4, 9

NGAI Shuk Wa Summy AQG751 Licensed Representative 1

NIXEL Stefan Dominik BKH173 Licensed Representative 4, 5, 9

NOH James Hyon BKG328 Licensed Representative 1, 2

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

O'CONNELL Stephen Gerard BKB504 Licensed Representative 1, 4

ODELL Scott Wilson BKB375 Licensed Representative 1, 2

OJHA Saanya BKF454 Licensed Representative 1, 9

OTSUKA Kosuke BKO012 Licensed Representative 1, 4

PAN Pengyu BKO949 Licensed Representative 9

PAN Weibing BKK306 Licensed Representative 4

PAN Yongchuan BKN346 Licensed Representative 9

PENG Yongxing BKN534 Licensed Representative 1, 4, 9

PETCH Martin Andrew BJW384 Licensed Representative 10

PFAJFER Aleksandar AVI193 Licensed Representative 1, 4

POON Chun Man ARV276 Licensed Representative 1, 4

POON Ka Chun BKK302 Licensed Representative 1

POSCH Paul BIY899 Licensed Representative 1, 2

PU Lingxiao BHT352 Licensed Representative 1, 2

PUN Chung Sing BKM796 Licensed Representative 4

QIAO Yashuang BKR873 Licensed Representative 1, 6

QIU Jiale BKT159 Licensed Representative 1, 6

QIU Yongyi BKS181 Licensed Representative 1, 4

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

ROBB Gordon Bjorn BIQ332 Licensed Representative 1

ROGIER Bernard Rene Joseph AIR454 Licensed Representative 1, 2

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

SHAH Dhawal Arvind AYM782 Licensed Representative 1, 2

SHAMBI Rajdeep Singh BKL897 Licensed Representative 1, 2

SHAO Zuoyin BDM007 Licensed Representative 4

SHEA Pui Ho Kerry BKG034 Licensed Representative 1

SHEN Jiamin BKQ448 Licensed Representative 4

SHEN Zeda BJV751 Licensed Representative 1, 2

SHI Yin BKL763 Licensed Representative 1, 4

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

SHUM Ho Yeung BKE333 Licensed Representative 1, 6

SIN KIT FUNG BKE175 Licensed Representative 1, 4

SINHA Gaurav AOV915 Licensed Representative 1, 2

SIU Chi Lan BKP427 Licensed Representative 1, 4

SIU Chun Pui BKG032 Licensed Representative 1, 9

SIU Po Ki BKP490 Licensed Representative 3

Page 11 of 31

Page 12: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING … · ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017 CE Name CE No. Licence Type Types of Regulated

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

SIU Wai Pan BKG270 Licensed Representative 1

SMITH Dominic Anthony AVO477 Licensed Representative 1

SON Bum Ki BJY542 Licensed Representative 1, 4

SONG Michael Y BKT329 Licensed Representative 1

SRI RAMANATHAN Shivaraj BKN105 Licensed Representative 1, 2

SU Ling BJN297 Licensed Representative 1

SUN Boyi BKJ278 Licensed Representative 1, 4

SUN Chang BKI593 Licensed Representative 1

SUN Qianru BKL528 Licensed Representative 4, 9

SUN Renjie BKI603 Licensed Representative 1

SUN Xiaoyu BKP228 Licensed Representative 6

SUN Yixuan BKK358 Licensed Representative 1, 6

SUN Yue BKQ407 Licensed Representative 1, 6

TAN Huiman BKE575 Licensed Representative 10

TAN Kah Bee BKF453 Licensed Representative 1

TAN Michael June Kiat BJU099 Licensed Representative 1

TAN Min BKR644 Licensed Representative 4, 9

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

TAN Weixin BKM833 Licensed Representative 1

TANG Lingjia BKG281 Licensed Representative 1, 4, 6

TANG Nancy BKN861 Licensed Representative 1, 2, 4

TANG Tak Chun BKJ158 Licensed Representative 1, 2

TANG Yu BKP238 Licensed Representative 1, 4

TANG Zhongwei BKJ475 Licensed Representative 9

TANIWAN Victor BJZ519 Licensed Representative 9

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

TAO Xijin BKS276 Licensed Representative 4

TAO Zhiheng BKN443 Licensed Representative 1, 4, 6

TEDDY HU BKM359 Licensed Representative 1, 4, 9

TELAPROLU Varun BKQ419 Licensed Representative 9

TENG Chi-An BKC142 Licensed Representative 4

TIAN Xueyi BKE646 Licensed Representative 1, 6

TIAN Ye BKL555 Licensed Representative 1

TING Siu Hong BKH111 Licensed Representative 1, 4, 6

TONG Wai Ming, Vivia AIE803 Licensed Representative 4, 9

TSANG Chi Keung BJZ713 Licensed Representative 1, 2, 4

TSANG Tang Kwan BKT126 Licensed Representative 1, 4

TSANG Wai Kee BKQ450 Licensed Representative 1, 4

TSE Man Hei BKG342 Licensed Representative 1, 4, 6

TSUCHIDA Mariko BKE006 Licensed Representative 9

TSUI Long Hang, Ryan BKN986 Licensed Representative 6

TSUI Pui Ki BKQ907 Licensed Representative 1, 4

Page 12 of 31

Page 13: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING … · ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017 CE Name CE No. Licence Type Types of Regulated

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

UEMATSU Ken David BKH654 Licensed Representative 1, 9

UPADHYAYULA Madhukar Srinivas BKJ280 Licensed Representative 9

VAN GULIK Robert Ken ASU202 Licensed Representative 1

VANNESSON Laurent Xavier Marie BKL385 Licensed Representative 1

WAN Sau Yi BKL830 Licensed Representative 1

WAN Tsun Kan BKA500 Licensed Representative 1

WAN Tze Ching BKN597 Licensed Representative 1

WANG Anqi BJS918 Licensed Representative 2, 5

WANG Jiali BKE338 Licensed Representative 1, 4, 6

WANG Jiayu BJH821 Licensed Representative 6

WANG Miao BHB490 Licensed Representative 1, 4, 9

WANG Surong BJZ433 Licensed Representative 1, 6

WANG Tinghao BKU321 Licensed Representative 2

WANG Wei BKQ730 Licensed Representative 1, 4, 6

WANG Xinqi BKM655 Licensed Representative 1, 2

WANG Xinying ATO443 Licensed Representative 1, 4, 9

WANG Yiding AOD298 Licensed Representative 4, 9

WANG Yifan BKM052 Licensed Representative 1, 6

WANG YiHui BKL871 Licensed Representative 1, 2

WANG Yijia BKM317 Licensed Representative 4

WANG Yinan ADB202 Licensed Representative 4, 9

WANG Yumeng BKI610 Licensed Representative 4, 9

WANG Yuqiao BKE043 Licensed Representative 1, 6

WANG Zhuoyue BKU351 Licensed Representative 1, 2

WANG Ziren BKH795 Licensed Representative 1, 2

WEI Jackson Zhuo Cheng BKL409 Licensed Representative 1, 6

WHARF Amy Jayne BKL743 Licensed Representative 1, 4

WIDJAJA Ogar Renaldi BBD986 Licensed Representative 1, 4

WONG Chi Fun Idy BKE323 Licensed Representative 5

WONG Ching Leung BKG044 Licensed Representative 1, 4, 9

WONG Chun Yu, Roger APH834 Licensed Representative 2, 5

WONG Frances BKE504 Licensed Representative 1, 4

WONG Ho Kan BKI469 Licensed Representative 2

WONG Ka Kit BBS919 Licensed Representative 1

WONG Lan Ching BKQ415 Licensed Representative 1

WONG Man Yin AED081 Licensed Representative 1, 9

WONG Pak Nin Jimmy BKG502 Licensed Representative 1, 6

WONG Philippe BKN631 Licensed Representative 1, 2, 7

WONG Po Ki BKD940 Licensed Representative 2, 5

WONG Pui Ki BKG605 Licensed Representative 2, 5

WONG Qin Zhi BJW656 Licensed Representative 1, 6

WONG TAT SHAN BKI492 Licensed Representative 1

Page 13 of 31

Page 14: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING … · ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017 CE Name CE No. Licence Type Types of Regulated

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

WONG Tin Shing BKF525 Licensed Representative 1, 4, 6

WONG Tsang Yam BJX678 Licensed Representative 1, 2

WONG Un Un BKS920 Licensed Representative 1, 4

WONG Wai Yu ALU552 Licensed Representative 4, 9

WONG Wing Che Wencci AYX875 Licensed Representative 1

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

WOO Wing Yan, Anna AFA847 Licensed Representative 1

WU Bonnie Po Yee BKK907 Licensed Representative 4

WU Charles York BJV578 Licensed Representative 4, 9

WU Man Kui BKR684 Licensed Representative 2

WU Ming Hung BKL305 Licensed Representative 2

WU Nancy Bing Yun AEZ131 Licensed Representative 9

WU Shing Yan BHI026 Licensed Representative 1

Wu Siu Fai ATR768 Licensed Representative 9

WU Wenting BKS171 Licensed Representative 1, 4, 6

WU Youchuang BGH149 Licensed Representative 4, 9

XIA Wei BJM095 Licensed Representative 1, 4, 6

XIA Yufei BKK310 Licensed Representative 2

XIAO Shunyu BKO986 Licensed Representative 9

XIAO Xiao BKG598 Licensed Representative 1, 4, 6

XIE Hui BKQ420 Licensed Representative 1

XIE Zihe BKR708 Licensed Representative 1, 2

XING Jiyuan BKH363 Licensed Representative 1, 4, 9

XING Yifan BJX197 Licensed Representative 1, 4, 6

XIONG Yifan BKK314 Licensed Representative 1

XU Beilin AQA273 Licensed Representative 1, 4, 9

XU Jian BJX378 Licensed Representative 1, 4

XU Jinzhao BKQ453 Licensed Representative 1, 4, 6

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

XU Yinqing BKS103 Licensed Representative 1, 4

YAMADA Shinya AUW525 Licensed Representative 9

YAMAMOTO Naoki BKM294 Licensed Representative 1

YAMAUCHI Ayumu AXL777 Licensed Representative 1, 4, 6

YAN Xiaohan BKL836 Licensed Representative 1, 4

YANG Hai AXI228 Licensed Representative 6

YANG Kangbo BJW750 Licensed Representative 4, 9

YANG Lan BKM834 Licensed Representative 1, 4

YANG Rui BKS167 Licensed Representative 4, 9

YANG Seung Woo BKJ904 Licensed Representative 1, 4, 6

YANG Xiaoyu BJW364 Licensed Representative 1, 4

YANG Yanwen BKO832 Licensed Representative 1, 4, 9

YANG Yuan Xun Lucy BKN544 Licensed Representative 2

Page 14 of 31

Page 15: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING … · ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017 CE Name CE No. Licence Type Types of Regulated

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

YAU Man Lai BKP675 Licensed Representative 1, 2

YAU Wai Lun BDI749 Licensed Representative 1, 2

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

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

YEUNG Siu Cheong BKL978 Licensed Representative 1, 2

YEUNG Wai Kie, Gary ANF195 Licensed Representative 1

YI Pengyu BKJ155 Licensed Representative 6

YI Yen-Hua ARO058 Licensed Representative 1, 9

YIP Chi Fung AZR317 Licensed Representative 1, 4, 6

YIU Yi Shing BKK536 Licensed Representative 4, 5, 9

YOOK Haekong BKM766 Licensed Representative 1, 4

YOUNIS Adnan Mohammed BKO681 Licensed Representative 1, 4

YU Hiu Kwan, Hilda BKE953 Licensed Representative 1, 6

YU Shuk Mei AOU416 Licensed Representative 1, 4

YU Yi BKT201 Licensed Representative 1, 4

YU Yifei BKR090 Licensed Representative 1, 4, 6

YU Yue AVW185 Licensed Representative 1, 4

YUAN Jingyu BKI554 Licensed Representative 1, 6

YUEN Yat Ki BKR591 Licensed Representative 2

ZENG Xinyuan BKR306 Licensed Representative 4

ZHAI Yanni BKI619 Licensed Representative 1, 4, 7

ZHANG Jiaojiao BJW038 Licensed Representative 6

ZHANG Jingrui BKP678 Licensed Representative 4, 9

ZHANG Min BKJ272 Licensed Representative 1, 2

ZHANG Ruohan BKF073 Licensed Representative 1, 2

ZHANG Sijia BKF448 Licensed Representative 1, 2

ZHANG Wenli BJX153 Licensed Representative 1

ZHANG Yanrong BJY723 Licensed Representative 1, 6

ZHANG Yi BKM737 Licensed Representative 4

ZHANG Yichi AQF007 Licensed Representative 1

ZHANG Yijia BKM831 Licensed Representative 4

ZHANG Yumeng BKK535 Licensed Representative 1, 6

ZHANG Zebang BKN996 Licensed Representative 1, 2, 4

ZHAO Can BKQ455 Licensed Representative 4, 9

ZHAO Nanxi BKO984 Licensed Representative 1, 6

ZHAO Pengfei BKA562 Licensed Representative 1, 2, 7

ZHAO Xiaotian BKE566 Licensed Representative 9

ZHAO Xiaotian BKH678 Licensed Representative 1, 6

ZHENG Shihao BKL166 Licensed Representative 1, 4, 6

ZHONG Mingchang BKM736 Licensed Representative 4, 6

ZHOU Caobin BKJ864 Licensed Representative 1, 4, 6

ZHOU Haote BKK304 Licensed Representative 4

Page 15 of 31

Page 16: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING … · ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017 CE Name CE No. Licence Type Types of Regulated

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

ZHOU Jiayi BKQ452 Licensed Representative 1, 4, 6

ZHOU Jie BKR666 Licensed Representative 4, 9

ZHOU Lin BKI929 Licensed Representative 4

ZHOU Quan BKT188 Licensed Representative 1

ZHOU Yue BKH772 Licensed Representative 1, 2

ZHU Jialei BFD431 Licensed Representative 1, 4

ZHU Zhu BKH350 Licensed Representative 1, 6

ZHUANG Huihui BKR063 Licensed Representative 4, 9

ZOONEKYND Vincent Davy BKF080 Licensed Representative 5

ZOU Hao ASM068 Licensed Representative 1, 4, 9

ZUO Yichao BKO558 Licensed Representative 1, 2, 4

ZUO Yiyuan BKG344 Licensed Representative 2, 5

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

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

CUI Xiaofeng AYE509 Licensed Representative - Responsible Officer 4, 9

ECONOMOS Andrew APW596 Licensed Representative - Responsible Officer 4, 9

EDWARDS David Wyndham AOX190 Licensed Representative - Responsible Officer 9

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

FRIEDLANDER Jesse AIC317 Licensed Representative - Responsible Officer 4, 9

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

HUANG Hsiu Mei BJU910 Licensed Representative - Responsible Officer 1

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

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

KAO Cheng Yung AUW023 Licensed Representative - Responsible Officer 2

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

LAU Dorothy Kwok Cheung AEY067 Licensed Representative - Responsible Officer 9

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

LEFORT Emmanuel BJR177 Licensed Representative - Responsible Officer 1, 4

LEI Chunran ASP969 Licensed Representative - Responsible Officer 1, 4

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

LI Kan Fung AMQ914 Licensed Representative - Responsible Officer 9

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

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

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

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

PANG Yan APG361 Licensed Representative - Responsible Officer 4, 9

PERRY Mark Oliver BJV520 Licensed Representative - Responsible Officer 9

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

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

SZE Kwok Wing Nigel ACV299 Licensed Representative - Responsible Officer 9

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

TIAN Na BJQ057 Licensed Representative - Responsible Officer 1, 4

Page 16 of 31

Page 17: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING … · ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017 CE Name CE No. Licence Type Types of Regulated

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

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

WANG Yuan BJU824 Licensed Representative - Responsible Officer 4

WONG Man Yin AED081 Licensed Representative - Responsible Officer 4

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

XIE Yuanxi BJP646 Licensed Representative - Responsible Officer 9

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

YOUNG Jeffrey BKM800 Licensed Representative - Responsible Officer 4, 9

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

ZHOU Peng AUS211 Licensed Representative - Responsible Officer 6

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

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

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

BARNES Simon Andrew BKZ985 Licensed Representative (Provisional Licence) 1

BEERLI Christian BKT618 Licensed Representative (Provisional Licence) 1

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

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

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

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

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

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

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

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

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

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

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

CAO Xueyue BKR593 Licensed Representative (Provisional Licence) 10

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

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

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

CHAN Chi Ho BKZ007 Licensed Representative (Provisional Licence) 10

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

CHAN Hio Man BKZ227 Licensed Representative (Provisional Licence) 1

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

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

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

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

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

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

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

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

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

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

Page 17 of 31

Page 18: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING … · ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017 CE Name CE No. Licence Type Types of Regulated

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

CHAN Shu Ting BKY634 Licensed Representative (Provisional Licence) 4

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

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

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

CHAN Yin Fan BKZ663 Licensed Representative (Provisional Licence) 9

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

CHANG Cheng Hao BKC962 Licensed Representative (Provisional Licence) 1

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

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

CHEN Biwei BKD538 Licensed Representative (Provisional Licence) 1

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

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

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

CHEN Hongsheng BKV451 Licensed Representative (Provisional Licence) 1

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

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

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

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

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

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

CHEN Ruofan BKV994 Licensed Representative (Provisional Licence) 4

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

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

CHEN Weiwei BKY635 Licensed Representative (Provisional Licence) 1

CHEN Xinyi BKW998 Licensed Representative (Provisional Licence) 1

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

CHEN Yalei ARW897 Licensed Representative (Provisional Licence) 4

CHEN Yang BKL280 Licensed Representative (Provisional Licence) 10

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

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

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

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

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

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

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

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

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

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

CHEUNG Chung Pan BKU271 Licensed Representative (Provisional Licence) 2

CHIN Hung I ADT385 Licensed Representative (Provisional Licence) 6

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

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

Page 18 of 31

Page 19: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING … · ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017 CE Name CE No. Licence Type Types of Regulated

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

CHIU Sai Kit BKZ194 Licensed Representative (Provisional Licence) 1

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

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

CHOI Chun Fai BKV279 Licensed Representative (Provisional Licence) 1

CHOI Ming Lung AVS381 Licensed Representative (Provisional Licence) 2

CHONG Yu Cheong BKW511 Licensed Representative (Provisional Licence) 1

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

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

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

CHU Tsz Ying BKQ747 Licensed Representative (Provisional Licence) 1

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

CHUANG James BLA372 Licensed Representative (Provisional Licence) 1

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

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

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

CHUNG Seun Jing BKV413 Licensed Representative (Provisional Licence) 9

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

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

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

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

CUI Yuting BHV550 Licensed Representative (Provisional Licence) 9

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

DALAL Alok Mukul BKQ449 Licensed Representative (Provisional Licence) 4

DAR Tabish Zafar BKQ456 Licensed Representative (Provisional Licence) 1

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

DESMEDT Pierre Baptiste BKV681 Licensed Representative (Provisional Licence) 1

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

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

DING QI AWV316 Licensed Representative (Provisional Licence) 9

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

DOU Wenjing BLA386 Licensed Representative (Provisional Licence) 4

DU Yufei BKV284 Licensed Representative (Provisional Licence) 1

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

DWIVEDI Pranshu BET343 Licensed Representative (Provisional Licence) 1

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

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

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

FENG Shanchuan BLB687 Licensed Representative (Provisional Licence) 4

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

FU Yubin BLB155 Licensed Representative (Provisional Licence) 5

FUNG Man Kei AOW960 Licensed Representative (Provisional Licence) 1

FUNG Mei Han AFR011 Licensed Representative (Provisional Licence) 1

Page 19 of 31

Page 20: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING … · ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017 CE Name CE No. Licence Type Types of Regulated

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

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

FUNG Yu Keung BLB503 Licensed Representative (Provisional Licence) 1

FUNG Yuet Ying BLA649 Licensed Representative (Provisional Licence) 4

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

GAN Siok Hong ALF539 Licensed Representative (Provisional Licence) 1

GAO Xiang BKV988 Licensed Representative (Provisional Licence) 4

GE Guanhong BLA403 Licensed Representative (Provisional Licence) 6

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

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

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

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

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

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

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

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

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

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

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

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

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

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

HEUNG Chun Wai ADZ579 Licensed Representative (Provisional Licence) 10

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

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

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

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

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

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

HO Tsz Tung BGL231 Licensed Representative (Provisional Licence) 1

HO YIN KI BKT703 Licensed Representative (Provisional Licence) 9

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

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

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

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

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

HU Jiachen BKV101 Licensed Representative (Provisional Licence) 1

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

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

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

HUANG Xiayue BKU111 Licensed Representative (Provisional Licence) 6

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

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

Page 20 of 31

Page 21: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING … · ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017 CE Name CE No. Licence Type Types of Regulated

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

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

HUI Hin Long BKY354 Licensed Representative (Provisional Licence) 6

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

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

HUI TAK WAI BKY318 Licensed Representative (Provisional Licence) 1

HUNG Tak Wai BLC110 Licensed Representative (Provisional Licence) 1

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

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

IP Kwok Pong BKY596 Licensed Representative (Provisional Licence) 4

IP Man Ka BKV989 Licensed Representative (Provisional Licence) 4

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

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

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

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

JIANG Lixue BKP869 Licensed Representative (Provisional Licence) 1

JIANG Tong BKU847 Licensed Representative (Provisional Licence) 4

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

JIN Jing BKY934 Licensed Representative (Provisional Licence) 1

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

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

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

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

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

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

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

KIM Min Hye BKY300 Licensed Representative (Provisional Licence) 1

KITAHARA Yoshitaka BKY302 Licensed Representative (Provisional Licence) 1

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

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

KONG Yin Yu ARD477 Licensed Representative (Provisional Licence) 9

KOU Yuanyuan BKX467 Licensed Representative (Provisional Licence) 9

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

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

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

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

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

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

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

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

LAM Joshua BKW778 Licensed Representative (Provisional Licence) 6

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

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

Page 21 of 31

Page 22: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING … · ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017 CE Name CE No. Licence Type Types of Regulated

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

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

LAMAR Mia Danielle BKK695 Licensed Representative (Provisional Licence) 1

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

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

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

LAU Kwun Ping BLB487 Licensed Representative (Provisional Licence) 4

LEE Chui Shan AGG697 Licensed Representative (Provisional Licence) 1

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

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

LEE Kwan Fong ARY266 Licensed Representative (Provisional Licence) 1

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

LEE Wai Hung AEI501 Licensed Representative (Provisional Licence) 1

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

LEE Yoke Ching BKS585 Licensed Representative (Provisional Licence) 1

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

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

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

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

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

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

LEUNG Soi Chi BKW301 Licensed Representative (Provisional Licence) 1

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

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

LI Bai BLA188 Licensed Representative (Provisional Licence) 4

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

LI Enhui BKT285 Licensed Representative (Provisional Licence) 6

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

LI Junhui BKT337 Licensed Representative (Provisional Licence) 9

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

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

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

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

LI Sai Chung AMO749 Licensed Representative (Provisional Licence) 1

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

LI Shiyan BKK506 Licensed Representative (Provisional Licence) 1

LI Shuxi BKT719 Licensed Representative (Provisional Licence) 1

LI Wai Kit BLC096 Licensed Representative (Provisional Licence) 1

LI Xintong BKU819 Licensed Representative (Provisional Licence) 6

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

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

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

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

Page 22 of 31

Page 23: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING … · ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017 CE Name CE No. Licence Type Types of Regulated

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

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

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

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

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

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

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

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

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

LIU Feifei BGM914 Licensed Representative (Provisional Licence) 1

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

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

LIU Jiaji BLC129 Licensed Representative (Provisional Licence) 4

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

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

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

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

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

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

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

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

LIU Ye BKS183 Licensed Representative (Provisional Licence) 4

LIU Ying BKV274 Licensed Representative (Provisional Licence) 1

LIU You BLC125 Licensed Representative (Provisional Licence) 1

LIU Zhe BKW273 Licensed Representative (Provisional Licence) 1

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

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

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

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

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

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

MACLENNAN Dale Peter BKZ643 Licensed Representative (Provisional Licence) 1

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

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

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

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

MALLIK UPASANA BLC104 Licensed Representative (Provisional Licence) 4

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

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

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

MENG Bingyu AWS029 Licensed Representative (Provisional Licence) 1

MIN Brett Jae AJD743 Licensed Representative (Provisional Licence) 9

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

Page 23 of 31

Page 24: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING … · ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017 CE Name CE No. Licence Type Types of Regulated

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

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

MORELAND Bradley Anthony ARG325 Licensed Representative (Provisional Licence) 1

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

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

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

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

NAKATOMI Ryosuke BKV309 Licensed Representative (Provisional Licence) 1

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

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

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

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

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

NG Wang Chiu BKS775 Licensed Representative (Provisional Licence) 1

O Wai Mun BLB449 Licensed Representative (Provisional Licence) 1

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

ON Chin Bong BKR852 Licensed Representative (Provisional Licence) 6

PANG Christopher BKY624 Licensed Representative (Provisional Licence) 1

PANG Wenjuan BKW525 Licensed Representative (Provisional Licence) 1

PARKER Kirsten Bunty BEZ493 Licensed Representative (Provisional Licence) 6

PATEL Afshan Yusuf BLB208 Licensed Representative (Provisional Licence) 1

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

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

QIAN Junhong BKR991 Licensed Representative (Provisional Licence) 4

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

SHI Yunhan BLA252 Licensed Representative (Provisional Licence) 9

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

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

Page 24 of 31

Page 25: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING … · ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017 CE Name CE No. Licence Type Types of Regulated

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

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

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

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

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

SIOW Andy Jinhui ANR867 Licensed Representative (Provisional Licence) 1

SIU Chung Wa BGA702 Licensed Representative (Provisional Licence) 4

SMITH BRENT BLC113 Licensed Representative (Provisional Licence) 1

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

SONG Michael Y BKT329 Licensed Representative (Provisional Licence) 1

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

SULTAN Asad Turab ADW848 Licensed Representative (Provisional Licence) 1

SUN Chi Hang BKY618 Licensed Representative (Provisional Licence) 9

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

SUN Shuai BKM720 Licensed Representative (Provisional Licence) 1

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

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

SUN Yicheng BKU344 Licensed Representative (Provisional Licence) 1

TAM Ho Yi BKY892 Licensed Representative (Provisional Licence) 1

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

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

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

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

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

TANG Dik Ying BKY298 Licensed Representative (Provisional Licence) 6

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

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

TANG Wing Lun BKU866 Licensed Representative (Provisional Licence) 4

TANIWAN Victor BJZ519 Licensed Representative (Provisional Licence) 9

TAUB Vanessa Lee ATC736 Licensed Representative (Provisional Licence) 1

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

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

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

TO Yat Hong AXP981 Licensed Representative (Provisional Licence) 1

TONG Wing Shing BKU026 Licensed Representative (Provisional Licence) 10

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

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

TSUI Luen On AIB800 Licensed Representative (Provisional Licence) 1

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

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

WAN Ho Yin BKW755 Licensed Representative (Provisional Licence) 1

WAN Yiding BKW037 Licensed Representative (Provisional Licence) 1

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

Page 25 of 31

Page 26: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING … · ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017 CE Name CE No. Licence Type Types of Regulated

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

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

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

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

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

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

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

WANG Tinghao BKU321 Licensed Representative (Provisional Licence) 2

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

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

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

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

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

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

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

WANG Yuzhe BLB507 Licensed Representative (Provisional Licence) 4

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

WENG Hsiao Wen BKV142 Licensed Representative (Provisional Licence) 4

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

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

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

WONG Lai Sum BCN837 Licensed Representative (Provisional Licence) 9

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

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

WONG Pui Tak BCU590 Licensed Representative (Provisional Licence) 1

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

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

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

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

WU Huihuang BKU224 Licensed Representative (Provisional Licence) 6

WU Nan AUW139 Licensed Representative (Provisional Licence) 6

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

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

WU Shangjin BKY371 Licensed Representative (Provisional Licence) 4

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

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

WU Tianxiao BKR555 Licensed Representative (Provisional Licence) 10

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

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

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

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

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

XIE Shuangquan BKS032 Licensed Representative (Provisional Licence) 4

Page 26 of 31

Page 27: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING … · ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017 CE Name CE No. Licence Type Types of Regulated

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

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

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

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

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

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

XU Yinglei BKM858 Licensed Representative (Provisional Licence) 6

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

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

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

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

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

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

YANG Jing ARH995 Licensed Representative (Provisional Licence) 1

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

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

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

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

YANG Yiran BKU216 Licensed Representative (Provisional Licence) 6

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

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

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

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

YEUNG SHU WA BKT690 Licensed Representative (Provisional Licence) 9

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

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

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

YOON Jung Jin AQP872 Licensed Representative (Provisional Licence) 1

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

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

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

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

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

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

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

ZENG Xinyuan BKR306 Licensed Representative (Provisional Licence) 4

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

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

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

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

ZHANG Xinyang BKR557 Licensed Representative (Provisional Licence) 10

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

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

Page 27 of 31

Page 28: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING … · ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017 CE Name CE No. Licence Type Types of Regulated

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

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

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

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

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

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

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

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

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

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

ZHOU Qiankai BKW228 Licensed Representative (Provisional Licence) 2

ZHOU Tianhao BKR264 Licensed Representative (Provisional Licence) 1

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

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

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

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

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

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

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

AGARWAL Virat BGU565 Licensed Representative (Temporary Licence) 1

AHMADI Vafa BFJ632 Licensed Representative (Temporary Licence) 1

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

ALLEN Trent Cameron BFP178 Licensed Representative (Temporary Licence) 4

BALASUBRAMANIAM Venkatesh BDT263 Licensed Representative (Temporary Licence) 4

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

BARRON Jason BFI936 Licensed Representative (Temporary Licence) 1

BENSON Alexander Edward BEO576 Licensed Representative (Temporary Licence) 1

BRAND Helen Michelle BHY288 Licensed Representative (Temporary Licence) 4

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

CAMP Tristan Hector BDL303 Licensed Representative (Temporary Licence) 1

CHAKRABORTY Samiran BGU585 Licensed Representative (Temporary Licence) 4

CHAN Kah Ling AFW039 Licensed Representative (Temporary Licence) 10

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

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

CHHUGANI Gautam Prakash BIO676 Licensed Representative (Temporary Licence) 4

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

CHIDGEY Kieren Joseph BJX129 Licensed Representative (Temporary Licence) 4

CHING Yi Edmund AKU003 Licensed Representative (Temporary Licence) 4

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

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

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

CURRY Jonathan Iain BHD383 Licensed Representative (Temporary Licence) 1

CURTIS Darren BKM647 Licensed Representative (Temporary Licence) 1

Page 28 of 31

Page 29: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING … · ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017 CE Name CE No. Licence Type Types of Regulated

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

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

DEHESH FARHAD BKQ460 Licensed Representative (Temporary Licence) 1

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

EDWARDS Shane Grant AJG195 Licensed Representative (Temporary Licence) 1

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

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

EZAWA Kota BDY402 Licensed Representative (Temporary Licence) 4

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

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

FIOTAKIS Themistoklis BKU701 Licensed Representative (Temporary Licence) 4

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

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

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

GOYAL Megha BKR107 Licensed Representative (Temporary Licence) 1

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

GRUNDBERG Christopher Olof BKT339 Licensed Representative (Temporary Licence) 4

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

HARTING Morgan Clothier AXT012 Licensed Representative (Temporary Licence) 1

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

HERR Kathryn Jane BHK246 Licensed Representative (Temporary Licence) 4

HOCHFELD Kim BKV728 Licensed Representative (Temporary Licence) 1

HOLIAN James Simon BJA888 Licensed Representative (Temporary Licence) 1

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

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

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

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

HUMMEL Patrick Torsten BKW550 Licensed Representative (Temporary Licence) 4

HYDER Riaz AUT957 Licensed Representative (Temporary Licence) 1

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

IDELL Rebecca Leigh BIN593 Licensed Representative (Temporary Licence) 1

ISAACS Stefan BKT420 Licensed Representative (Temporary Licence) 1

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

JACKSON Andrew John AYN419 Licensed Representative (Temporary Licence) 1

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

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

KANAI Kenji BKW765 Licensed Representative (Temporary Licence) 4

KAPTEIJN Arie Jacobus BIV026 Licensed Representative (Temporary Licence) 4

KERESTELIEV Yana Kirilova BKU674 Licensed Representative (Temporary Licence) 1

KIM Minkyu BEO107 Licensed Representative (Temporary Licence) 1

KLOSS Brian Lavelle BKC147 Licensed Representative (Temporary Licence) 1

KOCH Trenton Godfried BCT904 Licensed Representative (Temporary Licence) 1

KROTTHAPALLI Radha BJG221 Licensed Representative (Temporary Licence) 1

Page 29 of 31

Page 30: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING … · ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017 CE Name CE No. Licence Type Types of Regulated

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

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

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

LENVALSKAYA Uliana BKZ557 Licensed Representative (Temporary Licence) 4

LESNE David Laurent AXE221 Licensed Representative (Temporary Licence) 4

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

LIEW Xun BJI674 Licensed Representative (Temporary Licence) 1

LIM Verena BLA795 Licensed Representative (Temporary Licence) 1

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

LINDQVIST Kjell Thomas BFM408 Licensed Representative (Temporary Licence) 1

LINTON Charles Harold BKM657 Licensed Representative (Temporary Licence) 4

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

LOUTREL DE PETIGNY DE SAINT ROMAIN Agnes, Marie,

SylvieBKC187 Licensed Representative (Temporary Licence) 10

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

LUBOFF David Simon BLA796 Licensed Representative (Temporary Licence) 1

LUTEREAU Pablo Federico BJU418 Licensed Representative (Temporary Licence) 10

MALHOTRA Gaurav BEB422 Licensed Representative (Temporary Licence) 4

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

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

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

MODY Andrea Crawford BIB416 Licensed Representative (Temporary Licence) 1

MOUTHON Alexandre Remy BCT481 Licensed Representative (Temporary Licence) 1

MUNAKATA Minami BIX260 Licensed Representative (Temporary Licence) 4

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

MYLOTT Louise Renee BLB228 Licensed Representative (Temporary Licence) 1

NAIR Prashant Gopinathan BEN187 Licensed Representative (Temporary Licence) 4

NIETSCH Eric Clark BIA055 Licensed Representative (Temporary Licence) 10

OLSEN John William BKT383 Licensed Representative (Temporary Licence) 1

ONUMA Kazuhiko BHA489 Licensed Representative (Temporary Licence) 1

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

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

PATWARI Priyank BHK693 Licensed Representative (Temporary Licence) 1

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

PESANELLO Raymond Joseph BKQ873 Licensed Representative (Temporary Licence) 1

PHELPS Mark Ivor AZE639 Licensed Representative (Temporary Licence) 1

PILCHER Bradford Larkin BKQ459 Licensed Representative (Temporary Licence) 1

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

PRANOTO Henry Sulistyo BHO644 Licensed Representative (Temporary Licence) 1

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

PUTRA Igor Nyoman BDR834 Licensed Representative (Temporary Licence) 4

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

RAMJEE Shaniel BFS335 Licensed Representative (Temporary Licence) 1

REID Rodney Radcliffe BLA846 Licensed Representative (Temporary Licence) 1

Page 30 of 31

Page 31: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING … · ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017 CE Name CE No. Licence Type Types of Regulated

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2017

CE Name CE No. Licence Type Types of Regulated Activity

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

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

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

SAKAMOTO Yusuke AUV633 Licensed Representative (Temporary Licence) 1

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

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

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

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

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

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

SUGARMAN Lawrence Joel BDH042 Licensed Representative (Temporary Licence) 1

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

TAKAHASHI Ikuo BJZ744 Licensed Representative (Temporary Licence) 1

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

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

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

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

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

TEEPLE Louise AUV927 Licensed Representative (Temporary Licence) 1

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

TERAI Motoki BJZ740 Licensed Representative (Temporary Licence) 1

TIWARI Atul Kumar BDT253 Licensed Representative (Temporary Licence) 4

VANDERPUMP William James BEG371 Licensed Representative (Temporary Licence) 4

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

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

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

WELCH Michael Godfrey BGN066 Licensed Representative (Temporary Licence) 4

WILKINS Clarke Harold BEN577 Licensed Representative (Temporary Licence) 4

WILLIAMSON Sarah Kim BDP921 Licensed Representative (Temporary Licence) 1

WINARDI Ronald AXL931 Licensed Representative (Temporary Licence) 4

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

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

YOSHIDA Arifumi BEA842 Licensed Representative (Temporary Licence) 4

YOSHIOKA Masahiko BHJ396 Licensed Representative (Temporary Licence) 1

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

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

ZHONG Tiantian AZB127 Licensed Representative (Temporary Licence) 1

ZUBRINICH Kieran John ANQ331 Licensed Representative (Temporary Licence) 1

Page 31 of 31