condition variations of licensed persons / registered ...

CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS DURING 05/2014

Page 1 of 121

CE Name: China Finance Holdings Limited CE No.: AGK049 Licence Type: Licensed Corporation Condition Removed: For Type 1 regulated activity, (1) Finet Introducing Broker Limited shall not hold client assets; (2) Finet Introducing Broker Limited shall not conduct dealing business other than introducing persons to BOCI Online Trading Limited or an exchange participant of a recognized exchange company, in order that they may - (i) effect dealings in securities; (ii) make offers to deal in securities; and (3) in connection with the persons so introduced, Finet Introducing Broker will not incur any liability to any person except for its own negligence, willful default or fraud. Condition Level: Type 1 Regulated Activity CE Name: Bradesco Securities Hong Kong Limited CE No.: AXU875 Licence Type: Licensed Corporation Condition Removed: For Type 1 regulated activity, the licensee shall not conduct business other than (a) communicating offers to effect dealings in securities to its group companies in the names of the persons from whom those offers are received; and (b) introducing persons to its group companies in order that they may (i) effect dealings in securities overseas; or (ii) make offers to deal in securities overseas. Condition Level: Type 1 Regulated Activity CE Name: VC Capital Limited CE No.: AAG899 Licence Type: Licensed Corporation Condition Added: For Type 6 regulated activity, the licensee shall not act as sponsor in respect of an application for the listing on a recognized stock market of any securities apart from completing sponsor or compliance adviser work which it became contractually bound to complete prior to 29 April 2014. Condition Level: Type 6 Regulated Activity CE Name: CLSA Capital Markets Limited CE No.: AAK249 Licence Type: Licensed Corporation Condition Added: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity


Page 2 of 121

CE Name: UOB Kay Hian (Hong Kong) Limited CE No.: AAW261 Licence Type: Licensed Corporation Condition Removed: For Type 6 regulated activity, the licensee shall not act as sponsor in respect of an application for the listing on a recognized stock market of any securities apart from completing sponsor or compliance advisor work which it became contractually bound to complete prior to 10 February 2013. Condition Level: Type 6 Regulated Activity CE Name: UOB Kay Hian (Hong Kong) Limited CE No.: AAW261 Licence Type: Licensed Corporation Condition Added: For Type 6 regulated activity, the licensee shall not act as sponsor in respect of an application for the listing on a recognized stock market of any securities. Condition Level: Type 6 Regulated Activity CE Name: Yuanta Securities (Hong Kong) Company Limited CE No.: ABS015 Licence Type: Licensed Corporation Condition Removed: For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission. Condition Level: Type 6 Regulated Activity CE Name: Yuanta Securities (Hong Kong) Company Limited CE No.: ABS015 Licence Type: Licensed Corporation Condition Added: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: Guosen Securities (HK) Capital Company Limited CE No.: AUX600 Licence Type: Licensed Corporation Condition Removed: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity


Page 3 of 121

CE Name: Ping An of China Capital (Hong Kong) Company Limited CE No.: AWB701 Licence Type: Licensed Corporation Condition Added: For Type 6 regulated activity, the licensee shall not act as sponsor in respect of an application for the listing on a recognized stock market of any securities apart from completing sponsor or compliance adviser work which it became contractually bound to complete prior to 25 April 2014. Condition Level: Type 6 Regulated Activity CE Name: Chief Financial Capital Limited CE No.: BAQ537 Licence Type: Licensed Corporation Condition Added: For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission. Condition Level: Type 6 Regulated Activity CE Name: Chief Financial Capital Limited CE No.: BAQ537 Licence Type: Licensed Corporation Condition Removed: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: BlackRock Asset Management North Asia Limited CE No.: AFF275 Licence Type: Licensed Corporation Condition Removed: The licensee shall not hold client assets. The terms "hold" and "client assets" are as defined under the Securities and Futures Ordinance. Condition Level: Licence CE Name: Mirae Asset Global Investments (Hong Kong) Limited CE No.: ALK083 Licence Type: Licensed Corporation Condition Removed: The licensee shall not hold client assets. The terms "hold" and "client assets" are as defined under the Securities and Futures Ordinance. Condition Level: Licence


Page 4 of 121

CE Name: TC Capital Asia Limited CE No.: AUW496 Licence Type: Licensed Corporation Condition Removed: The licensee shall only provide services to professional investors. The term "professional investor" is as defined in the Securities and Futures Ordinance and its subsidiary legislation. Condition Level: Licence CE Name: AU Chong Kit, Stanley CE No.: AAA969 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: WONG Sek Ming, Paul CE No.: AAV864 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: WONG Sek Ming, Paul CE No.: AAV864 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: JAO Meng Yu CE No.: ABZ024


Page 5 of 121

Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: HEYES Richard Charles CE No.: ACR432 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: HEYES Richard Charles CE No.: ACR432 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CHAU Suk Bing, Tanny CE No.: ADJ393 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: CHAN Tung Yuen CE No.: ADO401 Licence Type: Licensed Representative Condition Removed:


Page 6 of 121

For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: CHAN Tung Yuen CE No.: ADO401 Licence Type: Licensed Representative Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: LAI Chung Cheong CE No.: ADZ903 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LAI Chung Cheong CE No.: ADZ903 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: NG Fong Chun CE No.: AFG500 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect:


Page 7 of 121

(i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: NG Fong Chun CE No.: AFG500 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: LAM Sim Kuen, Vernier CE No.: AFU436 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LAM Wai Nam CE No.: AGE034 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.


Page 8 of 121

Condition Level: Type 1 Regulated Activity CE Name: YAN Man Sing, Frankie CE No.: AGF408 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: YAN Man Sing, Frankie CE No.: AGF408 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: CHAN Ka Yee CE No.: AGK773 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: BORCH Michael CE No.: AHM899 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: HUREWITZ Joel Allan CE No.: AIN756 Licence Type: Licensed Representative - Responsible Officer


Page 9 of 121

Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: HUREWITZ Joel Allan CE No.: AIN756 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: LUI Tak Yan CE No.: AJO142 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: CHEUNG Sung Yiu, Raymond CE No.: AKS993 Licence Type: Licensed Representative Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: CHEUNG Sung Yiu, Raymond CE No.: AKS993 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect:


Page 10 of 121

(i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: BRADY Matthew Robert Murray CE No.: ALH727 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LO Yin CE No.: ALR886 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: LAU Keith Ka Ki CE No.: ALZ174 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: GRAHAM Kym Alexander


Page 11 of 121

CE No.: AMF900 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: GRAHAM Kym Alexander CE No.: AMF900 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LUO Zhenxia CE No.: AMM420 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LUO Zhenxia CE No.: AMM420 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and


Page 12 of 121

(b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: LAWIN Scott Martin CE No.: AMW614 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: CHU Hon Kei CE No.: ANA184 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: CHU Hon Kei CE No.: ANA184 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: TSENG Jason CE No.: ANN054 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or


Page 13 of 121

(ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: SHEN Zheqing CE No.: ANQ750 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: HILL Victoria Margaret Nahathai CE No.: AOT983 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: WAI Anthony Bosco Sze Yuen CE No.: AOY482 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: WAI Anthony Bosco Sze Yuen CE No.: AOY482 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect:


Page 14 of 121

(i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: WONG King Chung CE No.: APB407 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: WONG King Chung CE No.: APB407 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: WONG King Chung CE No.: APB407 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: CHEUNG Koon Nam CE No.: APW340 Licence Type: Licensed Representative - Responsible Officer Condition Removed:


Page 15 of 121

This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CHEUNG Koon Nam CE No.: APW340 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: JIANG Weijia CE No.: AQQ338 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: JIANG Weijia CE No.: AQQ338 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity


Page 16 of 121

CE Name: CANTER Todd Allen CE No.: AQQ521 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: VICKERTON Thomas Andrew CE No.: AQR712 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 12 June 2014 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 1 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: POON Tai Cheung CE No.: AQY872 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: YU Hin Yin CE No.: ARD759 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is:


Page 17 of 121

(a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: WONG Chak Kei, Jack CE No.: ARN581 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: ROWE Damian Marcus CE No.: ASH901 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: ROWE Damian Marcus CE No.: ASH901 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: LAU Muk Hoi CE No.: AUQ375 Licence Type: Licensed Representative - Responsible Officer


Page 18 of 121

Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: RODRIGUEZ Gerardo Emanuel CE No.: AVC259 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 17 April 2014 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 1 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: ZHAN Meiqing CE No.: AWD580 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: ZHAN Meiqing CE No.: AWD580 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity


Page 19 of 121

CE Name: NIEDERBERGER Jurg Hans CE No.: AWE845 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: WRIGHT Finlay Francis Harry CE No.: AWL692 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: WRIGHT Finlay Francis Harry CE No.: AWL692 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: WRIGHT Finlay Francis Harry CE No.: AWL692 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: KATO Takaya CE No.: AXC437


Page 20 of 121

Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 14 July 2014 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 1 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: WONG Quee Quee, Jeffrey CE No.: AXK065 Licence Type: Licensed Representative Condition Removed: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: WONG Quee Quee, Jeffrey CE No.: AXK065 Licence Type: Licensed Representative Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: HUNN Toby Edmund CE No.: AXX646 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: HUNN Toby Edmund CE No.: AXX646 Licence Type: Licensed Representative - Responsible Officer Condition Added:


Page 21 of 121

This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: BOYLE James Joseph CE No.: AZC785 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: BOYLE James Joseph CE No.: AZC785 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: YAMASHITA Hajime CE No.: BBP359 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


Page 22 of 121

whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: YAMASHITA Hajime CE No.: BBP359 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: DAWSON Christopher John CE No.: BBQ139 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 21 April 2014 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 1 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CHIN Justin Fei CE No.: BBQ917 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: MUELLER Alois CE No.: BBS454 Licence Type: Licensed Representative - Responsible Officer


Page 23 of 121

Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: MUELLER Alois CE No.: BBS454 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: SOHN Jeik CE No.: BBZ008 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CLERIS Damien Gildas CE No.: BBZ652 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


Page 24 of 121

whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: JUTTING Rurik George Caton CE No.: BBZ709 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: SANDSTROM Jon Olof CE No.: BCA039 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: HU Mingyue CE No.: BCA416 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity


Page 25 of 121

CE Name: LAM Henry Hong Kee CE No.: BCC277 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: BRIGGS James Thomas Edward CE No.: BCC466 Licence Type: Licensed Representative Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 19 November 2014 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 1 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: HASHAM Faisal Alireza CE No.: BCC825 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: YUAN Chengwei CE No.: BCC922 Licence Type: Licensed Representative


Page 26 of 121

Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: KWAN Kin Man CE No.: BCC923 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: MCOMISH Dougal Ross CE No.: BCC967 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: WANG Yu CE No.: BCD200 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or


Page 27 of 121

(ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: KWOK Kwong Yin CE No.: BCD622 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: QUEK Priscilla Hui Yu CE No.: BCE331 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: WEI Jia CE No.: BCE780 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


Page 28 of 121

whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: MOONEY Damien Martin CE No.: BCF620 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CHONG Nien Lin, Danny CE No.: BCF796 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: NG Tzu Ying Adrian CE No.: BCG135 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity


Page 29 of 121

CE Name: DE MASCAREL DE LA CORBIERE Nicolas Charles Philippe CE No.: BCG185 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: SINGH Amanita CE No.: BCG280 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: FANG Qingli CE No.: BCI036 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CHUREI Daisuke CE No.: BCI316 Licence Type: Licensed Representative - Responsible Officer


Page 30 of 121

Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CHUREI Daisuke CE No.: BCI316 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: HOLLIS Vincent Edward James CE No.: BCI711 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: XI Jiahe CE No.: BCJ300 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


Page 31 of 121

whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LEUNG Man Sik Manz CE No.: BCK772 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: SINGHAKOWIN Kenric CE No.: BCK830 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: WANG Yanhan CE No.: BCK851 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity


Page 32 of 121

CE Name: WANG Luying CE No.: BCK872 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: YANAGIBASHI Junichi CE No.: BCM808 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: MAO Renji CE No.: BCN279 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: KOHLI Ayush CE No.: BCN929 Licence Type: Licensed Representative


Page 33 of 121

Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: WONG Jun Yu, John CE No.: BCS463 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LI Kam Yu CE No.: BCS770 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: BARTKOWIAK Darla Kerlee CE No.: BCT186 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or


Page 34 of 121

(ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LIAN Sihua CE No.: BCT640 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: YUAN Yunfei CE No.: BCU275 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: BROWN Sebastian Gordon CE No.: BCU731 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


Page 35 of 121

whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: NIHIRA Hideomi CE No.: BCU991 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: MUNAGALA Venkata Surya Nagendra Saiprasad CE No.: BCV152 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: SAIGAL Seema CE No.: BCV276 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity


Page 36 of 121

CE Name: WANG Xiaoxian CE No.: BCY754 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: HUNG Hing Chun CE No.: BCZ484 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: JIN Frank CE No.: BDA234 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: FANG Yanlai CE No.: BDA475 Licence Type: Licensed Representative


Page 37 of 121

Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: HU Jia CE No.: BDA720 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: NING Hiu Lun CE No.: BDC861 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: HU Anxiang CE No.: BDC877 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or


Page 38 of 121

(ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: HON Wai Lin, William CE No.: BDD014 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: PARK Hye Jin CE No.: BDD041 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: WONG Hiu Lam CE No.: BDD515 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


Page 39 of 121

whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: WONG Chung Ning CE No.: BDD727 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: POON Shing Chi CE No.: BDD899 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LEE Ji Su CE No.: BDE438 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity


Page 40 of 121

CE Name: HEALY Sean Conrad CE No.: BDE817 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CHAN Wong Kit CE No.: BDF051 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: MURALIKRISHNAN AKHIL CE No.: BDF558 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LIM Joanne Yue Shan CE No.: BDF560 Licence Type: Licensed Representative


Page 41 of 121

Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LIU Ruiyuan CE No.: BDG870 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: BOWEN Mark David CE No.: BDH261 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: GILBERT Alexandre CE No.: BDH521 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or


Page 42 of 121

(ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: WONG Kam Wing CE No.: AAE562 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: LAM Wai Nam CE No.: AGE034 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: SPARROW Nicholas Charles CE No.: AHF977 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


Page 43 of 121

whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: KWOK Ying Cheuk CE No.: AKU150 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 2 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 2 Regulated Activity CE Name: LAWIN Scott Martin CE No.: AMW614 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 2 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 2 Regulated Activity CE Name: TSENG Jason CE No.: ANN054 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: YU Gregory Hock-ken CE No.: ANX686 Licence Type: Licensed Representative - Responsible Officer Condition Removed:


Page 44 of 121

For Type 2 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 2 Regulated Activity CE Name: YU Gregory Hock-ken CE No.: ANX686 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: HILL Victoria Margaret Nahathai CE No.: AOT983 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: VICKERTON Thomas Andrew CE No.: AQR712 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 12 June 2014 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 1 pursuant to the Guidelines on


Page 45 of 121

Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: YIP Ki CE No.: AUF153 Licence Type: Licensed Representative Condition Removed: For Type 2 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 2 Regulated Activity CE Name: RODRIGUEZ Gerardo Emanuel CE No.: AVC259 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 17 April 2014 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 1 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: KATO Takaya CE No.: AXC437 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 14 July 2014 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 1 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: SHAO Huabin CE No.: AXM025 Licence Type: Licensed Representative - Responsible Officer Condition Removed:


Page 46 of 121

For Type 2 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 2 Regulated Activity CE Name: LI Zheng CE No.: AXW275 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 2 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 2 Regulated Activity CE Name: HUNN Toby Edmund CE No.: AXX646 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: HUNN Toby Edmund CE No.: AXX646 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 2 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 2 Regulated Activity CE Name: EAST Jeremy John CE No.: BBL064 Licence Type: Licensed Representative - Responsible Officer


Page 47 of 121

Condition Removed: For Type 2 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 2 Regulated Activity CE Name: EAST Jeremy John CE No.: BBL064 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) after 30 April 2014 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 3 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: DAWSON Christopher John CE No.: BBQ139 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 21 April 2014 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 1 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: CHIN Justin Fei CE No.: BBQ917 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


Page 48 of 121

whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: TENG Yen-hui CE No.: BBW929 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: TENG Yen-hui CE No.: BBW929 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 2 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 2 Regulated Activity CE Name: JUTTING Rurik George Caton CE No.: BBZ709 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: LEE Jean CE No.: BCA442


Page 49 of 121

Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: BRIGGS James Thomas Edward CE No.: BCC466 Licence Type: Licensed Representative Condition Added: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 19 November 2014 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 1 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: FANG Qingli CE No.: BCI036 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: HOLLIS Vincent Edward James CE No.: BCI711 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect:


Page 50 of 121

(i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: XI Jiahe CE No.: BCJ300 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: OVAERT Brian Patrick CE No.: BCJ985 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: KOHLI Ayush CE No.: BCN929 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


Page 51 of 121

whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: WONG Jun Yu, John CE No.: BCS463 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: LIAN Sihua CE No.: BCT640 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: NIHIRA Hideomi CE No.: BCU991 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity


Page 52 of 121

CE Name: MUNAGALA Venkata Surya Nagendra Saiprasad CE No.: BCV152 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: SAIGAL Seema CE No.: BCV276 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: HON Wai Lin, William CE No.: BDD014 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: WONG Hiu Lam CE No.: BDD515 Licence Type: Licensed Representative


Page 53 of 121

Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: LEE Ji Su CE No.: BDE438 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: HEALY Sean Conrad CE No.: BDE817 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: MURALIKRISHNAN AKHIL CE No.: BDF558 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or


Page 54 of 121

(ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: LIM Joanne Yue Shan CE No.: BDF560 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: LIU Ruiyuan CE No.: BDG870 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: BOWEN Mark David CE No.: BDH261 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


Page 55 of 121

whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: GILBERT Alexandre CE No.: BDH521 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: AU Chong Kit, Stanley CE No.: AAA969 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 3 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 3 Regulated Activity CE Name: CHU Andrew CE No.: AAH245 Licence Type: Licensed Representative Condition Removed: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: WONG Ying Kwan CE No.: ACC080 Licence Type: Licensed Representative Condition Removed: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity


Page 56 of 121

CE Name: HUNG King Wan CE No.: ADA739 Licence Type: Licensed Representative Condition Added: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: CHEUNG Fei Chau CE No.: AGC679 Licence Type: Licensed Representative Condition Removed: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: NG Kwok Hung CE No.: AHF840 Licence Type: Licensed Representative Condition Added: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: WONG Po Kit CE No.: AIO070 Licence Type: Licensed Representative Condition Added: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: TONG Hin Jo CE No.: ALA312 Licence Type: Licensed Representative Condition Removed: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: CHAN Chi Hung CE No.: AMN881 Licence Type: Licensed Representative Condition Added: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients.


Page 57 of 121

Condition Level: Type 3 Regulated Activity CE Name: TONG Yu On CE No.: ANT603 Licence Type: Licensed Representative Condition Removed: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: CHAN Ho Wai CE No.: ANU067 Licence Type: Licensed Representative Condition Added: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: CHAN Tsz Kin CE No.: ANW367 Licence Type: Licensed Representative Condition Added: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: SHUM Hong Nin CE No.: APG475 Licence Type: Licensed Representative Condition Added: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: LEUNG Chin Yu, Edmond CE No.: APO551 Licence Type: Licensed Representative Condition Added: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: HUANG Ting-Yu CE No.: AQN542 Licence Type: Licensed Representative Condition Added:


Page 58 of 121

For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: FUNG Ka Ho, Eric CE No.: AUA455 Licence Type: Licensed Representative Condition Removed: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: YAU Man Li CE No.: AVE046 Licence Type: Licensed Representative Condition Added: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: LO Dickson Tat San CE No.: AVM658 Licence Type: Licensed Representative Condition Removed: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: ZHANG Cheng CE No.: AYG624 Licence Type: Licensed Representative Condition Added: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: YING Hong Ching Ryan CE No.: AZK887 Licence Type: Licensed Representative Condition Removed: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: YU Tai Wai CE No.: BCC292


Page 59 of 121

Licence Type: Licensed Representative Condition Added: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: HONG Yu Shing CE No.: BCO533 Licence Type: Licensed Representative Condition Added: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: LO Shu Pui CE No.: BCO572 Licence Type: Licensed Representative Condition Added: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: FAN Hoi Chi CE No.: BCO597 Licence Type: Licensed Representative Condition Added: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: LAW Wai Keung CE No.: BCO699 Licence Type: Licensed Representative Condition Added: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: IP Wai Hong CE No.: BCO701 Licence Type: Licensed Representative Condition Added: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity


Page 60 of 121

CE Name: CHAN Chi Ho CE No.: BCO707 Licence Type: Licensed Representative Condition Added: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: CHAN Ka Wing, Amy CE No.: BCO965 Licence Type: Licensed Representative Condition Added: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: WONG Man Yan, Susanna CE No.: BCW506 Licence Type: Licensed Representative Condition Added: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: BAIG Mohammed Adil CE No.: BDA521 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 3 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 3 Regulated Activity CE Name: AU Chong Kit, Stanley CE No.: AAA969 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and


Page 61 of 121

(b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: LAW Wing Fai, Spencer CE No.: AAK487 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: WONG Sek Ming, Paul CE No.: AAV864 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: WONG Sek Ming, Paul CE No.: AAV864 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: CHENG Ka Wa CE No.: ABS482 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is:


Page 62 of 121

(a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: NGAI Ting Huen CE No.: ACI584 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: HEYES Richard Charles CE No.: ACR432 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: SUBRAMANIAN Vijaya CE No.: AEA287 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: NG Fong Chun CE No.: AFG500 Licence Type: Licensed Representative - Responsible Officer


Page 63 of 121

Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: NG Fong Chun CE No.: AFG500 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: SMITH Dennis Michael CE No.: AFI982 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: SMITH Dennis Michael CE No.: AFI982 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity


Page 64 of 121

CE Name: KWOK Wing Wai, Vivian CE No.: AGL163 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: KWOK Wing Wai, Vivian CE No.: AGL163 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: HUREWITZ Joel Allan CE No.: AIN756 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: HUREWITZ Joel Allan CE No.: AIN756 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


Page 65 of 121

whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: XU Hang CE No.: AJL688 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: CHEUNG Sung Yiu, Raymond CE No.: AKS993 Licence Type: Licensed Representative Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: CHEUNG Sung Yiu, Raymond CE No.: AKS993 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: PARK Charles Chansik CE No.: AME470 Licence Type: Licensed Representative - Responsible Officer Condition Added:


Page 66 of 121

For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: PARK Charles Chansik CE No.: AME470 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: NG Fai Nam CE No.: AMF698 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: GRAHAM Kym Alexander CE No.: AMF900 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity


Page 67 of 121

CE Name: GRAHAM Kym Alexander CE No.: AMF900 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: WEI Chung-Liang CE No.: AML182 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: WEI Chung-Liang CE No.: AML182 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: FUNG Chen Tung CE No.: ANR750 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity


Page 68 of 121

CE Name: FUNG Chen Tung CE No.: ANR750 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: PAN Chih-Chiang CE No.: APR580 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: PAN Chih-Chiang CE No.: APR580 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: BAO Quan CE No.: APX218 Licence Type: Licensed Representative - Responsible Officer Condition Added:


Page 69 of 121

For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: JIANG Weijia CE No.: AQQ338 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: JIANG Weijia CE No.: AQQ338 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: CANTER Todd Allen CE No.: AQQ521 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: SHEA Wing Kai CE No.: AQV005 Licence Type: Licensed Representative - Responsible Officer


Page 70 of 121

Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: WONG Pak Chun CE No.: AQZ536 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: WONG Pak Chun CE No.: AQZ536 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: ROWE Damian Marcus CE No.: ASH901 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity


Page 71 of 121

CE Name: ROWE Damian Marcus CE No.: ASH901 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: LAU Muk Hoi CE No.: AUQ375 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: RODRIGUEZ Gerardo Emanuel CE No.: AVC259 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 17 April 2014 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 1 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: CHANG Che Chung CE No.: AVH886 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity


Page 72 of 121

CE Name: CHANG Che Chung CE No.: AVH886 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: NIEDERBERGER Jurg Hans CE No.: AWE845 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: WRIGHT Finlay Francis Harry CE No.: AWL692 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: WRIGHT Finlay Francis Harry CE No.: AWL692 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


Page 73 of 121

whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: LEE Ming Tat CE No.: AWP707 Licence Type: Licensed Representative Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: WONG Quee Quee, Jeffrey CE No.: AXK065 Licence Type: Licensed Representative Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: XIE Hong CE No.: AXX708 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: YANG Wei-Lun CE No.: AXZ658 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect:


Page 74 of 121

(i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: FENG Lingtian CE No.: AYQ548 Licence Type: Licensed Representative Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 19 November 2014 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 1 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: YAMASHITA Hajime CE No.: BBP359 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: YAMASHITA Hajime CE No.: BBP359 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition.


Page 75 of 121

Condition Level: Type 4 Regulated Activity CE Name: MUELLER Alois CE No.: BBS454 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: MUELLER Alois CE No.: BBS454 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: CHAN Sing Lam John Paul CE No.: BBT930 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: BROWN Zachary Christopher Conway CE No.: BBZ488 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect:


Page 76 of 121

(i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: CLERIS Damien Gildas CE No.: BBZ652 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: CHANDUKA Nitin CE No.: BCB655 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: BRENNER Patrick Olivier CE No.: BCC759 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


Page 77 of 121

whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: YUAN Chengwei CE No.: BCC922 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: QUEK Priscilla Hui Yu CE No.: BCE331 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: WANG Dian CE No.: BCE889 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity


Page 78 of 121

CE Name: ZHANG Xinzhe CE No.: BCE891 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: MOONEY Damien Martin CE No.: BCF620 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: YOU Na CE No.: BCF979 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: NG Tzu Ying Adrian CE No.: BCG135 Licence Type: Licensed Representative


Page 79 of 121

Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: DE MASCAREL DE LA CORBIERE Nicolas Charles Philippe CE No.: BCG185 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: CHUREI Daisuke CE No.: BCI316 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: CHUREI Daisuke CE No.: BCI316 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is:


Page 80 of 121

(a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: NG Siu Hong CE No.: BCK507 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: WANG Yanhan CE No.: BCK851 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: KOHLI Ayush CE No.: BCN929 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity


Page 81 of 121

CE Name: LI Kam Yu CE No.: BCS770 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: BARTKOWIAK Darla Kerlee CE No.: BCT186 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: BROWN Sebastian Gordon CE No.: BCU731 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: HU Xing CE No.: BCX195 Licence Type: Licensed Representative Condition Removed:


Page 82 of 121

This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: SHARP Timothy CE No.: BCY381 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: ZENG Zhan CE No.: BCZ088 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: LIU Ruoxu CE No.: BCZ269 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or


Page 83 of 121

(ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: JIN Frank CE No.: BDA234 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: FANG Yanlai CE No.: BDA475 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: PARK Hye Jin CE No.: BDD041 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


Page 84 of 121

whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: POON Shing Chi CE No.: BDD899 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: HEALY Sean Conrad CE No.: BDE817 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: SUBRAMANIAN Vijaya CE No.: AEA287 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 5 Regulated Activity


Page 85 of 121

CE Name: SHAH Hetalkumar Bipinchandra CE No.: AGP774 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 5 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 5 Regulated Activity CE Name: LEE Tony Sai Kuen CE No.: AJH983 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 5 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 5 Regulated Activity CE Name: LEE Tony Sai Kuen CE No.: AJH983 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 5 Regulated Activity CE Name: YU Gregory Hock-ken CE No.: ANX686 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 5 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition.


Page 86 of 121

Condition Level: Type 5 Regulated Activity CE Name: YU Gregory Hock-ken CE No.: ANX686 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 5 Regulated Activity CE Name: RODRIGUEZ Gerardo Emanuel CE No.: AVC259 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 17 April 2014 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 1 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 5 Regulated Activity CE Name: EAST Jeremy John CE No.: BBL064 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 5 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 5 Regulated Activity CE Name: EAST Jeremy John CE No.: BBL064 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect:


Page 87 of 121

(i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) after 30 April 2014 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 3 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 5 Regulated Activity CE Name: LEE Jean CE No.: BCA442 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 5 Regulated Activity CE Name: KOHLI Ayush CE No.: BCN929 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 5 Regulated Activity CE Name: MUNAGALA Venkata Surya Nagendra Saiprasad CE No.: BCV152 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


Page 88 of 121

whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 5 Regulated Activity CE Name: HEALY Sean Conrad CE No.: BDE817 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 5 Regulated Activity CE Name: YIU Chi Wah CE No.: ACT308 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: YIU Chi Wah CE No.: ACT308 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission. Condition Level: Type 6 Regulated Activity CE Name: SHIU Shu Ming CE No.: ADS601 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission. Condition Level: Type 6 Regulated Activity


Page 89 of 121

CE Name: SHIU Shu Ming CE No.: ADS601 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: SHIU Shu Ming CE No.: ADS601 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: YIN Richard Yingneng CE No.: AEF534 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission. Condition Level: Type 6 Regulated Activity CE Name: CHEUNG Wai Lik CE No.: AEK034 Licence Type: Licensed Representative Condition Removed: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: CHAU Shamrock Roy CE No.: AEO767 Licence Type: Licensed Representative - Responsible Officer Condition Added:


Page 90 of 121

For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission. Condition Level: Type 6 Regulated Activity CE Name: CHANG Yick Wai, Albert CE No.: AFA799 Licence Type: Licensed Representative Condition Removed: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: MUI Suet Yee, Phoebe CE No.: AGK771 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: HO Ming Yan CE No.: AHH576 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: HO Ming Yan CE No.: AHH576 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


Page 91 of 121

whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: BORCH Michael CE No.: AHM899 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: LOKE Wai Ming CE No.: AIB803 Licence Type: Licensed Representative Condition Removed: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: YIM Yu Tak CE No.: AIR501 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: YIM Yu Tak CE No.: AIR501 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


Page 92 of 121

whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: YIM Yu Tak CE No.: AIR501 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: CHUNILAL Damian Ratilal CE No.: AJH327 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: LUI Tak Yan CE No.: AJO142 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission. Condition Level: Type 6 Regulated Activity CE Name: LO Yin CE No.: ALR886 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and


Page 93 of 121

Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: LUO Zhenxia CE No.: AMM420 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission. Condition Level: Type 6 Regulated Activity CE Name: LUO Zhenxia CE No.: AMM420 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: LUO Zhenxia CE No.: AMM420 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: SHEN Zheqing CE No.: ANQ750 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition.


Page 94 of 121

Condition Level: Type 6 Regulated Activity CE Name: LU Yan CE No.: ANR968 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: LU Yan CE No.: ANR968 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: LAM Ching Lok Gary CE No.: AOH038 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: LI Fang CE No.: AOR995 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission. Condition Level: Type 6 Regulated Activity


Page 95 of 121

CE Name: LI Fang CE No.: AOR995 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: YIP Cheuk Tung, Tony CE No.: AOY049 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: WONG King Chung CE No.: APB407 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: WONG King Chung CE No.: APB407 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: WONG King Chung


Page 96 of 121

CE No.: APB407 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission. Condition Level: Type 6 Regulated Activity CE Name: CHEUNG Ho Kong CE No.: APC384 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: JIANG Jun CE No.: AQI866 Licence Type: Licensed Representative Condition Removed: For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission. Condition Level: Type 6 Regulated Activity CE Name: LU Yi CE No.: AQR105 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: LU Yi CE No.: AQR105 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission. Condition Level: Type 6 Regulated Activity


Page 97 of 121

CE Name: CHEN Zhiping CE No.: AVL398 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: CHEN Zhiping CE No.: AVL398 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: CHEN Zhiping CE No.: AVL398 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: LEE Kar Chung, Felix CE No.: AYW243 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission. Condition Level: Type 6 Regulated Activity CE Name: LO Kai Yeung Kenneth


Page 98 of 121

CE No.: BBZ176 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: YUAN Chengwei CE No.: BCC922 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: MCOMISH Dougal Ross CE No.: BCC967 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: WANG Yu CE No.: BCD200 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect:


Page 99 of 121

(i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: CRAWFORD Bryan CE No.: BCG557 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: XIONG Xinze CE No.: BCH640 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: WANG Yanhan CE No.: BCK851 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


Page 100 of 121

whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: WANG Luying CE No.: BCK872 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: YANAGIBASHI Junichi CE No.: BCM808 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: MAO Renji CE No.: BCN279 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity


Page 101 of 121

CE Name: YU Fan Yun CE No.: BCR975 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: LI Kam Yu CE No.: BCS770 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: YUAN Yunfei CE No.: BCU275 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: KELL Neil CE No.: BCV334 Licence Type: Licensed Representative


Page 102 of 121

Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: MOK Chui Shan CE No.: BCW529 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: HU Jia CE No.: BCX204 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: JIN Frank CE No.: BDA234 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or


Page 103 of 121

(ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: HU Jia CE No.: BDA720 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: WONG Chung Ning CE No.: BDD727 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: HO Irene Man Yi CE No.: BDF016 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


Page 104 of 121

whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: LEE Ho Yin CE No.: BDI687 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: GILBERT Alexandre CE No.: BDH521 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 7 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 7 Regulated Activity CE Name: AU Chong Kit, Stanley CE No.: AAA969 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: TO Koon Hung, Andrew CE No.: AAD599


Page 105 of 121

Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: TO Koon Hung, Andrew CE No.: AAD599 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: LIN Wan Ni CE No.: ACZ640 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: SUBRAMANIAN Vijaya CE No.: AEA287 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


Page 106 of 121

whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: TANG Ka Nam CE No.: AFM342 Licence Type: Licensed Representative Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: PO On Ki, Angela CE No.: AFN913 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: PO On Ki, Angela CE No.: AFN913 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: TANG Ying CE No.: AKY520 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect:


Page 107 of 121

(i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: TANG Ying CE No.: AKY520 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: CHAN Chi Hang CE No.: ALH858 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: CHAN Chi Hang CE No.: ALH858 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: LAU Keith Ka Ki


Page 108 of 121

CE No.: ALZ174 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: KLAVINS Anna CE No.: AON944 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: PIPLANI Dhruv CE No.: AOX012 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: PIPLANI Dhruv CE No.: AOX012 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or


Page 109 of 121

(ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: PAN Chih-Chiang CE No.: APR580 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: PAN Chih-Chiang CE No.: APR580 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: JIANG Weijia CE No.: AQQ338 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity


Page 110 of 121

CE Name: JIANG Weijia CE No.: AQQ338 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: CANTER Todd Allen CE No.: AQQ521 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: NIEDERBERGER Jurg Hans CE No.: AWE845 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: LEE Ming Tat CE No.: AWP707 Licence Type: Licensed Representative Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: HUANG Shao Hsuan CE No.: AWY449


Page 111 of 121

Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: O'NEIL David Peter CE No.: AYK186 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: DUCKWORTH Cheryl McDaniel CE No.: AYT355 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: NG Chun Hing CE No.: BBT503 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.


Page 112 of 121

Condition Level: Type 9 Regulated Activity CE Name: BROWN Zachary Christopher Conway CE No.: BBZ488 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: SANDSTROM Jon Olof CE No.: BCA039 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: ISHIDA Tomishi CE No.: BCB851 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: BRENNER Patrick Olivier CE No.: BCC759


Page 113 of 121

Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: QUEK Priscilla Hui Yu CE No.: BCE331 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: WANG Dian CE No.: BCE889 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: ZHANG Xinzhe CE No.: BCE891 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect:


Page 114 of 121

(i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: MOONEY Damien Martin CE No.: BCF620 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: NG Tzu Ying Adrian CE No.: BCG135 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: OVAERT Brian Patrick CE No.: BCJ985 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


Page 115 of 121

whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: LIU Haoran CE No.: BCP185 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: HU Xing CE No.: BCX195 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: CHAN Fat Tat CE No.: BCY445 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity


Page 116 of 121

CE Name: FANG Yanlai CE No.: BDA475 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: POON Shing Chi CE No.: BDD899 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: TING Wai Wong, Vivian CE No.: AJI834 Licence Type: Licensed Representative Condition Added: The licensee: (1) shall not carry out the regulated activity(ies) in Hong Kong for more than 30 days in each calendar year; and (2) shall not provide related services to any person other than a professional investor unless the licensee is accompanied at all times by a licensed person in performing the regulated activity(ies) in Hong Kong. The term "professional investor" is as defined in Part 1 of Schedule 1 to the Securities and Futures Ordinance but does not include any person of a class which is prescribed by the Securities and Futures (Professional Investor) Rules. Condition Level: Licence CE Name: WILIANTO . CE No.: AOX432 Licence Type: Licensed Representative


Page 117 of 121

Condition Removed: The licensee: (1) shall not carry out the regulated activity(ies) in Hong Kong for more than 30 days in each calendar year; and (2) shall not provide related services to any person other than a professional investor unless the licensee is accompanied at all times by a licensed person in performing the regulated activity(ies) in Hong Kong. The term "professional investor" is as defined in Part 1 of Schedule 1 to the Securities and Futures Ordinance but does not include any person of a class which is prescribed by the Securities and Futures (Professional Investor) Rules. Condition Level: Licence CE Name: WILIANTO . CE No.: AOX432 Licence Type: Licensed Representative Condition Added: The licensee shall not carry out the regulated activity(ies) in Hong Kong for more than 30 days in each calendar year and shall not provide related services to any person other than a professional investor. The term "professional investor" is as defined in Part 1 of Schedule 1 to the Securities and Futures Ordinance but does not include any person of a class which is prescribed by the Securities and Futures (Professional Investor) Rules. Condition Level: Licence CE Name: MOSES Todd Michael CE No.: AQE599 Licence Type: Licensed Representative Condition Added: The licensee: (1) shall not carry out the regulated activity(ies) in Hong Kong for more than 30 days in each calendar year; and (2) shall not provide related services to any person other than a professional investor unless the licensee is accompanied at all times by a licensed person in performing the regulated activity(ies) in Hong Kong. The term "professional investor" is as defined in Part 1 of Schedule 1 to the Securities and Futures Ordinance but does not include any person of a class which is prescribed by the Securities and Futures (Professional Investor) Rules. Condition Level: Licence CE Name: LI Haoyi CE No.: ASF604 Licence Type: Licensed Representative Condition Removed: The licensee: (1) shall not carry out the regulated activity(ies) in Hong Kong for more than 30 days in each calendar year; and (2) shall not provide related services to any person other than a professional investor unless the licensee is accompanied at all times by a licensed person in performing the regulated activity(ies) in Hong Kong. The term "professional investor" is as defined in Part 1 of


Page 118 of 121

Schedule 1 to the Securities and Futures Ordinance but does not include any person of a class which is prescribed by the Securities and Futures (Professional Investor) Rules. Condition Level: Licence CE Name: XIONG Guangyu CE No.: ATT122 Licence Type: Licensed Representative Condition Added: The licensee: (1) shall not carry out the regulated activity(ies) in Hong Kong for more than 30 days in each calendar year; and (2) shall not provide related services to any person other than a professional investor unless the licensee is accompanied at all times by a licensed person in performing the regulated activity(ies) in Hong Kong. The term "professional investor" is as defined in Part 1 of Schedule 1 to the Securities and Futures Ordinance but does not include any person of a class which is prescribed by the Securities and Futures (Professional Investor) Rules. Condition Level: Licence CE Name: CHEN Kuan-Ju CE No.: AXG605 Licence Type: Licensed Representative Condition Added: The licensee shall not carry out the regulated activity(ies) in Hong Kong for more than 30 days in each calendar year and shall at all times be accompanied by a licensed person in performing the regulated activity(ies) in Hong Kong. Condition Level: Licence CE Name: WONG Quee Quee, Jeffrey CE No.: AXK065 Licence Type: Licensed Representative Condition Added: The licensee shall not carry out the regulated activity(ies) in Hong Kong for more than 30 days in each calendar year and shall not provide related services to any person other than a professional investor. The term "professional investor" is as defined in Part 1 of Schedule 1 to the Securities and Futures Ordinance but does not include any person of a class which is prescribed by the Securities and Futures (Professional Investor) Rules. Condition Level: Licence CE Name: FENG Lingtian CE No.: AYQ548 Licence Type: Licensed Representative Condition Removed: The licensee shall not carry out the regulated activity(ies) in Hong Kong for more than 30 days in each calendar year and shall at all times be accompanied by a licensed person in performing the regulated activity(ies) in Hong Kong. Condition Level: Licence


Page 119 of 121

CE Name: HUANG Jie CE No.: AZX967 Licence Type: Licensed Representative Condition Removed: The licensee shall not carry out the regulated activity(ies) in Hong Kong for more than 30 days in each calendar year and shall at all times be accompanied by a licensed person in performing the regulated activity(ies) in Hong Kong. Condition Level: Licence CE Name: XU Gang CE No.: BBM626 Licence Type: Licensed Representative Condition Added: The licensee shall not carry out the regulated activity(ies) in Hong Kong for more than 30 days in each calendar year and shall at all times be accompanied by a licensed person in performing the regulated activity(ies) in Hong Kong. Condition Level: Licence CE Name: BRIGGS James Thomas Edward CE No.: BCC466 Licence Type: Licensed Representative Condition Removed: The licensee: (1) shall not carry out the regulated activity(ies) in Hong Kong for more than 30 days in each calendar year; and (2) shall not provide related services to any person other than a professional investor unless the licensee is accompanied at all times by a licensed person in performing the regulated activity(ies) in Hong Kong. The term "professional investor" is as defined in Part 1 of Schedule 1 to the Securities and Futures Ordinance but does not include any person of a class which is prescribed by the Securities and Futures (Professional Investor) Rules. Condition Level: Licence CE Name: CHAN Chi Hung CE No.: AMN881 Licence Type: Licensed Representative Condition Removed: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: CHAN Chi Hung CE No.: AMN881 Licence Type: Licensed Representative Condition Removed:


Page 120 of 121

For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: CHAN Yat Lam CE No.: AOW942 Licence Type: Licensed Representative Condition Removed: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: HO King Fai CE No.: ANV293 Licence Type: Licensed Representative Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: TANG Chi Yuen, Nick CE No.: ADZ536 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: CHAN Chi Hung CE No.: AMN881 Licence Type: Licensed Representative Condition Removed: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: CHAN Chi Hung CE No.: AMN881 Licence Type: Licensed Representative


Page 121 of 121

Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: CHAN Yat Lam CE No.: AOW942 Licence Type: Licensed Representative Condition Removed: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: HO King Fai CE No.: ANV293 Licence Type: Licensed Representative Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: TANG Chi Yuen, Nick CE No.: ADZ536 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity

condition variations of licensed persons / registered ...

Documents