REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING … · REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 08/2016 CE Name CE No. Licence Type Types of Regulated

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 08/2016

CE Name CE No. Licence Type Types of Regulated Activity

Benchmark Advisors Limited BBJ781 Licensed Corporation 4, 9

Polymathy Capital Limited BCC831 Licensed Corporation 9

RaffAello Asset Management (HK) Limited BDO001 Licensed Corporation 9

AN Qi BGH033 Licensed Representative 4, 9

ARNOLD Benjamin Richard BDM658 Licensed Representative 1, 2, 7

AU Tsz Ying BGO977 Licensed Representative 1

AU Yiu Fai AFJ091 Licensed Representative 1, 4, 9

BESSON Guillaume Gerard Marie ALI003 Licensed Representative 2

BHARGAVA Siddharth AFP173 Licensed Representative 1, 2

BUCHER Michael Max AFT834 Licensed Representative 1, 2

BUKHAROV Ivan AZV938 Licensed Representative 1, 2

CAI Tingting AWZ416 Licensed Representative 1, 6

CAMPION Andrew David AYI549 Licensed Representative 1, 2

CANVIN Roderick Ewen AOC928 Licensed Representative 1, 2

CHAK Wai Hung BDY891 Licensed Representative 9

CHAN Chi Hang AQU089 Licensed Representative 1, 2

CHAN Chit, Alvin BBT833 Licensed Representative 4, 9

CHAN Chun Hung APH948 Licensed Representative 1, 2, 4

CHAN Chun Wang Simon BCP548 Licensed Representative 1, 2

CHAN Fun, Freda ALQ500 Licensed Representative 1, 4

CHAN Hang Ki BEF820 Licensed Representative 9

CHAN Hiu Pan AYX183 Licensed Representative 1, 4

CHAN Kin Kwan AUN432 Licensed Representative 1

CHAN Mang No, Ana AEA298 Licensed Representative 1, 2

CHAN Pak Ho, Kenneth AQS715 Licensed Representative 1

CHAN Tai Wai BEG036 Licensed Representative 1, 2

CHAN Wing Cheung, Danny AXK799 Licensed Representative 1, 4

CHAN Wing Hang BCF192 Licensed Representative 2, 5

CHANTHONGKAEW Sorach AQX938 Licensed Representative 2

CHEN Chi-Chen BEC946 Licensed Representative 1, 4, 6

CHEN Ding BCW248 Licensed Representative 1, 2, 9

CHEN Geng AQZ729 Licensed Representative 4

CHEN Weisong AOE222 Licensed Representative 1, 4, 9

CHENG Kai Man AMP573 Licensed Representative 1, 2

CHENG Ki Fung Kevin BBD508 Licensed Representative 1, 2, 4

CHENG Yi-Feng AMS323 Licensed Representative 1

CHENG Yin Pan AVL547 Licensed Representative 1, 4, 6

CHENG Yuen Kwan BCE880 Licensed Representative 1, 9

CHERNYY Vladimir BEV305 Licensed Representative 1, 2

CHEUNG Chun Man ANR812 Licensed Representative 1, 4

CHEUNG Kai Hung BGL610 Licensed Representative 1, 4

CHEUNG Lai Him AVI824 Licensed Representative 1

CHEUNG Po Ching BFY109 Licensed Representative 3

CHEUNG Po Ting, Kennis BBF583 Licensed Representative 1

CHEUNG Shu Yan AQM260 Licensed Representative 2, 3

CHEUNG Shuk Bing AGN023 Licensed Representative 1, 4

CHEUNG Yuk Ping AYD129 Licensed Representative 1

CHIANG Kam Wah BFL529 Licensed Representative 1, 2, 3

CHOI Chak Lam, William BDO350 Licensed Representative 1

CHOI Chi Tung BGE624 Licensed Representative 1, 2

CHOI Chun Kit BEP121 Licensed Representative 1

CHONG Ngai Man AZY195 Licensed Representative 1

CHOW Chi Kit AEA837 Licensed Representative 1

CHOW Eddie Kin-yip BDP820 Licensed Representative 1, 9

CHOW Siu Lun, Ronald BFT562 Licensed Representative 1, 4

CHU Soi Pio AGL656 Licensed Representative 2, 3

Page 1 of 17

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 08/2016

CE Name CE No. Licence Type Types of Regulated Activity

CHUA Julian Kok Keong AUB438 Licensed Representative 4

CHUA Yu Min AHN068 Licensed Representative 1, 4, 6

CHUANG Hao-Yuan AVA663 Licensed Representative 4, 9

CHUI Ka Wo, Gary AFU439 Licensed Representative 1

CHUM Ting Pong AAM167 Licensed Representative 1

CHUN Jungil AVL144 Licensed Representative 1

CHUNG Cheuk Hei, Garry BGU387 Licensed Representative 1, 2

CHUNG Fong Yin ABM983 Licensed Representative 1

CHUNG Ka Yan BEP229 Licensed Representative 1

CLARFELT Max Barnaby David BBS514 Licensed Representative 1, 2

COHEN Fabrice, Albert AUI722 Licensed Representative 1, 2, 7

COLEMAN Eleanor Marie BDI772 Licensed Representative 1, 4, 9

COLEY Catherine Gray AYC383 Licensed Representative 1, 2

COOPER Lachlan Ian AVN102 Licensed Representative 1, 2

CUI Haoyue AXL269 Licensed Representative 1, 2

DAI Ling ATC265 Licensed Representative 9

DASWANI Haseena Kamlesh BDJ600 Licensed Representative 1, 2, 4, 5

DE MATTOS BERTAO Eduardo AYA543 Licensed Representative 1, 4, 9

DORNEY Mark Andrew BFD878 Licensed Representative 1, 4, 6

E Yue Fai Joel BHD533 Licensed Representative 9

EWINGER James Patrick AQN823 Licensed Representative 4, 5, 9

FALCO Jennifer Mary BAL507 Licensed Representative 1

FU Kam Wai BAB916 Licensed Representative 1

FUNG Gracia Yan Chi ACA300 Licensed Representative 1, 9

GAO Lu ATB718 Licensed Representative 1, 9

GOLDMAN David BBX563 Licensed Representative 1, 4

GUAN Jian BGA959 Licensed Representative 2

GUAN Xinyue BAQ906 Licensed Representative 9

GUGUEN Bryan Hubert Yann BFC654 Licensed Representative 1, 4, 9

Guo Jia-Horng ASP571 Licensed Representative 6

GUO Lu BGY744 Licensed Representative 1, 9

HAHM Eui Hwan ACV950 Licensed Representative 1, 6

HAN Chenglong BDW200 Licensed Representative 1, 4, 6

HARILELA Kavi Kishin AUH928 Licensed Representative 6

HATA Chris AXF934 Licensed Representative 1

HAU Bun Ho ASL913 Licensed Representative 9

HE Yi BAV213 Licensed Representative 4, 9

HISHINUMA Ryuya AVD897 Licensed Representative 1, 4, 6

HO Chung Kwan AOU601 Licensed Representative 1

HO Chung-yeng AUH936 Licensed Representative 1, 4

HO Herbert BAI048 Licensed Representative 2, 3

HO Kai Hong BEK863 Licensed Representative 1, 2

HO Kai Yin AQJ875 Licensed Representative 1

HO Po ALP981 Licensed Representative 3

HO Shuk Man, Imellda AWY270 Licensed Representative 1

HO Sze Yuen, Ocean BFZ364 Licensed Representative 1, 2

HO Yuen Kim ARO425 Licensed Representative 1, 2

HOPKINS Christopher Paul Frederick AEY891 Licensed Representative 1, 4, 9

HU Hanwen BDZ919 Licensed Representative 4

HUANG Jing BEM790 Licensed Representative 1

HUANG Junwei AVM453 Licensed Representative 9

HUANG Li Min AQW347 Licensed Representative 1

HUANG Yan Qiao, Team AMM127 Licensed Representative 1

HUANG Yen-Ju AXH958 Licensed Representative 10

HUANG Yu Min BBW933 Licensed Representative 1

HUI Alvin Tin Yu BBT168 Licensed Representative 1, 2

Page 2 of 17

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 08/2016

CE Name CE No. Licence Type Types of Regulated Activity

HUI Suk Yee, Elizabeth AJF251 Licensed Representative 4, 9

HUI Wai Ha ACL392 Licensed Representative 1, 4

IKEDA Hiromasa AGO294 Licensed Representative 4, 9

ITO Yusuke BGQ481 Licensed Representative 1, 4

IWAKAMI Fuyuki BET954 Licensed Representative 1, 4, 6

JENKINS Gareth William AVG891 Licensed Representative 4

JIANG Ke BED022 Licensed Representative 4

JIAO Juan BGO796 Licensed Representative 4

JUMA Farouk Nanji AYZ420 Licensed Representative 9

KABIGTING Caroline Llave AUQ338 Licensed Representative 4

KAKULAVARAPU Rajasa BEJ729 Licensed Representative 4

KAN Chung Ming AMD028 Licensed Representative 1

KAN Ho Yin, Edmund ATX266 Licensed Representative 1, 4

KANG Sung Weon BEM341 Licensed Representative 1, 4

KARIA Karan AXC617 Licensed Representative 1, 2, 4, 5

KAWANO Kenro BDD501 Licensed Representative 1

KIM Clara Saeran BDH199 Licensed Representative 10

KIM Hae Ryong ANE830 Licensed Representative 1

KING Jeou Yih, Phillip AXN877 Licensed Representative 1

KIRTMAN Khahlil Immanuel AML766 Licensed Representative 1, 2, 7

KO Ching Pong BHC103 Licensed Representative 9

KOLAEV Arltan AUY939 Licensed Representative 1, 2

KUDALKAR Anil Sadanand ASJ616 Licensed Representative 1, 2

KUI Wen BFI935 Licensed Representative 4, 6

KUNG Suet Lai, Shirley APC645 Licensed Representative 1, 2

KWOK Suen Ni BFL004 Licensed Representative 6

KWOK Wai Chu, Cindy AGE351 Licensed Representative 4

KWONG Yee Kin, Samuel APX279 Licensed Representative 4, 9

LAI Che Man, Cherie AQA449 Licensed Representative 1, 2

LAI Wai Kwok ACR883 Licensed Representative 1

LAI Ying Keung AJE470 Licensed Representative 1, 9

LAM Chun Ho AEX417 Licensed Representative 1, 2

LAM Man Ngar, Norris ARO521 Licensed Representative 1

LAM Wan Lok ASL518 Licensed Representative 1

LAM Wing Leung BAK878 Licensed Representative 1

LAM Yim, Sharon AIN991 Licensed Representative 1, 4

LAU Cheuk Ki AXZ248 Licensed Representative 2

LAU Cheung Ka, Daniel AIB406 Licensed Representative 1, 2, 4, 5

LAU Ka Man AXG075 Licensed Representative 1

LAU Muk Keung AHD597 Licensed Representative 1

LAU Yuen Shing AXZ950 Licensed Representative 6

LAWSON Matthew James AYS248 Licensed Representative 1, 4, 6

LEE Hoi Man BGE164 Licensed Representative 1, 6

LEE John H BBX570 Licensed Representative 9

LEE Katharynn AXS501 Licensed Representative 4

LEE Siu Ming AFH445 Licensed Representative 1, 6

LEE Soohee AIZ796 Licensed Representative 1, 4, 9

LESNE David Laurent AXE221 Licensed Representative 4

LEUNG Chun Man BHP770 Licensed Representative 1

LEUNG Ho Ka BGG788 Licensed Representative 1

LEUNG Hoi Yuet BFN834 Licensed Representative 1

LEUNG Mei To ARA032 Licensed Representative 1, 4

LEUNG Nicholas Ka Chun BFF382 Licensed Representative 1, 4

LEUNG Nim Ki, Angela AOA549 Licensed Representative 1

LEUNG Sam BHF143 Licensed Representative 9

LEUNG Wing Sum BCF700 Licensed Representative 1

Page 3 of 17

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 08/2016

CE Name CE No. Licence Type Types of Regulated Activity

LEVY Cyril Claude AXF806 Licensed Representative 1, 9

LI Chun Man BHD540 Licensed Representative 9

LI Hiu Tung, Eunice BEO587 Licensed Representative 1, 4, 9

LI Tak Wa AAJ793 Licensed Representative 1, 2

LI Wen AYU052 Licensed Representative 1, 6

LI Yan ARW637 Licensed Representative 1, 4, 9

LI Yichen AOM502 Licensed Representative 6

LIANG Ting BAA343 Licensed Representative 4, 9

LIE Na ALA522 Licensed Representative 1, 4, 6

LIEW Mun Kiong ACR285 Licensed Representative 9

LIU Ningyu AYH764 Licensed Representative 1, 2

LIU Wan Lung ARJ408 Licensed Representative 1

LIU Zhe BCN402 Licensed Representative 1, 4, 6

LIU Zhi Fei BAE530 Licensed Representative 1, 4

LO Hon Yee Henry AYI460 Licensed Representative 1, 2, 3, 4

LO Yi Kwan, Caren AYA402 Licensed Representative 1

LOK Stephen Man Ben BBM833 Licensed Representative 1, 4, 9

LU Jingjie BGI267 Licensed Representative 4

LU Xi BEY876 Licensed Representative 1, 4, 6

LUO Xi BAE895 Licensed Representative 9

LYONS Neil Vincent BCK846 Licensed Representative 1

MA David AWP273 Licensed Representative 1, 9

MAK Chun Im, Abel AYI535 Licensed Representative 9

MAK Tung Pui BDI891 Licensed Representative 3

MATHIE Robbi ANQ501 Licensed Representative 1, 2

MEHROTRA Ravi ATL967 Licensed Representative 1, 4

MEHTA Chandradev Priyadarshan BFI939 Licensed Representative 1, 6

MENG Duyi BFE358 Licensed Representative 1

MIAO Jingwei BFM548 Licensed Representative 4, 9

MICHALOWSKI Benjamin BFE171 Licensed Representative 1

MINARIA Steffie AUB433 Licensed Representative 1, 4, 6

MOK Ka Hing BEP089 Licensed Representative 1, 4

MOMOZAKI Takahiro BAC199 Licensed Representative 1, 2

MUNG Hon Ting, Jackie BGO789 Licensed Representative 1, 6

NG Chun Yin ATW223 Licensed Representative 4

NG Hoi Yin ARO900 Licensed Representative 1

NG King Yuk BGM576 Licensed Representative 1

NG Laurence Hou Jun BEL947 Licensed Representative 9

NG Wai Man, Amy BGA692 Licensed Representative 1

NIU Xiao BFO764 Licensed Representative 4, 9

NORTON-KIDD Gregory John AXV974 Licensed Representative 4

O'CONNOR Ian Patrick William BFW640 Licensed Representative 9

OMURO Tomoyoshi APP829 Licensed Representative 1

ONG Marilyn Yap ATT778 Licensed Representative 1, 2

OUDINE Gautier Andre Pierre BFE582 Licensed Representative 9

PANG Lai Chi AVV215 Licensed Representative 1, 4, 6

PANG Mingzhi BFX060 Licensed Representative 9

PARK Jin Sup BAP231 Licensed Representative 1

PARK Seung Wook AWY621 Licensed Representative 1, 4

PENA Andrew Joseph AYI443 Licensed Representative 1, 2

PENG Xin AVT238 Licensed Representative 6

PENG Yuman BBQ199 Licensed Representative 1, 4

PERRY Neil William AXC901 Licensed Representative 1, 4

PHAM John Le Hien AXQ759 Licensed Representative 1, 2, 4

PHEY Guo Quan, Lewis BFX188 Licensed Representative 1, 2, 7

PI Shun BBP477 Licensed Representative 4

Page 4 of 17

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 08/2016

CE Name CE No. Licence Type Types of Regulated Activity

PIEDRASANTA Britten Bavani BAM766 Licensed Representative 1, 4, 9

POON Chi Chung AZK124 Licensed Representative 1, 2

POR Zhe Wei BBX826 Licensed Representative 1, 4, 6

POSHTOV Panayot Georgiev BCW556 Licensed Representative 1, 2

PRABHAKAR Divya BCM660 Licensed Representative 1, 2

PRICE Ryan Daniel BCK799 Licensed Representative 1, 6

PUN Hang Sang ASL912 Licensed Representative 3

PUNIA Sandeep Kumar ASO972 Licensed Representative 1

QUAN Xianji BDH238 Licensed Representative 1, 4

RAO Vigyan AMH160 Licensed Representative 9

REID Matthew David ARW592 Licensed Representative 1, 4, 9

REMOLONA Pristine Rocio Sin BDP259 Licensed Representative 4, 9

ROBERTSON Craig Anthony AEP696 Licensed Representative 1, 2

ROSS Timothy Wakefield AEX691 Licensed Representative 4

SAHA Debashish BFC376 Licensed Representative 1, 4

SANDLER Marcos BBS447 Licensed Representative 1, 2

SANGER Paul John ASH952 Licensed Representative 1, 2, 4, 7

SANO Junichi BGL300 Licensed Representative 1

SAVINI JR Paul Francis BED063 Licensed Representative 1, 4, 9

SEMIONATO BERNARDES Eduardo Henrique AUL622 Licensed Representative 1, 4, 9

SENER Fatih AWA028 Licensed Representative 1, 2

SHAM Chai Man, Peter APF027 Licensed Representative 1, 6

SHANIDZE Levan AFD300 Licensed Representative 1, 4, 9

SHAO Jinming BEX768 Licensed Representative 1, 2, 4, 5

SHEN Yin BDC626 Licensed Representative 1, 4

SHI Yupeng BDX511 Licensed Representative 1, 4, 6

SHU Hoi Ming, Karman AQB106 Licensed Representative 1, 2

SHUM Yiu Fai ATW536 Licensed Representative 1

SIM Hwee Hoon, Phyllis BEW382 Licensed Representative 2

SIN Ka Yee, Cathy AOA553 Licensed Representative 1, 4, 9

SIU Man AMK414 Licensed Representative 1

SIU Yiu Ming AGM967 Licensed Representative 1, 4

SO Bing Kei, Raymond ADX208 Licensed Representative 1, 2

SOBTI Jasjit Singh BCU294 Licensed Representative 1, 2

SOLARZ Philip Geoffrey AFR230 Licensed Representative 1

SOLOMON Bryn Christopher AZQ234 Licensed Representative 1, 2

SONG Xinran AYM560 Licensed Representative 1, 2

SONG Ziyi ANT825 Licensed Representative 6

STASKY Chad Christopher ANK547 Licensed Representative 1, 4

STEWART Ian Colin ARM928 Licensed Representative 1

SU Rongxia ATB921 Licensed Representative 1, 4

SUEN Hoi Yan AXG005 Licensed Representative 4, 9

SUN Steve Donald ABX349 Licensed Representative 1

SUNG Chun Hay Wilson BDA458 Licensed Representative 1, 2

SUNG Wai Yin AEZ943 Licensed Representative 1, 2

SZETO Hau Yin Henry BDY876 Licensed Representative 1, 4

SZPAKOWSKI Ivan Nikolas BBP436 Licensed Representative 4, 5

TAESCH Frederic Marcel Georges Marie AML240 Licensed Representative 1, 2, 4, 5

TAFARO Brian Anthony AQT317 Licensed Representative 1, 2, 7

TAKAMATSU Naoto BAP413 Licensed Representative 1

TAM Kwan Hung BBT082 Licensed Representative 1

TAN Wee Kiat AJC408 Licensed Representative 1, 4

TANG Hao BDJ944 Licensed Representative 1, 4

TANG Miu Yin BDD891 Licensed Representative 1, 6

TANG Samuel Chung Yin BGL134 Licensed Representative 1

TANG Wai Hung BGP676 Licensed Representative 1, 2, 3

Page 5 of 17

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 08/2016

CE Name CE No. Licence Type Types of Regulated Activity

TANG Yan Yi, Michelle ALS715 Licensed Representative 1

TANG Zhi AWW136 Licensed Representative 4, 9

TEMLOCK Lawrence Graham BBU655 Licensed Representative 1, 6

TERAMOTO Hikaru APL938 Licensed Representative 1, 2

TISSOT-FAVRE Patrick Andre Marie BBF301 Licensed Representative 1, 4, 9

TO Tsz Kin AMN793 Licensed Representative 1

TOMIMURA Yu BAL542 Licensed Representative 1, 2

TSANG Hing Lung BCW448 Licensed Representative 1

TSE Christopher Shing-kwun BFN119 Licensed Representative 1, 2

TSE Man Piu APL762 Licensed Representative 1, 2

TSE Tsun Wai BEE057 Licensed Representative 1

TSE Yiu Cheong BAQ988 Licensed Representative 1, 2

TSENG Chien Han BFE460 Licensed Representative 1, 2, 4

TSUI Chi Ho BGE560 Licensed Representative 1, 2, 4

TSUI Kin Ling AVY267 Licensed Representative 1, 2

VARTAK Shraddha Gajanan AXG280 Licensed Representative 1, 2

WAIYANONT Bunlung AUI977 Licensed Representative 4

WANG Can BAZ743 Licensed Representative 1, 6

WANG Jiayi BHU406 Licensed Representative 1, 6

WANG Wan ARG933 Licensed Representative 1, 2

WANG Xuan BBQ599 Licensed Representative 9

WHITTINGHAM John David Carlisle Michael BCJ581 Licensed Representative 1, 6

WHITTLE Samuel James Clarendon AVI360 Licensed Representative 1, 2, 7

WONG Cheuk Ki AXZ792 Licensed Representative 1

WONG Cheuk Man BCD278 Licensed Representative 1

WONG Chun Wang, Rankie AXY562 Licensed Representative 1

WONG Kam Wah AQU560 Licensed Representative 1

WONG Lung Sang AAQ303 Licensed Representative 1

WONG Man Tai BGY959 Licensed Representative 1, 4, 6

WONG Mei Lan ALS133 Licensed Representative 4

WONG Ming Yin APJ241 Licensed Representative 1

WONG Sung Tak BFD772 Licensed Representative 1, 2

WONG Wai Yan BEJ586 Licensed Representative 1

WONG Yim Han ART453 Licensed Representative 1, 4

WOO Stephanie Ka Wai AQR182 Licensed Representative 1, 4

WU Bo BDP937 Licensed Representative 9

WU Jiajie BHD688 Licensed Representative 9

WU Michael Paul AZX592 Licensed Representative 1, 4

WU Simon Wei AXG211 Licensed Representative 9

XIAN Ming BDV840 Licensed Representative 1

XING Yiling BFC904 Licensed Representative 2

XU Qing ARE944 Licensed Representative 1, 6

XU Zheng AYN147 Licensed Representative 1

YAM Wai Yuen, Vincent AGM448 Licensed Representative 9

YAMAZAKI Kei BCH430 Licensed Representative 1, 4, 9

YANG Che Wen APG892 Licensed Representative 1, 4

YANG Han Hsiang AUG879 Licensed Representative 1, 4

YANG Tun-Hsi BAV763 Licensed Representative 9

YAP Mei Ern, Janice AZT634 Licensed Representative 6

YAP Shaun Shern AZK525 Licensed Representative 1, 6

YAU Chi Hong, Andy ALL303 Licensed Representative 1, 4

YAU Shirley BGL660 Licensed Representative 6

YAU Wai Lun BDI749 Licensed Representative 1, 2

YE Gen AXA161 Licensed Representative 1

YE Michael ARF106 Licensed Representative 9

YEE Ka Fai BFZ618 Licensed Representative 1

Page 6 of 17

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 08/2016

CE Name CE No. Licence Type Types of Regulated Activity

YEH Wan-Ping AVZ839 Licensed Representative 4

YEUNG Chi Kin BFA514 Licensed Representative 3

YIM Thomas C. BGI745 Licensed Representative 6

YIN Hanzhang BFX694 Licensed Representative 1, 4

YU Chun Hei Yannick BFY674 Licensed Representative 1, 4, 6

YU Chunlin BEM065 Licensed Representative 9

YU Zhi AXH031 Licensed Representative 1, 6

YUE Hok Yin, Lawrence ARO897 Licensed Representative 1

YUEN Ching Man BGQ341 Licensed Representative 1

YUEN Tsz King AXJ865 Licensed Representative 1, 2

ZENG Lu APH122 Licensed Representative 1, 4, 9

ZENG Shusheng BGX457 Licensed Representative 1

ZENG Yuchao BER240 Licensed Representative 4

ZHANG Cheng BGI389 Licensed Representative 4

ZHANG Dinghai AXF099 Licensed Representative 1, 4, 5, 9

ZHANG Yuchong BCN689 Licensed Representative 1

ZHAO Na BBZ598 Licensed Representative 4

ZHAO Pu BBK032 Licensed Representative 3

ZHAO Rang BEJ977 Licensed Representative 1

ZHAO Ruochuan AWR979 Licensed Representative 9

ZHAO Ying AZX465 Licensed Representative 1, 4

ZHOU Francis Bingrong AVJ543 Licensed Representative 4

ZHOU Junyang BDL803 Licensed Representative 4

ZHOU Puqian BDV086 Licensed Representative 1, 6

ZHOU Rui BGM940 Licensed Representative 4

ZHOU Yun BCS988 Licensed Representative 1, 2

ZHOU Zhen BET084 Licensed Representative 1, 2

ANDERSSON Paul Jonathan AVL477 Licensed Representative - Responsible Officer 1, 2, 4, 5

BESSON Guillaume Gerard Marie ALI003 Licensed Representative - Responsible Officer 1

CHAN Kit Hing, Kathy AHG624 Licensed Representative - Responsible Officer 1

CHANG Ludwig AFH012 Licensed Representative - Responsible Officer 6

CHATTERJEE Saurav AZQ750 Licensed Representative - Responsible Officer 1, 2, 4

CHENG Tai Pui AAH278 Licensed Representative - Responsible Officer 1, 4, 9

CHEUNG Pui Kwan AJF050 Licensed Representative - Responsible Officer 3

CHEUNG Shu Yan AQM260 Licensed Representative - Responsible Officer 1

CHIU Ka Leung AYK457 Licensed Representative - Responsible Officer 1

CHOI Yon Sik, Yvon AGY566 Licensed Representative - Responsible Officer 9

CHU Richard Shan Yao AUW031 Licensed Representative - Responsible Officer 9

CUI Jianhua ADD638 Licensed Representative - Responsible Officer 2

FOO Yin Pheng AUQ510 Licensed Representative - Responsible Officer 1, 4, 9

FUNG Sze Wai AIH531 Licensed Representative - Responsible Officer 4, 9

FURST Richard Philip BFK521 Licensed Representative - Responsible Officer 9

HENKE VON PARPART Uwe APY709 Licensed Representative - Responsible Officer 1, 4

HO Wing Cheong AAH181 Licensed Representative - Responsible Officer 1, 2, 4

JOHNSON Christopher Lind AGA971 Licensed Representative - Responsible Officer 4, 9

JOSHI Dixit Aswin AXC431 Licensed Representative - Responsible Officer 1, 2, 4, 5, 7

KAM Yun Fai ASF221 Licensed Representative - Responsible Officer 9

KANSAL Pravin Philip Baburam BGM093 Licensed Representative - Responsible Officer 9

KONG Chuk Lun AAA609 Licensed Representative - Responsible Officer 1, 2

LAI Chun Kong ABZ482 Licensed Representative - Responsible Officer 1

LEISSNER Tim ADX260 Licensed Representative - Responsible Officer 6

LI Chiu To AAD392 Licensed Representative - Responsible Officer 1

LI Kit Hang, Karen AAD415 Licensed Representative - Responsible Officer 1

LI Meitao AZL848 Licensed Representative - Responsible Officer 9

LI Qing AUZ203 Licensed Representative - Responsible Officer 4, 9

LI Wenjing AWZ394 Licensed Representative - Responsible Officer 9

Page 7 of 17

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 08/2016

CE Name CE No. Licence Type Types of Regulated Activity

LUI Chi Hang AYW027 Licensed Representative - Responsible Officer 1, 4, 9

LUK Kam AAA629 Licensed Representative - Responsible Officer 1

LUNG Ada Lai Qing AEV354 Licensed Representative - Responsible Officer 1

MALIK Rikki AEW095 Licensed Representative - Responsible Officer 9

MC GONEGAL Brett Alexander AOH375 Licensed Representative - Responsible Officer 1

MITHRAN Girish AFU262 Licensed Representative - Responsible Officer 1, 2

POTEL Ronnie Rayomand ALW778 Licensed Representative - Responsible Officer 6

QUISH Govinda River Michaelson BBW597 Licensed Representative - Responsible Officer 4, 9

RAO Chao BFE245 Licensed Representative - Responsible Officer 9

SAM CHANG Segundo Willy AHE451 Licensed Representative - Responsible Officer 4

SIN Hong Yee, Connie AGJ915 Licensed Representative - Responsible Officer 9

SIN Oscar Kwok Leung AVL136 Licensed Representative - Responsible Officer 4, 5, 9

STIBBE Paula BCV134 Licensed Representative - Responsible Officer 1, 4, 9

SZE-TO May Ying, Gilda ACG379 Licensed Representative - Responsible Officer 4, 9

TAI Wai Man AQD347 Licensed Representative - Responsible Officer 1

TAN Lim Heng AAC907 Licensed Representative - Responsible Officer 1, 2, 4, 6

TANG Wai Kit, Kevin ANB044 Licensed Representative - Responsible Officer 6

TEO Thye Peng, Bernard AFB019 Licensed Representative - Responsible Officer 1, 6

WONG Shin U, Maisie AAD399 Licensed Representative - Responsible Officer 1

WONG Wing Tong, Frederick AAE899 Licensed Representative - Responsible Officer 1

WYNN WILLIAMS Peter ABS095 Licensed Representative - Responsible Officer 1, 4

YAM Kam Shing AGE094 Licensed Representative - Responsible Officer 1, 6

YU Vernon Ka Leung AEE209 Licensed Representative - Responsible Officer 1, 4

ZHONG Qiuyue BAB065 Licensed Representative - Responsible Officer 9

ABEL Gary Robert BHX157 Licensed Representative (Provisional Licence) 1, 2, 7

ADACHI Chiho BHT722 Licensed Representative (Provisional Licence) 1, 2

AGRAWAL Anurag BHN025 Licensed Representative (Provisional Licence) 1, 2

AI Yu BHO463 Licensed Representative (Provisional Licence) 1, 6

ASPANDIIAROV Sanjar BHV326 Licensed Representative (Provisional Licence) 1, 4

AU Yuk Lin BHW833 Licensed Representative (Provisional Licence) 1, 4

AVANIAN Alexandre ARV353 Licensed Representative (Provisional Licence) 9

BADIGAR Devanjan BHQ459 Licensed Representative (Provisional Licence) 1, 4

BAILEY Robert Ogilvie BHV327 Licensed Representative (Provisional Licence) 1, 4, 6

BAN Charlie Shiqiang AHX810 Licensed Representative (Provisional Licence) 4, 9

BHARTIA Aditya BFP413 Licensed Representative (Provisional Licence) 4

BHATIA Gaurav BHX017 Licensed Representative (Provisional Licence) 1

BHATIA Rishabh BHW497 Licensed Representative (Provisional Licence) 1, 2

BI Xiangtian BHU052 Licensed Representative (Provisional Licence) 1, 2

BISWAS Pradosh BHX796 Licensed Representative (Provisional Licence) 1, 2

BOURG Jeremy Hugues BHV619 Licensed Representative (Provisional Licence) 1, 6

BRADY Mark Joseph ARQ480 Licensed Representative (Provisional Licence) 1

BUROT Emmanuel Jean-Paul APG510 Licensed Representative (Provisional Licence) 1

CAI Kaer BHW634 Licensed Representative (Provisional Licence) 4, 9

CAO Emily Whei BHW480 Licensed Representative (Provisional Licence) 1, 4, 9

CAO Jingleng BHU218 Licensed Representative (Provisional Licence) 1, 2, 5

CAO Lei BHX612 Licensed Representative (Provisional Licence) 1, 2

CAUBERGHS Alan Cornelia H. BHA630 Licensed Representative (Provisional Licence) 1

CHAI Heqing BHS743 Licensed Representative (Provisional Licence) 1, 6

CHAN Chong Hing ASF022 Licensed Representative (Provisional Licence) 1, 4

CHAN Chu Kit BHW774 Licensed Representative (Provisional Licence) 1, 2

CHAN Chung Kok BHT377 Licensed Representative (Provisional Licence) 1, 4, 9

CHAN Hoi Lam, Diane BHT910 Licensed Representative (Provisional Licence) 1, 2

CHAN Kam Yee BHZ339 Licensed Representative (Provisional Licence) 1, 6

CHAN Shuk Ting BHX061 Licensed Representative (Provisional Licence) 9

CHAN Tak Hong BHX406 Licensed Representative (Provisional Licence) 2

CHAN Wing Yan BHY591 Licensed Representative (Provisional Licence) 6

Page 8 of 17

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 08/2016

CE Name CE No. Licence Type Types of Regulated Activity

CHAN Yuen Tat BHU993 Licensed Representative (Provisional Licence) 1, 2

CHANG Cheun Chun, Michael AOH904 Licensed Representative (Provisional Licence) 1, 2, 7

CHAUDHARY Kanush BHU750 Licensed Representative (Provisional Licence) 9

CHEN Anxue BHV585 Licensed Representative (Provisional Licence) 1

CHEN Cheuk Yip Jason BHY354 Licensed Representative (Provisional Licence) 1, 2

CHEN Dan BHT649 Licensed Representative (Provisional Licence) 1, 4, 6

CHEN Hsuan Wei Matthew BHT774 Licensed Representative (Provisional Licence) 1, 6

CHEN Junfeng BHV146 Licensed Representative (Provisional Licence) 1, 4, 6

CHEN Si BHT155 Licensed Representative (Provisional Licence) 1, 4, 9

CHEN Xinmin BHY494 Licensed Representative (Provisional Licence) 1, 4

CHEN Yanru BHT625 Licensed Representative (Provisional Licence) 1, 6

CHEN Yi Ting BHY555 Licensed Representative (Provisional Licence) 4, 9

CHEN Yifan BDL756 Licensed Representative (Provisional Licence) 10

CHENG Cheuk Pan Ambrose BHT921 Licensed Representative (Provisional Licence) 1

CHENG Kan Lik ANA182 Licensed Representative (Provisional Licence) 1, 4

CHENG Sze Long BHR971 Licensed Representative (Provisional Licence) 1, 2, 3

CHENG Wang BHY239 Licensed Representative (Provisional Licence) 1, 4, 9

CHEUNG Chi Hin, Cyrus BHV686 Licensed Representative (Provisional Licence) 4, 5, 9

CHEUNG Chi Man BHW896 Licensed Representative (Provisional Licence) 2, 5

CHEUNG Yat Sing BHU979 Licensed Representative (Provisional Licence) 1, 4

CHEUNG Yuk Kwai BHX260 Licensed Representative (Provisional Licence) 4, 9

CHIA Wei Chen ALZ911 Licensed Representative (Provisional Licence) 9

CHIU Chun Lung BHX544 Licensed Representative (Provisional Licence) 1

CHO Suet Yee, Sally BHX645 Licensed Representative (Provisional Licence) 1, 6

CHOO Hock Heem BHX380 Licensed Representative (Provisional Licence) 6

CHOU Jaime Yun Cheng ALH930 Licensed Representative (Provisional Licence) 4, 9

CHOUDHARY Keshav Pawankumar BHX770 Licensed Representative (Provisional Licence) 1, 2, 7

CHOW Chi Kit, Michael BHP742 Licensed Representative (Provisional Licence) 3

CHOW Dik Yui BHU508 Licensed Representative (Provisional Licence) 1, 4, 9

CHOW Fat Ming, Arthur BHT504 Licensed Representative (Provisional Licence) 4, 9

CHOW Lai Yan BHU751 Licensed Representative (Provisional Licence) 1

CHOW Yuan Hui BHT023 Licensed Representative (Provisional Licence) 10

CHU Hsu Wen BHU818 Licensed Representative (Provisional Licence) 1, 4

CHUANG Shu Ching BHV641 Licensed Representative (Provisional Licence) 1

CHUI Man Wai BHW649 Licensed Representative (Provisional Licence) 1, 4, 9

CHUNG Byeong Hun BHU288 Licensed Representative (Provisional Licence) 1, 6

CHUNG Chi Yau BHV441 Licensed Representative (Provisional Licence) 1

CHUNG Wing Kin ATE069 Licensed Representative (Provisional Licence) 2

CI Ran BHX021 Licensed Representative (Provisional Licence) 1, 4, 6

COUTREL Guillaume Franck Gwenhael BHT779 Licensed Representative (Provisional Licence) 1, 2

CUI Lin BHU063 Licensed Representative (Provisional Licence) 4

DAI Yuqing BHR646 Licensed Representative (Provisional Licence) 1, 4

DELAFORCE Jack James BHU899 Licensed Representative (Provisional Licence) 2, 5

DENG Yunze BHV408 Licensed Representative (Provisional Licence) 1, 4, 6

DENG Zhiyuan BHS919 Licensed Representative (Provisional Licence) 1, 4, 6

DOMINIQUE-LEFEVRE Julien Baptiste BHW826 Licensed Representative (Provisional Licence) 1, 2, 7

DONNELLAN Mark William BHV429 Licensed Representative (Provisional Licence) 1, 2

DOO Kyung Min BHV025 Licensed Representative (Provisional Licence) 1, 4

DOU Yidong BHX714 Licensed Representative (Provisional Licence) 1

DOWLAND Richard Adetokunbo AUH913 Licensed Representative (Provisional Licence) 2

ESPINAL Alicia Lauren BHX756 Licensed Representative (Provisional Licence) 1

FAN Sierra Qianying BHV001 Licensed Representative (Provisional Licence) 1, 6

FENG Yibiao BHV159 Licensed Representative (Provisional Licence) 2

FENG Zhenyuan BHT621 Licensed Representative (Provisional Licence) 1, 6

FOK Ka Lei BHT628 Licensed Representative (Provisional Licence) 4, 9

FONG Kit Yu BHX798 Licensed Representative (Provisional Licence) 1, 4, 9

Page 9 of 17

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 08/2016

CE Name CE No. Licence Type Types of Regulated Activity

FU Qiang BHV123 Licensed Representative (Provisional Licence) 1, 4, 6

FU Bwo-Chau BHX847 Licensed Representative (Provisional Licence) 1, 2

FUKUOKA Toshiki BHT294 Licensed Representative (Provisional Licence) 1, 4

FUNG Shing Yan BFD151 Licensed Representative (Provisional Licence) 4, 9

GADD Christopher Oliver BHU688 Licensed Representative (Provisional Licence) 2

GAO Fei BHU674 Licensed Representative (Provisional Licence) 1

GAO Feng BHX275 Licensed Representative (Provisional Licence) 1, 4, 6

GAO Lei BHU201 Licensed Representative (Provisional Licence) 1, 4

GAO Zhengyang BHW858 Licensed Representative (Provisional Licence) 1, 4, 6

GE Chang AZN587 Licensed Representative (Provisional Licence) 1, 4, 6

GENG Xiaoxin BHY003 Licensed Representative (Provisional Licence) 1, 4, 6

GINESTRA Alessandro BHU120 Licensed Representative (Provisional Licence) 1, 4

GOCSEI Renaud, Jean-Claude ASD685 Licensed Representative (Provisional Licence) 1, 2, 7

GOLDMAN Stephen Scott BHW981 Licensed Representative (Provisional Licence) 1, 4

GONG Li BHW524 Licensed Representative (Provisional Licence) 1

GONG Shijie BHV439 Licensed Representative (Provisional Licence) 1, 6

GRONNIGER Phillip Brent BHU837 Licensed Representative (Provisional Licence) 1, 4

GRUET Stanislas Pierre Alain BHT512 Licensed Representative (Provisional Licence) 1, 2

GU Erdong AZT025 Licensed Representative (Provisional Licence) 9

GU Yili BHP161 Licensed Representative (Provisional Licence) 1, 6

GUAN Yang BHY257 Licensed Representative (Provisional Licence) 1

GUITARD Sarah Katherine BGX199 Licensed Representative (Provisional Licence) 9

GUO Rongrong BHO452 Licensed Representative (Provisional Licence) 1, 6

GUO Yuze BHP162 Licensed Representative (Provisional Licence) 1, 6

GUPTA Manish AVU992 Licensed Representative (Provisional Licence) 1

HAN Bowen BHV171 Licensed Representative (Provisional Licence) 1, 4, 6

HAN Feimin BHW768 Licensed Representative (Provisional Licence) 1, 4

HAN Yun BHU841 Licensed Representative (Provisional Licence) 2

HO Fung Yee BHW783 Licensed Representative (Provisional Licence) 1, 2

HO Ka Chun BFE606 Licensed Representative (Provisional Licence) 1, 2

HO Siu Man BHW617 Licensed Representative (Provisional Licence) 1

HO Wai Hung BHR337 Licensed Representative (Provisional Licence) 3

HO Wun Kuen BHU595 Licensed Representative (Provisional Licence) 1

HO Yuk Wing BHT376 Licensed Representative (Provisional Licence) 1, 6

HOU Xinyuan BHY113 Licensed Representative (Provisional Licence) 1, 4, 6

HSU Chen Yun BGL587 Licensed Representative (Provisional Licence) 1

HSU Po Hsiang BHU912 Licensed Representative (Provisional Licence) 1, 4

HU Chung Ying ACO204 Licensed Representative (Provisional Licence) 1

HU Jeffrey Hao BHX401 Licensed Representative (Provisional Licence) 1, 4, 6

HU Yue BHX659 Licensed Representative (Provisional Licence) 1, 4, 6

HUANG Chao BHV113 Licensed Representative (Provisional Licence) 1, 6

HUANG Fangchao BHU836 Licensed Representative (Provisional Licence) 1, 6

HUANG Jianan BHU270 Licensed Representative (Provisional Licence) 1, 6

HUANG Jinzi AXZ093 Licensed Representative (Provisional Licence) 1, 6

HUANG Libin BHX660 Licensed Representative (Provisional Licence) 1, 4

HUANG Yushan BHV677 Licensed Representative (Provisional Licence) 6

HUNG Darwin Man-tat BHX594 Licensed Representative (Provisional Licence) 1, 4, 7

HUNG Ka Man, Carmen BHP746 Licensed Representative (Provisional Licence) 3

JALEEL Mohammed Tarik BHY123 Licensed Representative (Provisional Licence) 9

JEON Seung Myung BHQ213 Licensed Representative (Provisional Licence) 1

JI Yongxin BHT629 Licensed Representative (Provisional Licence) 1, 6

JIA Jian AWP432 Licensed Representative (Provisional Licence) 1, 4, 9

JIA Shuang BHT619 Licensed Representative (Provisional Licence) 1, 6

JIN Di BAF965 Licensed Representative (Provisional Licence) 1

JIN Tingwei BHU898 Licensed Representative (Provisional Licence) 1, 6

JU Hongyi BHT640 Licensed Representative (Provisional Licence) 1, 6

Page 10 of 17

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 08/2016

CE Name CE No. Licence Type Types of Regulated Activity

JURUKUL Thanatcha BHT944 Licensed Representative (Provisional Licence) 4

KAM Yuet Chun, Jessie BHX062 Licensed Representative (Provisional Licence) 1, 2

KAN Hin Chung BHW829 Licensed Representative (Provisional Licence) 1, 2

KAN Man Chong AZQ381 Licensed Representative (Provisional Licence) 1

KANGYA Dinesh BEN372 Licensed Representative (Provisional Licence) 4, 9

KEUNG Hoi Hing BDL906 Licensed Representative (Provisional Licence) 1, 4, 9

KHAN Zuhair AEF592 Licensed Representative (Provisional Licence) 4

KIM Agisae BHX231 Licensed Representative (Provisional Licence) 1, 4, 6

KIM Changbum BHV134 Licensed Representative (Provisional Licence) 1, 4, 6

KIM Hye Youn BHY228 Licensed Representative (Provisional Licence) 1

KIM Yoon Seung ANW847 Licensed Representative (Provisional Licence) 1, 4

KITAZUMI Yohei BHX147 Licensed Representative (Provisional Licence) 1, 2, 4

KNIGHT Christopher John BHX549 Licensed Representative (Provisional Licence) 1

KO Lek Man BHR800 Licensed Representative (Provisional Licence) 3

KO Wing Tong BHX142 Licensed Representative (Provisional Licence) 1

KWAN Chi Hang, Thomas BHR777 Licensed Representative (Provisional Licence) 1

KWAN Man Fong, Christa BHY854 Licensed Representative (Provisional Licence) 1

KWOK Cheong Ping, Charles ACJ620 Licensed Representative (Provisional Licence) 1, 4, 5

KWOK Chun Nga BIA127 Licensed Representative (Provisional Licence) 1

KWOK Hiu Fu BHU275 Licensed Representative (Provisional Licence) 1, 4

KWOK Kit Ying AXZ904 Licensed Representative (Provisional Licence) 1, 2

KWONG Wai Chun BHX280 Licensed Representative (Provisional Licence) 1, 4

LAI Ka Tak, Albert BHU911 Licensed Representative (Provisional Licence) 4

LAI Lok Chi BHX461 Licensed Representative (Provisional Licence) 1, 4, 9

LAIRD Ian James BHU475 Licensed Representative (Provisional Licence) 1

LAM Chak Shing BDU550 Licensed Representative (Provisional Licence) 1, 4

LAM Hoi Kay Kate BHX731 Licensed Representative (Provisional Licence) 1, 4

LAM Joy Yan BHT087 Licensed Representative (Provisional Licence) 1, 4, 9

LAM Man Man BHU578 Licensed Representative (Provisional Licence) 1

LAM Pui Chung BHQ261 Licensed Representative (Provisional Licence) 3

LAM Ting Kwan BHT158 Licensed Representative (Provisional Licence) 1, 4, 9

LARHRIB Mohamed Amine BHU075 Licensed Representative (Provisional Licence) 1, 2

LAU Kui Bong Jonathan ASF492 Licensed Representative (Provisional Licence) 9

LAU Sau Ling BHS092 Licensed Representative (Provisional Licence) 1, 4, 9

LAU Yiu Shing BHX026 Licensed Representative (Provisional Licence) 1, 4, 6

LAU Yuk Yin BCG578 Licensed Representative (Provisional Licence) 1

LAW Wing Sze BHU929 Licensed Representative (Provisional Licence) 1

LEE Chun Wah BHT545 Licensed Representative (Provisional Licence) 1

LEE Chun Tung BHU897 Licensed Representative (Provisional Licence) 1, 2

LEE Hong Bum BHU262 Licensed Representative (Provisional Licence) 1, 6

LEE Jamie Jin-ming BHY529 Licensed Representative (Provisional Licence) 1, 6

LEE Kwai Yin BHV345 Licensed Representative (Provisional Licence) 1, 4, 6

LEE Michelle Mingren BHX793 Licensed Representative (Provisional Licence) 10

LEM Jordan Te BHT778 Licensed Representative (Provisional Licence) 1, 6

LEUNG Ka Chun BHU242 Licensed Representative (Provisional Licence) 1

LEUNG Kai Fung Kelvin BHX028 Licensed Representative (Provisional Licence) 1, 4, 6

LEUNG Mun Shan AME312 Licensed Representative (Provisional Licence) 9

LEUNG Siu Man BHQ260 Licensed Representative (Provisional Licence) 3

LEUNG Yi Fun Peggy ABS203 Licensed Representative (Provisional Licence) 4, 9

LEVY Maayan BHV448 Licensed Representative (Provisional Licence) 1

LI Bojue BHS553 Licensed Representative (Provisional Licence) 1, 4

LI Chenlong BHT633 Licensed Representative (Provisional Licence) 1, 6

LI Jiayi BHU686 Licensed Representative (Provisional Licence) 1, 2

LI Jing BHX783 Licensed Representative (Provisional Licence) 1, 4, 6

LI Jingyi BHT642 Licensed Representative (Provisional Licence) 1, 4, 6

LI Qiqi BFO348 Licensed Representative (Provisional Licence) 1, 6

Page 11 of 17

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 08/2016

CE Name CE No. Licence Type Types of Regulated Activity

LI Xiaoli BHP763 Licensed Representative (Provisional Licence) 1

LI Xiaoxiao BHU632 Licensed Representative (Provisional Licence) 1, 4

LI Yin BHV430 Licensed Representative (Provisional Licence) 1

LI Yue BHU456 Licensed Representative (Provisional Licence) 4

LI Yujing AUW144 Licensed Representative (Provisional Licence) 4, 9

LIANG Xiao BHX801 Licensed Representative (Provisional Licence) 1, 6

LIEW Mun Kiong ACR285 Licensed Representative (Provisional Licence) 9

LIEW Wing Lok, Stephen AFW967 Licensed Representative (Provisional Licence) 1, 4

LIM Yung Chuen BHU482 Licensed Representative (Provisional Licence) 1

LIN Chun Yao BHO185 Licensed Representative (Provisional Licence) 1, 2, 9

LIN Zheyu BHT775 Licensed Representative (Provisional Licence) 1, 6

LIU Taojun BHX628 Licensed Representative (Provisional Licence) 1, 6

LIU Alan Chi Lun ABX785 Licensed Representative (Provisional Licence) 1, 4

LIU Chang BHT606 Licensed Representative (Provisional Licence) 1, 6

LIU Jingxiao BHU348 Licensed Representative (Provisional Licence) 4

LIU Xiaoyu BHT610 Licensed Representative (Provisional Licence) 1, 6

LIU Yujing BHU905 Licensed Representative (Provisional Licence) 1, 4, 6

LIU Zhenhua BHT759 Licensed Representative (Provisional Licence) 1, 4

LO Fook Fun BHY434 Licensed Representative (Provisional Licence) 1, 4, 9

LO Kar Man Julia BHW852 Licensed Representative (Provisional Licence) 1, 4

LOO Ching Rei Jessica BHX431 Licensed Representative (Provisional Licence) 1, 4, 6

LOPEZ-BALBOA Andrew Vincent BHX428 Licensed Representative (Provisional Licence) 1, 6

LOW Horng Han BDO747 Licensed Representative (Provisional Licence) 4

LU Chao BHT655 Licensed Representative (Provisional Licence) 6

LU Li Ying BHV405 Licensed Representative (Provisional Licence) 1, 2, 4, 5, 9

LU Lu BHT601 Licensed Representative (Provisional Licence) 1, 6

LUI Chun Wing, Adrian BHU859 Licensed Representative (Provisional Licence) 1, 4

LUI Shun Fai BHW894 Licensed Representative (Provisional Licence) 1

LUO Si BHU839 Licensed Representative (Provisional Licence) 4, 9

LYU Junpu BHU989 Licensed Representative (Provisional Licence) 1, 4, 6

MA Yi BHX379 Licensed Representative (Provisional Licence) 1, 6

MA Jingxian BHU436 Licensed Representative (Provisional Licence) 1, 6

MAK Emily Lo Ming BHV647 Licensed Representative (Provisional Licence) 1, 4, 9

MAK Hoi Yiu BHV652 Licensed Representative (Provisional Licence) 1, 6

MAK Sai Hung BHP749 Licensed Representative (Provisional Licence) 3

MAK Winnie ADK738 Licensed Representative (Provisional Licence) 9

MAN Lan Fong BHX068 Licensed Representative (Provisional Licence) 1, 4, 9

MATTIKO Gregory Alan ANP871 Licensed Representative (Provisional Licence) 9

MCNEICE William Scott BHV418 Licensed Representative (Provisional Licence) 9

MENG Wei BHP638 Licensed Representative (Provisional Licence) 1, 4

MI Keyang BHX259 Licensed Representative (Provisional Licence) 1, 4, 6

MIAO Yifan BHX474 Licensed Representative (Provisional Licence) 4

MOFFATT Matthew George BHV149 Licensed Representative (Provisional Licence) 1

MON Esmond BHS915 Licensed Representative (Provisional Licence) 1, 4

MORITA Teppei BHT725 Licensed Representative (Provisional Licence) 2

MORRIS Peter Vandermark BHS224 Licensed Representative (Provisional Licence) 9

MORTON Mavis AVZ224 Licensed Representative (Provisional Licence) 1, 4, 6

MOU Yang BHU695 Licensed Representative (Provisional Licence) 1, 6

NG Angel BHV238 Licensed Representative (Provisional Licence) 1

NG Cheuk Fung BHX466 Licensed Representative (Provisional Licence) 1, 4, 9

NG Kai Feng Cecilia AAE956 Licensed Representative (Provisional Licence) 1, 4

NG Kwan Ho BHU637 Licensed Representative (Provisional Licence) 6

NG Siu Him BHW861 Licensed Representative (Provisional Licence) 1, 2

NG Tak Wa BHU880 Licensed Representative (Provisional Licence) 2

NG Tsz Chiu BHU416 Licensed Representative (Provisional Licence) 2, 5

NIE Xitong BHV142 Licensed Representative (Provisional Licence) 1, 4, 6

Page 12 of 17

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 08/2016

CE Name CE No. Licence Type Types of Regulated Activity

NIU Zhidong BHW633 Licensed Representative (Provisional Licence) 4, 9

OH Jing Ye Adrain BHV462 Licensed Representative (Provisional Licence) 1, 4

ONG Khang Chuen BHW482 Licensed Representative (Provisional Licence) 4

OR Wing Fai BHS205 Licensed Representative (Provisional Licence) 2

OSHIMIZU Yoshihiro BHM643 Licensed Representative (Provisional Licence) 1, 4, 6

PAN Xiaoliang BHQ309 Licensed Representative (Provisional Licence) 2

PANG Man Wai ARD488 Licensed Representative (Provisional Licence) 1, 4, 9

PANG Wing Yi APH599 Licensed Representative (Provisional Licence) 1, 4, 9

PANIZO TORIO Pedro Manuel BHX476 Licensed Representative (Provisional Licence) 1, 6

PATRICK Matthew BHR617 Licensed Representative (Provisional Licence) 9

PATTERSON Aiden Anthony BHV137 Licensed Representative (Provisional Licence) 1, 4, 6

PENG Dandan BHP163 Licensed Representative (Provisional Licence) 1, 6

PENNISI Stefano Giorgio Alberto Paolo BFJ382 Licensed Representative (Provisional Licence) 9

PONGMANAVUTH Anchisa BHT651 Licensed Representative (Provisional Licence) 1, 4, 6

POOLE William Edward BHS760 Licensed Representative (Provisional Licence) 1, 2

PU Lingxiao BHT352 Licensed Representative (Provisional Licence) 1, 2

QI Yuanchuan BHX395 Licensed Representative (Provisional Licence) 1, 6

QIAN Alexandra Gaochuan BHS510 Licensed Representative (Provisional Licence) 4, 9

QIAN Kun BHY007 Licensed Representative (Provisional Licence) 1, 4, 6

QIAN Xun BHO184 Licensed Representative (Provisional Licence) 1, 2

QIAN Yao BHW483 Licensed Representative (Provisional Licence) 1, 4, 6

QUEK Sylvanus Junwei BHY230 Licensed Representative (Provisional Licence) 1, 2, 7

ROBERTSON Andrew Sze Kit BHT835 Licensed Representative (Provisional Licence) 1, 4, 9

SHEN Anqi Angel BHV424 Licensed Representative (Provisional Licence) 1

SHEN Jiaye BHW644 Licensed Representative (Provisional Licence) 1, 4, 6

SHEN Kai BHQ083 Licensed Representative (Provisional Licence) 1, 2

SHEN Leung ALF003 Licensed Representative (Provisional Licence) 1, 4, 9

SHEN Xiangfei BHV664 Licensed Representative (Provisional Licence) 4

SHEN Zhipeng BHX222 Licensed Representative (Provisional Licence) 1, 4, 6

SHI Chun Wai BHU927 Licensed Representative (Provisional Licence) 1

SHI Xiaoqing BHY233 Licensed Representative (Provisional Licence) 4

SHIPPERLEE James Alan BHV431 Licensed Representative (Provisional Licence) 1

SHIU Leong Hong BHX582 Licensed Representative (Provisional Licence) 1, 4, 9

SHUM Ching Hei AWT804 Licensed Representative (Provisional Licence) 1, 4, 6

SINGH Kunwardeep BHU830 Licensed Representative (Provisional Licence) 1, 4, 6

SMITH Brennan Michael Shortino BHX597 Licensed Representative (Provisional Licence) 1, 2

SO King Hang BHU241 Licensed Representative (Provisional Licence) 1, 2

SO Nga Ting, Bernadette AVY580 Licensed Representative (Provisional Licence) 1, 4, 6

SO Wing Tung BHQ263 Licensed Representative (Provisional Licence) 3

SOBTI Amit BHU644 Licensed Representative (Provisional Licence) 1, 4, 9

SOH Yu Jun BHV435 Licensed Representative (Provisional Licence) 1, 2

SONG Ge BHT502 Licensed Representative (Provisional Licence) 1, 4, 9

SONG You-rim BHW674 Licensed Representative (Provisional Licence) 2

SUH Bo Goog BHT539 Licensed Representative (Provisional Licence) 4, 9

SUN Haoting BHX571 Licensed Representative (Provisional Licence) 1, 4, 6

SUN Ka Ning, Karen BHV461 Licensed Representative (Provisional Licence) 1

SUN Ting BHU422 Licensed Representative (Provisional Licence) 4

SUN Youjia BHR492 Licensed Representative (Provisional Licence) 4, 9

TAM Kok Ching BCH568 Licensed Representative (Provisional Licence) 1, 4, 6

TAM Ophelia Wing Yan AOP079 Licensed Representative (Provisional Licence) 1, 4

TAM Sui Hei BHT517 Licensed Representative (Provisional Licence) 1

TAM Wing Sze, Vincy BHQ262 Licensed Representative (Provisional Licence) 3

TAN Kian Wee Tony BHU820 Licensed Representative (Provisional Licence) 1, 4, 6

TAN Mi BHW841 Licensed Representative (Provisional Licence) 4, 9

TANG Chiu Ming, Chris BHU631 Licensed Representative (Provisional Licence) 4, 9

TANG Tsz Kwan BHP729 Licensed Representative (Provisional Licence) 3

Page 13 of 17

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 08/2016

CE Name CE No. Licence Type Types of Regulated Activity

TAO Di Dylon BHX015 Licensed Representative (Provisional Licence) 1, 2

TAY Kairong, Leon BHR968 Licensed Representative (Provisional Licence) 1, 4

TENG Xuan BHX276 Licensed Representative (Provisional Licence) 1, 4, 6

THOMPSON Nicholas Barrett BHY275 Licensed Representative (Provisional Licence) 1, 4

TONG Kin Chung, Benjamin BFM632 Licensed Representative (Provisional Licence) 1

TONG Tsz Ching BHT922 Licensed Representative (Provisional Licence) 1

TONG Ying Kit, Robin AVO633 Licensed Representative (Provisional Licence) 3

TRUSOVA Olga BHV317 Licensed Representative (Provisional Licence) 1, 4

TSAI Yi-Ning BHT013 Licensed Representative (Provisional Licence) 1, 4, 6

TSANG Chi Chung BHU817 Licensed Representative (Provisional Licence) 1

TSANG Chui Ying BHS093 Licensed Representative (Provisional Licence) 3

TSANG Ka Lo BHW671 Licensed Representative (Provisional Licence) 1, 6

TSANG Robert Fanqi BFR562 Licensed Representative (Provisional Licence) 1

TSE Wai Yee, May ARN403 Licensed Representative (Provisional Licence) 1, 2, 4

TSUI Wai Ying, Jintz AFI797 Licensed Representative (Provisional Licence) 1

TU Jiada BHY016 Licensed Representative (Provisional Licence) 1, 4, 6

TU Yuxi BHW846 Licensed Representative (Provisional Licence) 1, 4, 6

VALLE CORRER Giorgio AXW942 Licensed Representative (Provisional Licence) 1, 4, 6

VERMA Madhav BHU425 Licensed Representative (Provisional Licence) 1, 4, 6

VISWAMANI Sreeram BHV463 Licensed Representative (Provisional Licence) 9

WALBERT Andreas BHT838 Licensed Representative (Provisional Licence) 1, 9

WAN Hor Shun, Hetty AEK601 Licensed Representative (Provisional Licence) 4, 9

WANG Albert APQ327 Licensed Representative (Provisional Licence) 9

WANG Baohe BHW632 Licensed Representative (Provisional Licence) 4, 9

WANG Changjiang BHV534 Licensed Representative (Provisional Licence) 4

WANG Haining BHV161 Licensed Representative (Provisional Licence) 1, 6

WANG Jiahui BAD529 Licensed Representative (Provisional Licence) 4

WANG Jiayi BHU406 Licensed Representative (Provisional Licence) 1, 6

WANG Jingting BHV656 Licensed Representative (Provisional Licence) 4, 9

WANG Peiyue BHO570 Licensed Representative (Provisional Licence) 1

WANG Rui BHX270 Licensed Representative (Provisional Licence) 1, 4, 6

WANG Ruiqi ASP497 Licensed Representative (Provisional Licence) 1, 4, 9

WANG Shuai BHV648 Licensed Representative (Provisional Licence) 9

WANG Xiayang BHX564 Licensed Representative (Provisional Licence) 1, 4, 6

WANG Xin BHX274 Licensed Representative (Provisional Licence) 1, 4, 6

WANG Yi-an BHT913 Licensed Representative (Provisional Licence) 1, 2

WANG Ziteng BHN716 Licensed Representative (Provisional Licence) 4

WANG Zong BHV540 Licensed Representative (Provisional Licence) 1

WARSHAWSKY Nim ANT835 Licensed Representative (Provisional Licence) 1, 2

WEI Hong Jie BHT132 Licensed Representative (Provisional Licence) 1, 6

WEI Shiyu BHO460 Licensed Representative (Provisional Licence) 1, 6

WEI Yi BHW654 Licensed Representative (Provisional Licence) 1, 4, 6

WEN Yaqing BHX825 Licensed Representative (Provisional Licence) 1, 6

WENG Liyang AYF094 Licensed Representative (Provisional Licence) 1, 4, 9

WENG Tian BHN791 Licensed Representative (Provisional Licence) 4

WONG Chi Tung BHW615 Licensed Representative (Provisional Licence) 1

WONG Hsiu Hui, Jennifer ANE206 Licensed Representative (Provisional Licence) 9

WONG Jason Pok Hei BHU273 Licensed Representative (Provisional Licence) 1, 6

WONG Kin Sun BHS010 Licensed Representative (Provisional Licence) 1, 4, 9

WONG Lai Kwok, Ruby BHW761 Licensed Representative (Provisional Licence) 1, 4

WONG Man Ho BEV529 Licensed Representative (Provisional Licence) 4, 9

WONG Shing Chi AOS348 Licensed Representative (Provisional Licence) 1

WU Hao BHP492 Licensed Representative (Provisional Licence) 1, 4, 9

WU Ke BHT089 Licensed Representative (Provisional Licence) 1, 6

WU Yankun BHX777 Licensed Representative (Provisional Licence) 1, 4, 6

WU Yenan BHU997 Licensed Representative (Provisional Licence) 1, 6

Page 14 of 17

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 08/2016

CE Name CE No. Licence Type Types of Regulated Activity

WU Ying Piu BHV039 Licensed Representative (Provisional Licence) 1, 4, 6

WU Yulu BHX593 Licensed Representative (Provisional Licence) 1, 2

XIA Yixin BHV019 Licensed Representative (Provisional Licence) 1, 6

XIANG Lin BHU250 Licensed Representative (Provisional Licence) 1, 4

XIAO Mingyi BHO183 Licensed Representative (Provisional Licence) 1, 2

XIE Qiangming BHV181 Licensed Representative (Provisional Licence) 4

XIE Yiyi BHV022 Licensed Representative (Provisional Licence) 1, 6

XU Hao AVA631 Licensed Representative (Provisional Licence) 1, 4, 9

XU Li BHX573 Licensed Representative (Provisional Licence) 1, 6

XU Lingli Lyris BGL609 Licensed Representative (Provisional Licence) 4, 9

XU Linkun BCT630 Licensed Representative (Provisional Licence) 1

XU Shan BHW900 Licensed Representative (Provisional Licence) 4

XU Zhiling BHX269 Licensed Representative (Provisional Licence) 1, 4, 6

YAMADA Mikiya BHV121 Licensed Representative (Provisional Licence) 4

YAN Sin Hang AUL971 Licensed Representative (Provisional Licence) 1, 6

YANG Geyue BHV155 Licensed Representative (Provisional Licence) 1, 6

YANG Haoyuan BHV049 Licensed Representative (Provisional Licence) 1, 4, 6

YANG Lingzi BGC783 Licensed Representative (Provisional Licence) 1, 4

YANG Tianqi BHU851 Licensed Representative (Provisional Licence) 1, 4, 9

YANG Xuan BHS899 Licensed Representative (Provisional Licence) 4

YANG Yang BHT590 Licensed Representative (Provisional Licence) 1, 6

YANG Yiqing BHU638 Licensed Representative (Provisional Licence) 1, 6

YANG Zizhou BHY110 Licensed Representative (Provisional Licence) 1, 4, 6

YAO Deyin BHS756 Licensed Representative (Provisional Licence) 2

YAO Yao ARI756 Licensed Representative (Provisional Licence) 1, 2

YAP Sze Sze BAI297 Licensed Representative (Provisional Licence) 1, 4, 9

YAP Vernice Wen Yi BHY234 Licensed Representative (Provisional Licence) 1

YE Weilong BHW508 Licensed Representative (Provisional Licence) 1, 6

YE Xiaoxiong BHU991 Licensed Representative (Provisional Licence) 4

YEI Tak Sau BHW501 Licensed Representative (Provisional Licence) 1, 6

YEUNG Chi Ki BBE744 Licensed Representative (Provisional Licence) 1, 4

YEUNG Man Wai Winnie BHU833 Licensed Representative (Provisional Licence) 4

YEUNG Wang Fung BHU906 Licensed Representative (Provisional Licence) 1, 4

YI Jian BHO439 Licensed Representative (Provisional Licence) 4

YI Xin BCU278 Licensed Representative (Provisional Licence) 10

YIM Hiu Fei BHV669 Licensed Representative (Provisional Licence) 1

YIM Wing Yip BHU420 Licensed Representative (Provisional Licence) 9

YIP Chau Yeung BHU462 Licensed Representative (Provisional Licence) 1, 6

YOSHIKAWA Masahiro ACG385 Licensed Representative (Provisional Licence) 1, 4, 9

YOU Chou Wen AQG774 Licensed Representative (Provisional Licence) 1, 4, 9

YOU Ran BHY607 Licensed Representative (Provisional Licence) 6

YU Feng-Ming BHW485 Licensed Representative (Provisional Licence) 1, 4

YU Haoren BHW523 Licensed Representative (Provisional Licence) 1, 4, 9

YU Ho Man Horace BHY614 Licensed Representative (Provisional Licence) 6

YU Honghao BHV582 Licensed Representative (Provisional Licence) 1

YU Jianlei BHU451 Licensed Representative (Provisional Licence) 2

YU Ka Leung BHW631 Licensed Representative (Provisional Licence) 1, 2

YU Menglu BHV164 Licensed Representative (Provisional Licence) 1, 6

YU Sheng BHY362 Licensed Representative (Provisional Licence) 1, 2

YUAN Hong BHU231 Licensed Representative (Provisional Licence) 1, 6

YUAN Kan BHU647 Licensed Representative (Provisional Licence) 1, 6

YUAN Ye BHQ447 Licensed Representative (Provisional Licence) 4, 9

YUAN Yixuan BHU675 Licensed Representative (Provisional Licence) 1

YUE Kenneth ARS558 Licensed Representative (Provisional Licence) 1, 4, 6

ZHAN Chong BHT580 Licensed Representative (Provisional Licence) 1, 6

Page 15 of 17

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 08/2016

CE Name CE No. Licence Type Types of Regulated Activity

ZHAN Tinggong BHT652 Licensed Representative (Provisional Licence) 1, 4, 6

ZHANG Andy Shenghao BHU419 Licensed Representative (Provisional Licence) 1, 6

ZHANG Hairong AXL545 Licensed Representative (Provisional Licence) 1

ZHANG Jialin AYM827 Licensed Representative (Provisional Licence) 4, 9

ZHANG Jinhong BHR791 Licensed Representative (Provisional Licence) 9

ZHANG Lily BHX636 Licensed Representative (Provisional Licence) 1, 4

ZHANG Luo BHV160 Licensed Representative (Provisional Licence) 1, 2

ZHANG Qianhui BHU022 Licensed Representative (Provisional Licence) 6

ZHANG Shaoqing BHR967 Licensed Representative (Provisional Licence) 4, 9

ZHANG Suhan BHU271 Licensed Representative (Provisional Licence) 1, 4

ZHANG Ximeng BHT650 Licensed Representative (Provisional Licence) 1, 4, 6

ZHANG Yueyang BHW836 Licensed Representative (Provisional Licence) 4, 9

ZHANG Zhaoxiang BHT612 Licensed Representative (Provisional Licence) 1, 6

ZHANG Zijun BHF774 Licensed Representative (Provisional Licence) 1, 2

ZHANG Zilai BHX633 Licensed Representative (Provisional Licence) 1, 6

ZHANG Ziyu BAB675 Licensed Representative (Provisional Licence) 4, 9

ZHAO Jianan BHT616 Licensed Representative (Provisional Licence) 1, 6

ZHENG Boheng BHX194 Licensed Representative (Provisional Licence) 1, 4, 6

ZHENG Jie BHS906 Licensed Representative (Provisional Licence) 4

ZHENG Wendong BHS763 Licensed Representative (Provisional Licence) 1, 2, 4

ZHENG Yinglin BHS715 Licensed Representative (Provisional Licence) 1

ZHENG Zhongliang BHM959 Licensed Representative (Provisional Licence) 1

ZHOU Fuxing BHX208 Licensed Representative (Provisional Licence) 1, 4, 6

ZHOU Kehui BHR437 Licensed Representative (Provisional Licence) 4

ZHOU Rui BHV154 Licensed Representative (Provisional Licence) 1, 4, 6

ZHOU Xicheng BHV604 Licensed Representative (Provisional Licence) 1, 2

ZHOU Xinling BHV038 Licensed Representative (Provisional Licence) 1, 4, 6

ZHOU Zheng ASF222 Licensed Representative (Provisional Licence) 1, 4, 6

ZOU Quan BHW781 Licensed Representative (Provisional Licence) 1, 4, 9

ABADA Mark Zayco BHY238 Licensed Representative (Temporary Licence) 1, 4

ADEWALE Amanda Patricia BBO925 Licensed Representative (Temporary Licence) 1

ADUKIA Ravi Kumar BHZ003 Licensed Representative (Temporary Licence) 4

ALI Tawhid BBP720 Licensed Representative (Temporary Licence) 4

BASU Sougata BHZ553 Licensed Representative (Temporary Licence) 4

BRACKETT Robert Alan BBA483 Licensed Representative (Temporary Licence) 4

BRAND Helen Michelle BHY288 Licensed Representative (Temporary Licence) 4

CAMPOS DIAZ Adrian Giancarlo BHD137 Licensed Representative (Temporary Licence) 1

CHAI Denise Sara ADR497 Licensed Representative (Temporary Licence) 1, 4

CHANG Ting-Ting BHW487 Licensed Representative (Temporary Licence) 1, 2

CHAVALI Ramakrishna BIB421 Licensed Representative (Temporary Licence) 1

CHEN Shou-Hui BFO656 Licensed Representative (Temporary Licence) 1

CHEONG Taeyong BGC155 Licensed Representative (Temporary Licence) 1

CHEONG Taeyong BGC155 Licensed Representative (Temporary Licence) 1

COLLINS Georgina Victoria BGL917 Licensed Representative (Temporary Licence) 1, 2

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

DADABHOY Jamshed Rustom BFK188 Licensed Representative (Temporary Licence) 4

DELIN Joel Adam BHW813 Licensed Representative (Temporary Licence) 1, 2

DRYER Katharine Grace BDI393 Licensed Representative (Temporary Licence) 1

FRIEDMAN John William BHX263 Licensed Representative (Temporary Licence) 1

FUJITA Kiichi BHV637 Licensed Representative (Temporary Licence) 4

GALLO Fabrizio AJI533 Licensed Representative (Temporary Licence) 1, 2

GANDHI Veekesh Suresh BBA377 Licensed Representative (Temporary Licence) 1, 4

GARG Manoj Rajkamal BBZ707 Licensed Representative (Temporary Licence) 1, 4

GOYAL Surendra Kumar BEO301 Licensed Representative (Temporary Licence) 4

GREEN Nicholas James BHT971 Licensed Representative (Temporary Licence) 4

Page 16 of 17

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 08/2016

CE Name CE No. Licence Type Types of Regulated Activity

GUPTA Shivang BHY492 Licensed Representative (Temporary Licence) 1, 2

HASSIN PINTO Andre BHX478 Licensed Representative (Temporary Licence) 1, 2

HAYES Christopher John BEB738 Licensed Representative (Temporary Licence) 1

HUANG Jiacheng BAH845 Licensed Representative (Temporary Licence) 1, 4

ICHIKAWA Teppei BIB368 Licensed Representative (Temporary Licence) 1, 2

KAMIJO Tetsuo BHZ803 Licensed Representative (Temporary Licence) 1, 2, 4

KIM Nara BHO992 Licensed Representative (Temporary Licence) 1

KIMIJIMA Satoshi BHX449 Licensed Representative (Temporary Licence) 1, 2

KIT Wei Zheng BEB420 Licensed Representative (Temporary Licence) 4

KOIKE Shoji AZD368 Licensed Representative (Temporary Licence) 1, 2

KOYCHEV Deyan Emilov BGZ622 Licensed Representative (Temporary Licence) 1

LAUGHLIN Justin John AWV278 Licensed Representative (Temporary Licence) 2

LEE Chung-Han BET671 Licensed Representative (Temporary Licence) 1, 2

LI Jing AOV618 Licensed Representative (Temporary Licence) 1, 2

LIN Maximillian George BHY284 Licensed Representative (Temporary Licence) 4

LIN Yong-Cher AMP196 Licensed Representative (Temporary Licence) 1

MAEKITA Takanobu BHX057 Licensed Representative (Temporary Licence) 1, 2

MC NULTY JR Christopher Charles BHX236 Licensed Representative (Temporary Licence) 1, 2

MEERANI Sumeet Shyam BHZ825 Licensed Representative (Temporary Licence) 1, 2, 4

MODY Andrea Crawford BIB416 Licensed Representative (Temporary Licence) 1

MUKHLIS Helmi Arman BDY347 Licensed Representative (Temporary Licence) 4

NIETSCH Eric Clark BIA055 Licensed Representative (Temporary Licence) 10

OHTAKA Kenichi BHY394 Licensed Representative (Temporary Licence) 1

PARK Jun Ho AXZ060 Licensed Representative (Temporary Licence) 1

PARMAR Bhavin Pravin AUA256 Licensed Representative (Temporary Licence) 1, 2

RESTOUT Thomas Jean BIB315 Licensed Representative (Temporary Licence) 1, 2

SETH Neeraj AYB919 Licensed Representative (Temporary Licence) 1, 4

SONNEVELD Ewoud Arie Jan AOK044 Licensed Representative (Temporary Licence) 1

TACHDJIAN Ara Jean BHW673 Licensed Representative (Temporary Licence) 1

TAN You Khai BFE580 Licensed Representative (Temporary Licence) 1, 2

VARMA Rajeev BAN052 Licensed Representative (Temporary Licence) 1, 4

VINE Michael James BHW670 Licensed Representative (Temporary Licence) 10

VINE Michael James BHW670 Licensed Representative (Temporary Licence) 10

WONG Ferry Wijaya ARB231 Licensed Representative (Temporary Licence) 4

WOOLFORD Craig John BFD306 Licensed Representative (Temporary Licence) 4

YAMAWAKI Kasumi BHY398 Licensed Representative (Temporary Licence) 4

YAU Hoe Kiat, Patrick AML197 Licensed Representative (Temporary Licence) 4

YEN Edward ATJ152 Licensed Representative (Temporary Licence) 4

YOO Jae Hyuk BBS475 Licensed Representative (Temporary Licence) 1, 4

YOO Jongwoo BEX905 Licensed Representative (Temporary Licence) 4

Page 17 of 17