REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS ... · removals of licensed persons/registered institutions during ... cao steven yao bbq949 licensed ... removals of licensed

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

Edmond de Rothschild Asset Management (Hong Kong) Ltd. AQC809 Licensed Corporation 1, 4, 9

Edmond de Rothschild Securities (Hong Kong) Limited AXH505 Licensed Corporation 1

Guard Capital Management Limited BDO966 Licensed Corporation 9

Hang Seng Futures Limited AAI119 Licensed Corporation 2, 5

Oceanwide Financial (IA) Limited AFR625 Licensed Corporation 4

Shanxi Securities International Financial Holdings Limited AOK946 Licensed Corporation 2

South Mountain Asset Management Limited BCW101 Licensed Corporation 9

AGARWAL Monika Prabhudayal AKO185 Licensed Representative 1, 6

ARAYANIMITSKUL Janyawan BDF627 Licensed Representative 9

ASOPA Naveen Shankar BHC677 Licensed Representative 1, 6

AU Lawrence BIS389 Licensed Representative 4, 9

BABINSZKI VASS Christopher Josef BEU758 Licensed Representative 1, 4

BALBO Silvio BFR701 Licensed Representative 9

BATCHA Jamil Muhammed ATC398 Licensed Representative 9

CAO Steven Yao BBQ949 Licensed Representative 1, 9

CAUBERGHS Alan Cornelia H. BHA630 Licensed Representative 1

CHAI Shan Shan AVD684 Licensed Representative 4, 9

CHAN Alexandra Amy ACL601 Licensed Representative 3

CHAN Chi Kwong, Paul APB687 Licensed Representative 1

CHAN Chung Kin AGI104 Licensed Representative 1

CHAN Gabriel Raeburn AHN285 Licensed Representative 4

CHAN Hok Sing ACS382 Licensed Representative 1

CHAN John BGI266 Licensed Representative 1, 2

CHAN Ka Yeung AMI151 Licensed Representative 1, 2

CHAN Ken Man BJI679 Licensed Representative 6

CHAN Kit Yan ALF290 Licensed Representative 1

CHAN Oi Yin APB779 Licensed Representative 10

CHAN Siu Kuen AOU141 Licensed Representative 1, 2, 4, 9

CHAN Suk Han, Clarence ADZ970 Licensed Representative 1

CHAN Yat Wai BIZ508 Licensed Representative 1

CHAN Yiu Mo AFM890 Licensed Representative 1, 2

CHAN Zhong Wai, Wilson BEZ871 Licensed Representative 4, 9

CHANG Ching Wen ACS608 Licensed Representative 3

CHANG Chiung-Wen AOE329 Licensed Representative 1

CHANG Hsun Fang ANP491 Licensed Representative 9

CHANG Wan-Ling AUP742 Licensed Representative 1

CHAU Hei Wai BEZ010 Licensed Representative 1

CHAU Shuk Wai BCY913 Licensed Representative 1

CHEN Yi-Ju BHK873 Licensed Representative 1, 6

CHEN Li BGO475 Licensed Representative 4

CHEN Pang Yen AGB362 Licensed Representative 9

CHEN Pei-Hui, Kathy ALY540 Licensed Representative 4, 9

CHEN Su Juan ASL537 Licensed Representative 9

Page 1 of 23

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

CHEN Tao BFK738 Licensed Representative 2

CHEN Wen-Chin BHA440 Licensed Representative 1

CHEN Xinyi BKW998 Licensed Representative 1

CHEN Yixin BAE587 Licensed Representative 1, 4, 6

CHEN Yu BFI292 Licensed Representative 9

CHEN Zhen Hai AWM874 Licensed Representative 1, 2

CHEN Zisong BFX561 Licensed Representative 1, 6

CHENG Tsz Fung, Raymond ANQ703 Licensed Representative 1

CHEUK Kit Man ARI602 Licensed Representative 1, 4

CHEUNG Chun Wai, Andy AEJ337 Licensed Representative 1, 2

CHEUNG Ka Mei AMB387 Licensed Representative 1, 4, 5, 9

CHEUNG Nicholas Shiu Kwong BDI998 Licensed Representative 4, 9

CHEUNG Shuk Bing AEE250 Licensed Representative 1

CHEUNG Wai Ying AEN774 Licensed Representative 1

CHIANG Venant AIB743 Licensed Representative 4, 9

CHIN Kwan Yiu, Genny BDY727 Licensed Representative 1

CHIN Yick Tung BBK840 Licensed Representative 1

CHOI Siu Shun AAE834 Licensed Representative 1, 2

CHONG Ka Tak BIS549 Licensed Representative 1

CHOY Kit Hung ALB340 Licensed Representative 1, 9

CHU Daniel Kin Fun AXR065 Licensed Representative 1

CHU LAI SAN, TERESA AWN382 Licensed Representative 1

CHUA Chit Nam AFT281 Licensed Representative 1, 2

CHUANG Wing Keung BFX697 Licensed Representative 1, 2, 4, 5

CHUNG Chi Chiu BFZ561 Licensed Representative 2

CHUNG Chun Hung, Simon AEU770 Licensed Representative 1, 2

CHUNG Harris Hayong BBM605 Licensed Representative 1, 4, 6

CHUNG Jean Yong AGK970 Licensed Representative 9

CHUNG Po King BJG433 Licensed Representative 1

CO Chun Wai ADU467 Licensed Representative 1

COLIN-LAMER Gwenaelle Julie BIH080 Licensed Representative 1, 4

COLLETT Michael James AUB134 Licensed Representative 1, 4

COOPER Richard David AVU997 Licensed Representative 1

CORBAT Brian Louis BBT287 Licensed Representative 1

CUI Jian BIC651 Licensed Representative 1, 9

DENG Rui BEM663 Licensed Representative 6

DING Anli BHF142 Licensed Representative 1, 4, 9

DING Xiaowen AYV567 Licensed Representative 6

DONG Jizhou BEW779 Licensed Representative 4

DORSETT William Robertson BAD879 Licensed Representative 1, 2

DU Nan Chiang BGH452 Licensed Representative 4

FANG Jiaying BCD190 Licensed Representative 1

FENG Yahui BAA252 Licensed Representative 1, 2

Page 2 of 23

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

FREITAS Brian Caetano AON705 Licensed Representative 1, 2

FU Si Hui AVO634 Licensed Representative 1, 2, 7

FUNG Chun Ho AVV720 Licensed Representative 4, 9

FUNG Mei Fung BDY944 Licensed Representative 6

FUNG Ming Ching AXH225 Licensed Representative 1

FUNG Shing Wai AWJ859 Licensed Representative 2

GAN Han Kee BHK543 Licensed Representative 1, 4, 6

GAO Cheng AXG207 Licensed Representative 1

GAO Liyun BAB050 Licensed Representative 2

GAO Qingqing BHY411 Licensed Representative 1

GORMAN Mark Christopher AXL709 Licensed Representative 9

GU Cong BDV937 Licensed Representative 1, 4, 6

GUO Qiang AYW017 Licensed Representative 6

GUO Zhiqing BCD149 Licensed Representative 1

HANCOCK Jonathan Stiles ACJ318 Licensed Representative 1

HE Feng BGY654 Licensed Representative 1, 4, 5, 9

HE Ling BII106 Licensed Representative 1, 4, 9

HE Rong BEZ040 Licensed Representative 4

HE Xinrui AZR008 Licensed Representative 4

HE Yang BHL328 Licensed Representative 1, 6

HEATH Kristian David BGQ570 Licensed Representative 1

HIRAYAMA Hajime BFC663 Licensed Representative 1

HO Chi Wai AJM480 Licensed Representative 3

HO Man Kit, Frankie ACD412 Licensed Representative 1

HO Ting Chu AZG340 Licensed Representative 1

HO Yiu Nam ASD652 Licensed Representative 1

HONG Lanfang BHY141 Licensed Representative 1

HOU Haibo BHW770 Licensed Representative 1, 4, 6

HUANG Jie AZX967 Licensed Representative 1, 4

HUANG Shi BIZ350 Licensed Representative 1, 6

HUANG Yue BDA207 Licensed Representative 1, 6

HUANG Zidong BFY826 Licensed Representative 1, 2

HUI Chui Fong, Debbie AQK222 Licensed Representative 1, 2

HUI Yu Hang BCD623 Licensed Representative 6

IP Ka Hong BBT927 Licensed Representative 1

IP Ming Kin AKT999 Licensed Representative 1

JIANG Feng AXO926 Licensed Representative 4, 9

JIANG Shan ARN809 Licensed Representative 1, 2

JIANG Yi BDH056 Licensed Representative 6

JIN Hongmei ALL637 Licensed Representative 1, 2

JU Jongyoon ATJ082 Licensed Representative 4, 9

KAN Yiu Kwong BDC075 Licensed Representative 2, 5

KANG Youle AZB772 Licensed Representative 1, 4, 6

Page 3 of 23

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

KERVEN Daniel Robert BFX177 Licensed Representative 1, 4

KOH Soo Wei BIH098 Licensed Representative 1

KONG Shu Nam Morris BHL539 Licensed Representative 1

KU Tat Ming BAD792 Licensed Representative 1

KULKARNI Harshad Mukund BHL505 Licensed Representative 1

KWOK On Ting BHL581 Licensed Representative 1

KWOK Chau Mo AUH267 Licensed Representative 4, 9

KWOK CHEUNG Tak May AQJ220 Licensed Representative 4, 9

KWOK Wing Ling BIY245 Licensed Representative 4, 9

KWONG Johnothan Laurent BHZ843 Licensed Representative 4

KWONG Ying Lok AVJ109 Licensed Representative 1, 2

LAI Ka Fai AFC174 Licensed Representative 1

LAI Kim Ho BHQ346 Licensed Representative 1, 2

LAI Tsz Lung APV204 Licensed Representative 1, 2, 9

LAI Wing Chi, Juliana ARE549 Licensed Representative 1

LAM Fei Suet AVM347 Licensed Representative 1, 9

LAM Hiu Ying AQF145 Licensed Representative 1

LAM Kwong Fung ANS191 Licensed Representative 3

LAM Siu Man AIH364 Licensed Representative 1

LAM Wai Yu ANV167 Licensed Representative 1, 4

LANDAU John Howard AOH926 Licensed Representative 1, 4

LAU Sin Sam, Samson BIQ779 Licensed Representative 1, 2

LAU Yan Yan, Toynbee AFM194 Licensed Representative 1, 2

LAU Yin Wang, Calvin BAY181 Licensed Representative 1

LAU Yu Wa BIZ182 Licensed Representative 6

LAW Chi Ho BGC796 Licensed Representative 1, 9

LAW Sze Man BGS914 Licensed Representative 1, 4

LAW YEUNG Bik Ling AAY194 Licensed Representative 1

LAW Yuk Tong ABS846 Licensed Representative 3

LEE Chi Kay, Ricky ADE874 Licensed Representative 1

LEE Ji In BGY611 Licensed Representative 1, 2

LEE Onejun BEA913 Licensed Representative 1, 2

LEE Pin Ching BJG863 Licensed Representative 4

LEE Sheung Hung AKJ073 Licensed Representative 1

LEE Yee May AVE275 Licensed Representative 1

LENG Hui Hsien BGW437 Licensed Representative 1

LEONG Chin Pang, Lester ADA406 Licensed Representative 1

LEONG Wai Ip AFV784 Licensed Representative 1

LEUNG Chi Cheong BBL049 Licensed Representative 1

LEUNG Terrance Scott BHZ474 Licensed Representative 1, 2

LEUNG Wing Sun AAX843 Licensed Representative 1

LEUNG Yee Lung BHA087 Licensed Representative 1

LI Jessie BFO687 Licensed Representative 4

Page 4 of 23

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

LI Na BJB579 Licensed Representative 1, 4

LI Shulu AUW640 Licensed Representative 1

LI Tianzi BHC633 Licensed Representative 4, 9

LI Wing Yan, Kathy AXY631 Licensed Representative 4, 9

LI Yujing AUW144 Licensed Representative 4, 9

LI Zhe BEZ814 Licensed Representative 4

LIN Jieping BHP326 Licensed Representative 1, 2

LIN Sen BJB730 Licensed Representative 1, 4, 9

LIU Chang BGX757 Licensed Representative 6

LIU Chi Hang APF049 Licensed Representative 1, 2

LIU Chi Yan AVF644 Licensed Representative 1, 2

LIU Dapeng AOX872 Licensed Representative 4, 9

LIU Hok Sum Sam AMS459 Licensed Representative 1, 2

LIU Yihe BDL890 Licensed Representative 4

LIZARES Enrique G ALO314 Licensed Representative 1

LO Chiu-jung BIM504 Licensed Representative 1, 4, 9

LO Man Hin BHO812 Licensed Representative 1, 6

LOK Ka Man BIO703 Licensed Representative 6

LONGSDON Robert James AXI001 Licensed Representative 10

LOO Chi Shing Andrew AUD368 Licensed Representative 1

LUI Ngan, Connie AOO869 Licensed Representative 1

LUI Shing, Jason AQW034 Licensed Representative 1, 2

LUI Yui Ki ABS448 Licensed Representative 1

LUM Wai Soon BDM726 Licensed Representative 1

MA Kam Chuen AAW418 Licensed Representative 1, 4, 9

MAK Kan Long ABY855 Licensed Representative 1

MAK Tak Hei BFO080 Licensed Representative 9

MAK Yau Kan AJE718 Licensed Representative 1, 2

MAO Yunjun AZR330 Licensed Representative 9

MASSEY-KIM James Lee AXX219 Licensed Representative 1, 9

MATSUO Toshihiro BAZ741 Licensed Representative 10

MCKECHNIE Claire AVT243 Licensed Representative 1, 4

MIN Sang Won AEB935 Licensed Representative 1

MOHIDEEN Khaleelur Rahman ABM107 Licensed Representative 7

MOK Wai Lap Gavin ALD459 Licensed Representative 1, 4

MOON Jung Hye AXP431 Licensed Representative 1, 4, 6

MORI Masayuki AZI773 Licensed Representative 1

MORRISON Joe Lavin Richard BBN554 Licensed Representative 10

MUI Ka Ho Wallace BKU044 Licensed Representative 6

NAN Chunyan BDQ082 Licensed Representative 1, 6

NG Ho Yin BFD366 Licensed Representative 1, 4

NG Man Hung ARB437 Licensed Representative 1, 4

NG Mei Yee BJX576 Licensed Representative 6

Page 5 of 23

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

NG Wai Ling, Cary AEZ614 Licensed Representative 1

NG Yin Lam AGK085 Licensed Representative 1

NG Yiu Chung AVW170 Licensed Representative 2

NG Yiu Kwong BEI260 Licensed Representative 1

NG Yuk Yi BID283 Licensed Representative 1, 4

NGAI Tin BGO679 Licensed Representative 1, 2

NIU Pin BHG779 Licensed Representative 4

OSHIMIZU Yoshihiro BHM643 Licensed Representative 1, 4, 6

PAN Kai Lam BJB295 Licensed Representative 1, 9

PANG Cin Fung ARI737 Licensed Representative 1, 9

PANG Ka Wai BEL490 Licensed Representative 1

PANG Kwan AWN156 Licensed Representative 1, 4, 6

PARK Jiyoon BFY809 Licensed Representative 1, 2

PARK Juyoung BHF451 Licensed Representative 1

PARKER Hugh Fraker BHG911 Licensed Representative 9

PATTERSON Daniel Crowley BJH445 Licensed Representative 1, 4

PAU Tin Lok BFG861 Licensed Representative 1, 4, 9

PERRY Nicola Louise Smith BBL392 Licensed Representative 1

PITTS James Emilian Thomas ARJ704 Licensed Representative 1, 2

PONG Suet Hing ALS767 Licensed Representative 1, 4

PRADINATA Kusnadi BHC220 Licensed Representative 9

RAMLER Nathan John AQA109 Licensed Representative 4

RANA Mujtaba N BDO140 Licensed Representative 4

RAO Chengfang BDF397 Licensed Representative 4

REN Jie BDR622 Licensed Representative 1

REN Mengqi BBR070 Licensed Representative 1, 4, 6

REN Wenyuan AZR485 Licensed Representative 1, 6

RENARD Jean-Guy, Raymond, Charles AGH585 Licensed Representative 1, 2

ROBERTSON Andrew Sze Kit BHT835 Licensed Representative 1, 4, 9

ROBERTSON Simon Montague AGI097 Licensed Representative 1, 2

SAKATA Katsuhiko BBY595 Licensed Representative 1, 4, 6

SANDAYA Hiroyoshi BDD021 Licensed Representative 1, 2

SCHMIDT Florian Humbert Anton ADX544 Licensed Representative 1

SCHWENDIMAN Andrew Glenn AMY252 Licensed Representative 1, 6

SHAFIK Michael Samir BAW673 Licensed Representative 1, 2

SHAM Chun Man BGI782 Licensed Representative 1

SHANG Quanxi BIQ844 Licensed Representative 6

SHAO Jiong ARA236 Licensed Representative 6

SHARP Richard Anthony AJL639 Licensed Representative 1, 4

SHEK Hin Tak, Andrew AAW515 Licensed Representative 1, 4

SHI Chengbo BEB246 Licensed Representative 1, 4

SHI Yan ANJ044 Licensed Representative 4

SHROFF Saurabh Bharat BFD612 Licensed Representative 1, 2

Page 6 of 23

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

SHUM Wing Ki Stephanie BHP710 Licensed Representative 4, 9

SHUM Yat Tung BCS471 Licensed Representative 3

SIU Kin Ho AQB017 Licensed Representative 1, 2

SIU Tsz Wai ACD150 Licensed Representative 1, 2, 3

SO Wai Lun AXD705 Licensed Representative 1, 2

SON Won Joon BBG273 Licensed Representative 9

SONG Se Han BFE217 Licensed Representative 1

SONG Weiguang BAZ639 Licensed Representative 4, 9

SONG Xiao BCP019 Licensed Representative 1, 6

SONG Yuan BBQ722 Licensed Representative 1

STENSKE Michael James BID159 Licensed Representative 9

SU Xin BHD946 Licensed Representative 1, 4, 6

SU Zhiqiang BGH639 Licensed Representative 9

SUN Dilong BFW605 Licensed Representative 1, 2, 9

SUN Xuan AYR648 Licensed Representative 6

SWAIN Manoj Kumar BGA827 Licensed Representative 1, 2

SYAL Sumit AXL025 Licensed Representative 1

SZE Ching Man AUA960 Licensed Representative 1, 2, 3

TAM Edmond Ming Kwan ACB553 Licensed Representative 9

TAM Kam Wah ABM628 Licensed Representative 1

TAM Ophelia Wing Yan AOP079 Licensed Representative 1, 4

TAM Sui Hei BHT517 Licensed Representative 1

TAM Tsz Kwan AFD463 Licensed Representative 9

TAM Wing Yee AEC589 Licensed Representative 1, 4

TANG Cho Chun BJC986 Licensed Representative 1

TANG Jennifer Wing Chung BHY293 Licensed Representative 1

TANG Lei Bing, Vicky ARO772 Licensed Representative 1, 2, 3

TANG Quanhao BDY691 Licensed Representative 1, 4, 6

TANG Wai Sin ANQ967 Licensed Representative 1, 4

TANG Yu Ching BHA071 Licensed Representative 1

TAO Liyuan AWK183 Licensed Representative 1

TAO Sha BHU607 Licensed Representative 4, 9

TEO Lay Lin ANH229 Licensed Representative 1, 2

TIAN Lijun BIV622 Licensed Representative 6

TIAN Linyang ARR344 Licensed Representative 1

TIONG Serena Ee Ik BBD160 Licensed Representative 1, 2

TROPPER Giselle Natalia AUA249 Licensed Representative 1, 2

TSANG Fei Ying, Jenny AAG433 Licensed Representative 3

TSANG Hin For AXS855 Licensed Representative 1, 2

TSANG Kin Bun AXP214 Licensed Representative 1

TSANG Wing Tat BBJ319 Licensed Representative 1, 4

TSANG Wing Woo ACL040 Licensed Representative 1, 2

TSOI Geoffrey Wai Yip BBJ502 Licensed Representative 1, 2, 7

Page 7 of 23

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

TSOI Pik Yiu, Catherine ALF221 Licensed Representative 1, 4

TSUCHIDA Mariko BKE006 Licensed Representative 9

VATCHKOVA Denitza Plamenova AUS969 Licensed Representative 1

WANE Mohamed Sada BFD994 Licensed Representative 1

WANG Binran BAF174 Licensed Representative 6

WANG Chen AXC439 Licensed Representative 9

WANG Da BGQ788 Licensed Representative 1, 6

WANG Hui BEA236 Licensed Representative 9

WANG Jiayu BFO084 Licensed Representative 1, 6

WANG Jue AXR632 Licensed Representative 1, 4, 6

WANG Ling BEC469 Licensed Representative 1

WANG Liting BHF601 Licensed Representative 4

WANG Mian BGE020 Licensed Representative 1, 4, 9

WANG Sifei BAV280 Licensed Representative 4, 9

WANG Xianqing BCI248 Licensed Representative 4, 9

WANG Yijun BFC862 Licensed Representative 1

WAT Jonathan AYQ256 Licensed Representative 1, 2

WEE Yao Hui Joel BIE426 Licensed Representative 1

WONG Cho Wai BGT653 Licensed Representative 1, 4

WONG Ka Lun, Alan BBS506 Licensed Representative 1, 4

WONG Kar Fai Alan BEA777 Licensed Representative 1, 4, 6

WONG Kwan Chung ACS499 Licensed Representative 1

WONG Kwok Wai AAK068 Licensed Representative 1

WONG Tin Lam BCH494 Licensed Representative 3

WONG Yin Chun, Terry BFX929 Licensed Representative 9

WOO Hon Man, Herman AGN338 Licensed Representative 1

WU Jianwei AXQ593 Licensed Representative 1

WU Kelvin Chih Wei AMB765 Licensed Representative 9

WU Qihui BHA282 Licensed Representative 1, 4, 6

WU Yiwen BIW812 Licensed Representative 4

XIAO Mingchuan BDH517 Licensed Representative 1, 6

XIAO Yuan AZB291 Licensed Representative 6

XIE Feng AWP435 Licensed Representative 4, 5, 9

XIE Yi BFZ396 Licensed Representative 1

XU Lu AYE980 Licensed Representative 1, 2, 5

XU Yi Bei BGU848 Licensed Representative 9

XUAN Xuan BIX220 Licensed Representative 1, 6

YAN Yiyi BDV089 Licensed Representative 1, 6

YANG Feng AVP528 Licensed Representative 1, 4, 9

YANG Jie BEE935 Licensed Representative 1, 6

YANG Keyang BHD228 Licensed Representative 1

YANG Li BKW297 Licensed Representative 1, 4, 6

YANG Zhaoxuan AYT010 Licensed Representative 1, 4, 6

Page 8 of 23

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

YEH Shu-hung ATQ772 Licensed Representative 1

YEUNG Cheuk Lam BHH927 Licensed Representative 1

YEUNG Ho Yu Candy BDQ503 Licensed Representative 1, 4

YEUNG Lam ARE535 Licensed Representative 1

YEUNG Pui Tak AJI792 Licensed Representative 1, 2

YEUNG Wing Yan, Idy ALL236 Licensed Representative 1, 4, 9

YIN Qi BIS959 Licensed Representative 6

YIU Chi Fai, Timothy BDO727 Licensed Representative 1, 2, 4, 5, 9

YIU Yik Sze Rosita AYR982 Licensed Representative 1

YU Bicky AGC275 Licensed Representative 1

YU Chloe Yan Yan BJK853 Licensed Representative 1, 4, 9

YU Ka Yan, Tricia AZO632 Licensed Representative 4

YU Kai Kai AHR083 Licensed Representative 1, 2, 4, 5

YU Kim Ho, Douglas ABF198 Licensed Representative 6

YU Kwok Chu ACN817 Licensed Representative 1, 2

YU Man Ho BLF892 Licensed Representative 6

YU Mengqi BDW398 Licensed Representative 6

YUEN Chi Sang BAW977 Licensed Representative 1, 2

YUEN Ming Fai ABR709 Licensed Representative 1, 4

YUEN Ming Tak AWW308 Licensed Representative 1

YUEN Ming Wai, Josephine AQQ126 Licensed Representative 1, 6

YUN Hon Man BEF417 Licensed Representative 1, 2

ZENG Chaohao ALN856 Licensed Representative 1, 4

ZHAN Di BGH199 Licensed Representative 4

ZHANG Chang BGH494 Licensed Representative 4

ZHANG Hao BFI452 Licensed Representative 1, 4, 6

ZHANG Jingjing BGT850 Licensed Representative 9

ZHANG Qian BGA414 Licensed Representative 1, 2, 4, 5

ZHANG Xiaobei BEZ151 Licensed Representative 9

ZHANG Xiaoyin ADX447 Licensed Representative 1, 6

ZHANG Xiawei BIB116 Licensed Representative 1, 4, 9

ZHANG Xinjue BIR063 Licensed Representative 1

ZHANG Yan BHG710 Licensed Representative 4, 9

ZHANG Yi BCY578 Licensed Representative 1, 2

ZHANG Zhonglin Johnny BGL608 Licensed Representative 9

ZHAO Chenxi AZJ511 Licensed Representative 1, 4, 9

ZHENG Wen AWH273 Licensed Representative 1

ZHENG Yang BAA900 Licensed Representative 4, 9

ZHENG Zhihui BGN229 Licensed Representative 4, 9

ZHOU Jason Xiaoyu BJK785 Licensed Representative 1, 4, 9

ZHOU Jiaqi BIB312 Licensed Representative 1, 6

ZHOU Jifangfang BIN823 Licensed Representative 1, 4

ZHOU Kai BBD867 Licensed Representative 6

Page 9 of 23

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

ZHOU Lina BAY312 Licensed Representative 1, 4

ZHOU Weilong BEC067 Licensed Representative 1, 4, 6

ZHU Hongxia ATM945 Licensed Representative 4

ZHU Junliang BEN145 Licensed Representative 1, 4, 6

ZHU Qi BCP008 Licensed Representative 1, 4, 6

ZHUANG Lijing BIK228 Licensed Representative 4, 9

ADHIKARI Tanmoy BAP560 Licensed Representative - Responsible Officer 1, 4

CABRAL Marcelo Custodio AXU877 Licensed Representative - Responsible Officer 1, 4

CHAI David Kwun ANR467 Licensed Representative - Responsible Officer 4, 5, 9

CHAN Chi Keung AFR786 Licensed Representative - Responsible Officer 1, 2, 4, 9

CHAN Hon Ming AAK045 Licensed Representative - Responsible Officer 4, 9

CHANG Hsun Fang ANP491 Licensed Representative - Responsible Officer 1, 4

CHEH Augustus Wing Chun ALK192 Licensed Representative - Responsible Officer 1, 4

CHENG Tsz Fung, Raymond ANQ703 Licensed Representative - Responsible Officer 4

CHEONG Ying Chew, Henry AAB214 Licensed Representative - Responsible Officer 4, 6

CHOI Yin Bing ADM634 Licensed Representative - Responsible Officer 6

CHUNG Wooman BFD631 Licensed Representative - Responsible Officer 3

DE CHABOT Florian Sebran Francois Jacques Marie BBO920 Licensed Representative - Responsible Officer 1, 2

DENG Xi ARD381 Licensed Representative - Responsible Officer 1

EDELIST Andrew Wayne ALS661 Licensed Representative - Responsible Officer 1, 2, 7

FONG LEE Irene AAF926 Licensed Representative - Responsible Officer 1

FUKUNAGA Masato AAZ157 Licensed Representative - Responsible Officer 1, 2, 4, 5, 9

FUNG Pak Fai AAH638 Licensed Representative - Responsible Officer 1

GEFEN Ofir ARK782 Licensed Representative - Responsible Officer 1, 7

GORE Stephen Patrick AWJ495 Licensed Representative - Responsible Officer 1, 4, 6

HUI Yee, Wilson ABI732 Licensed Representative - Responsible Officer 1, 2, 3, 4, 5

IP Ming Chung, Terry ADJ673 Licensed Representative - Responsible Officer 4, 9

KWAN Man Fai, Louis ADG156 Licensed Representative - Responsible Officer 1, 4

LAU Jin Tin, Don AMP629 Licensed Representative - Responsible Officer 9

LAU Kai Yeung ARA400 Licensed Representative - Responsible Officer 4, 9

LAW Mang Kwan AON979 Licensed Representative - Responsible Officer 4, 9

LEE Ching Choy AAC333 Licensed Representative - Responsible Officer 1

LEE Lai Shing AAK880 Licensed Representative - Responsible Officer 1

LEE Roger Gee ATS758 Licensed Representative - Responsible Officer 9

LEUNG Hung Piu AJF234 Licensed Representative - Responsible Officer 9

LEUNG Wing Cheung, William ALI608 Licensed Representative - Responsible Officer 1, 4, 9

LEUNG Yiu Bong, Raymond AOS223 Licensed Representative - Responsible Officer 1, 4

LIN I-Wen AOV710 Licensed Representative - Responsible Officer 1

LING Colin Celan ABU679 Licensed Representative - Responsible Officer 1, 2

MA Hoi Wai ADS048 Licensed Representative - Responsible Officer 9

MARLAND Christopher ARB907 Licensed Representative - Responsible Officer 9

MAWICKE John Henry ADG121 Licensed Representative - Responsible Officer 9

MOHIDEEN Khaleelur Rahman ABM107 Licensed Representative - Responsible Officer 1, 2

Page 10 of 23

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

NG Tan Hung Charlotte AGH833 Licensed Representative - Responsible Officer 1, 6

PARRILLI John C BDX580 Licensed Representative - Responsible Officer 9

RIEHL Peter William BFR442 Licensed Representative - Responsible Officer 9

SARTHOU Ramon Jose Trillo ATR803 Licensed Representative - Responsible Officer 4, 9

SHEK Hin Tak, Andrew AAW515 Licensed Representative - Responsible Officer 6

SHI Jinjing ADV731 Licensed Representative - Responsible Officer 4

SOFIANOS Daniel John ASO671 Licensed Representative - Responsible Officer 1, 4

SQUILLACIOTI Francesco Mario APL840 Licensed Representative - Responsible Officer 1

SU Wei-chia ALN246 Licensed Representative - Responsible Officer 1, 2, 4, 5, 9

SULLIVAN Andrew Michael AEV843 Licensed Representative - Responsible Officer 1, 4

TEH Min Yee AFW855 Licensed Representative - Responsible Officer 4, 9

THOMPSON William Newton AZQ624 Licensed Representative - Responsible Officer 1

TIAN Linyang ARR344 Licensed Representative - Responsible Officer 2

TRIVEDI Jaymin Jagdishchandra AUP363 Licensed Representative - Responsible Officer 9

UEDA Joseph BCN207 Licensed Representative - Responsible Officer 1

WANG Chen AXC439 Licensed Representative - Responsible Officer 4

WONG Kwok Wai BCU328 Licensed Representative - Responsible Officer 1, 4, 6

WONG Long Sau, Ivis ADA335 Licensed Representative - Responsible Officer 1

WONG Tin Ho AJI703 Licensed Representative - Responsible Officer 9

WONG Wai Yee AMN553 Licensed Representative - Responsible Officer 1

XIAO Yuan AZB291 Licensed Representative - Responsible Officer 1

YANAGISAWA Shiko BFH164 Licensed Representative - Responsible Officer 1, 2, 4, 6

YE Min BAR358 Licensed Representative - Responsible Officer 10

YIP Yat Wa AOS598 Licensed Representative - Responsible Officer 9

YIU Cheung Ka, Thomas ARD671 Licensed Representative - Responsible Officer 1, 4

YIU Chi Wah ACT308 Licensed Representative - Responsible Officer 1

YOH Hiroshi AJE792 Licensed Representative - Responsible Officer 1, 4

ADITYA BLF579 Licensed Representative (Provisional Licence) 4, 9

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

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

BAETZ Thomas Jacques Jean Philippe BLF191 Licensed Representative (Provisional Licence) 1, 6

BANG Keug Jae BLG379 Licensed Representative (Provisional Licence) 6

BAR Guillaume, Arnaud, Adrien BLF073 Licensed Representative (Provisional Licence) 1

BARNES Simon Andrew BKZ985 Licensed Representative (Provisional Licence) 1

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

BIANCHI Laetitia Laurence Marie BLF826 Licensed Representative (Provisional Licence) 1

BRENNAN Christopher Patrick BLE951 Licensed Representative (Provisional Licence) 1, 4

CABAL Bill Kristoffer BJS895 Licensed Representative (Provisional Licence) 1, 4, 6

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

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

CAO Chao BLE074 Licensed Representative (Provisional Licence) 1, 2

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

CAO Sihui BLE062 Licensed Representative (Provisional Licence) 1, 4, 6

Page 11 of 23

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

CAO Yimeng BKG809 Licensed Representative (Provisional Licence) 1, 2

CAO Yuting BLF629 Licensed Representative (Provisional Licence) 1, 4, 9

CHAINANI Harry Lal BLC840 Licensed Representative (Provisional Licence) 1, 4

CHAN Cheuk Wai BLJ862 Licensed Representative (Provisional Licence) 1

CHAN Chi Ho BKZ007 Licensed Representative (Provisional Licence) 10

CHAN Chun Lin, Johnny BFO992 Licensed Representative (Provisional Licence) 1

CHAN Ka Wai APP683 Licensed Representative (Provisional Licence) 1, 2

CHAN Ka Wai BLF061 Licensed Representative (Provisional Licence) 6

CHAN Kwok Hung BKW960 Licensed Representative (Provisional Licence) 1

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

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

CHAN Shu Chun BLG345 Licensed Representative (Provisional Licence) 1, 4

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

CHAN Ting Yan BLK726 Licensed Representative (Provisional Licence) 1, 2

CHAN Wing Ho BLI731 Licensed Representative (Provisional Licence) 1

CHAN Ying Kit BLC894 Licensed Representative (Provisional Licence) 1

CHANG Yui Cheong Richards BKX171 Licensed Representative (Provisional Licence) 6

CHAU Chun Yin BLF847 Licensed Representative (Provisional Licence) 1, 2

CHAU Wing Ho BLH244 Licensed Representative (Provisional Licence) 6

CHEN Biwei BKD538 Licensed Representative (Provisional Licence) 1

CHEN Cheng BLC897 Licensed Representative (Provisional Licence) 9

CHEN Emily BBN893 Licensed Representative (Provisional Licence) 1, 4, 9

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

CHEN Jianghui BLG365 Licensed Representative (Provisional Licence) 4

CHEN Ke BLI895 Licensed Representative (Provisional Licence) 10

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

CHEN Weiwei BKY635 Licensed Representative (Provisional Licence) 1

CHEN Xiaoyue BLH895 Licensed Representative (Provisional Licence) 1, 2, 4

CHEN Yidan BLG353 Licensed Representative (Provisional Licence) 1, 4

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

CHENG Hung Tat AUA676 Licensed Representative (Provisional Licence) 9

CHENG Jiyi BLI471 Licensed Representative (Provisional Licence) 1, 4

CHENG John Chee-Wai BLB528 Licensed Representative (Provisional Licence) 1, 4

CHENG LI BKY322 Licensed Representative (Provisional Licence) 10

CHENG Yiu Chung BLI138 Licensed Representative (Provisional Licence) 1, 2

CHENG Zi Heng BLI613 Licensed Representative (Provisional Licence) 9

CHEUNG Chun BLF137 Licensed Representative (Provisional Licence) 6

CHEUNG Chun Mei BLL105 Licensed Representative (Provisional Licence) 1, 2

CHEUNG Fuk Lung BLI002 Licensed Representative (Provisional Licence) 4

CHEUNG Lap Kuen, Preston BLI062 Licensed Representative (Provisional Licence) 1, 2, 4

CHEUNG Lap Wai BHS392 Licensed Representative (Provisional Licence) 1

CHEUNG Siu Fung AZC794 Licensed Representative (Provisional Licence) 1, 4, 6

CHEUNG Wai Ho BLI482 Licensed Representative (Provisional Licence) 1

Page 12 of 23

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

CHIEN Jui-Lin BLG339 Licensed Representative (Provisional Licence) 1, 4

CHIU Man Chi Vivi BLG161 Licensed Representative (Provisional Licence) 1, 6

CHIU Yuen Ying BAU743 Licensed Representative (Provisional Licence) 1, 4, 9

CHO Seok Won BLI866 Licensed Representative (Provisional Licence) 1

CHOE Jang Ho BLH460 Licensed Representative (Provisional Licence) 4, 9

CHOI Franky Ming Chit APY708 Licensed Representative (Provisional Licence) 1, 2

CHOI Yee Lam, Kenny BLH669 Licensed Representative (Provisional Licence) 1

CHOI Yiet Yu BLC072 Licensed Representative (Provisional Licence) 1, 2

CHOW Kam Ho BLC130 Licensed Representative (Provisional Licence) 1, 6

CHOW Long Ching BLF108 Licensed Representative (Provisional Licence) 4

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

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

CHUI Yat Wa BLD478 Licensed Representative (Provisional Licence) 1, 2

CHUNG Chieh-Hung BKL124 Licensed Representative (Provisional Licence) 1, 2, 9

CHUNG Wing BLA947 Licensed Representative (Provisional Licence) 1, 4, 9

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

CLODE Richard Stephen BLH883 Licensed Representative (Provisional Licence) 1, 4

CUI BOFENG BLF876 Licensed Representative (Provisional Licence) 1, 4

CUI Yuting BHV550 Licensed Representative (Provisional Licence) 9

DAWES Pinky BLC909 Licensed Representative (Provisional Licence) 1, 4

DAY Joseph William Philip BLG354 Licensed Representative (Provisional Licence) 1, 4, 9

DELAHODDE Thomas Geoffrey BLC702 Licensed Representative (Provisional Licence) 1, 2, 7

DHADDA Vaibhav BLA433 Licensed Representative (Provisional Licence) 1, 9

DING QI AWV316 Licensed Representative (Provisional Licence) 9

FANG Yuan BLI961 Licensed Representative (Provisional Licence) 1, 4, 6

FENG Shanchuan BLB687 Licensed Representative (Provisional Licence) 4

FOK Sze Ting ANG611 Licensed Representative (Provisional Licence) 1, 4, 9

FONG Chi Chuen, Ronnie BLF532 Licensed Representative (Provisional Licence) 1

FONG Wai Kit, Alvis BLF652 Licensed Representative (Provisional Licence) 1, 4

FONKENELL Guillaume Henri Andre AVJ702 Licensed Representative (Provisional Licence) 9

FREYE Henrik Sebastian BLH173 Licensed Representative (Provisional Licence) 9

FU Tianqi BKI877 Licensed Representative (Provisional Licence) 1, 4

FUNG Yu Keung BLB503 Licensed Representative (Provisional Licence) 1

GAO Qiao BLC830 Licensed Representative (Provisional Licence) 4, 9

GE Xiaoyan BLC471 Licensed Representative (Provisional Licence) 1

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

GONG Mengtan BLF870 Licensed Representative (Provisional Licence) 9

GONG Rui BLF289 Licensed Representative (Provisional Licence) 1, 4, 9

GONG Xiao BKA522 Licensed Representative (Provisional Licence) 1, 6

GU Lei BLF077 Licensed Representative (Provisional Licence) 1, 2

GUO Yanpei BLB500 Licensed Representative (Provisional Licence) 1, 6

GUO Yifei BLG133 Licensed Representative (Provisional Licence) 1, 4, 9

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

Page 13 of 23

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

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

GUSAK Victor Vladislav BKN511 Licensed Representative (Provisional Licence) 1, 2

HAN Xinhao BLF871 Licensed Representative (Provisional Licence) 1, 2

HANLEY Cathal Timothy BLD572 Licensed Representative (Provisional Licence) 1, 2, 7

HAO Lili BKR340 Licensed Representative (Provisional Licence) 1, 4, 9

HE Kai BLD346 Licensed Representative (Provisional Licence) 1, 4

HE Ningqian BLF666 Licensed Representative (Provisional Licence) 9

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

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

HO Perdo Wang Kei AVN057 Licensed Representative (Provisional Licence) 1

HO TACK WEI BKI538 Licensed Representative (Provisional Licence) 1, 6

HOU Min BLH840 Licensed Representative (Provisional Licence) 1, 4

HSIAO Tiffany Jihsheng AQC825 Licensed Representative (Provisional Licence) 1

HSU Hsiu Ping AYJ219 Licensed Representative (Provisional Licence) 9

HU Jiabin BKU255 Licensed Representative (Provisional Licence) 4, 9

HU Jiachen BKV101 Licensed Representative (Provisional Licence) 1

HUANG Mingmin AYR511 Licensed Representative (Provisional Licence) 1, 4, 6

HUANG Tiger BLF626 Licensed Representative (Provisional Licence) 1, 6

HUANG Yang BLA722 Licensed Representative (Provisional Licence) 4, 9

HUANG Yanqing ANG755 Licensed Representative (Provisional Licence) 4, 9

HUANG Yuzhi BLD480 Licensed Representative (Provisional Licence) 1, 2

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

HUI Wai Lung BLE911 Licensed Representative (Provisional Licence) 1, 2

HUNG Tsun Hay BGU300 Licensed Representative (Provisional Licence) 1, 4

INGVAR Andrea Mary Jeanette BLC460 Licensed Representative (Provisional Licence) 1

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

JASUJA Radhika AID481 Licensed Representative (Provisional Licence) 1, 4

JIANG Fang BKR675 Licensed Representative (Provisional Licence) 1, 2

JIANG Mingyu BLA801 Licensed Representative (Provisional Licence) 1, 6

JIANG Tong BKU847 Licensed Representative (Provisional Licence) 4

JIANG Yilin BLD329 Licensed Representative (Provisional Licence) 1, 2

JIN Jianren BLH272 Licensed Representative (Provisional Licence) 1, 4

JIN Jing BKY934 Licensed Representative (Provisional Licence) 1

KAN Chiu Man, Vivian AFR075 Licensed Representative (Provisional Licence) 1, 4

KAO Yu Lin BLE983 Licensed Representative (Provisional Licence) 1, 4, 9

KENNEDY Peter Joseph BLK164 Licensed Representative (Provisional Licence) 1

KHADERIA Nirmal Kumar BLD569 Licensed Representative (Provisional Licence) 1, 4, 6

KIM Junghun BLH422 Licensed Representative (Provisional Licence) 9

KITOV Alex Nikolaev BKY265 Licensed Representative (Provisional Licence) 1, 9

KIYOZUKA Megumi BLK150 Licensed Representative (Provisional Licence) 1

KONG PAK YONG ANDY BLI106 Licensed Representative (Provisional Licence) 1

KONG Yan BLI478 Licensed Representative (Provisional Licence) 1, 4, 9

KUNG Chin Pang ATB596 Licensed Representative (Provisional Licence) 1, 2

Page 14 of 23

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

KUNG Yiu Shing BLH249 Licensed Representative (Provisional Licence) 1

KUWAKI Shota BLK037 Licensed Representative (Provisional Licence) 1

KWAI Wai BDY940 Licensed Representative (Provisional Licence) 1

KWOK Kwai Ming Natalie BLD320 Licensed Representative (Provisional Licence) 1

KWONG Maggie Pauly BLB531 Licensed Representative (Provisional Licence) 1

LAI Chun Kit BLI494 Licensed Representative (Provisional Licence) 6

LAI Ophelia BLI863 Licensed Representative (Provisional Licence) 9

LAI Yik Man BLF867 Licensed Representative (Provisional Licence) 4, 9

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

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

LAM Ka Wing BLI061 Licensed Representative (Provisional Licence) 1, 4

LAM Shun Ka BJW925 Licensed Representative (Provisional Licence) 1

LAM Wan Yee, Cynthia AHV111 Licensed Representative (Provisional Licence) 1

LAU Cho Fung BLI767 Licensed Representative (Provisional Licence) 1

LAU Ming Yeung, Lambert AGP157 Licensed Representative (Provisional Licence) 1, 2

LAU Raymond AJK499 Licensed Representative (Provisional Licence) 9

LAU Yuen Shing AXZ950 Licensed Representative (Provisional Licence) 1, 4, 6

LAUNGANI Neel Vishnu ADQ008 Licensed Representative (Provisional Licence) 6

LAW Cho Kwan Derek BLI067 Licensed Representative (Provisional Licence) 6

LAW KA KIU VICTOR BLF268 Licensed Representative (Provisional Licence) 4, 9

LE MAGNAN Sandra Liu ANM095 Licensed Representative (Provisional Licence) 4

LEE Jiwon BLH266 Licensed Representative (Provisional Licence) 1, 2, 4, 5

LEE Ming Sum Mason BLI900 Licensed Representative (Provisional Licence) 1, 2, 4

LEE Shao-Tang BLA303 Licensed Representative (Provisional Licence) 4

LEE Yoke Ching BKS585 Licensed Representative (Provisional Licence) 1

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

LENG Xuan BKY229 Licensed Representative (Provisional Licence) 6

LEUNG Chun Hin BLC854 Licensed Representative (Provisional Licence) 1

LEUNG Ka Yiu BLE442 Licensed Representative (Provisional Licence) 1, 4, 9

LEUNG Siu Kwan BLI874 Licensed Representative (Provisional Licence) 1, 2, 7

LEUNG Siulun Gary BLE481 Licensed Representative (Provisional Licence) 1, 4, 9

LI Aiwei BLH896 Licensed Representative (Provisional Licence) 4

LI Bai BLA188 Licensed Representative (Provisional Licence) 4

LI Chuheng BLB153 Licensed Representative (Provisional Licence) 1

LI Cong BKV453 Licensed Representative (Provisional Licence) 1, 6

LI Hoi Ying Stefanie BLF088 Licensed Representative (Provisional Licence) 1, 6

LI Junhui BKT337 Licensed Representative (Provisional Licence) 1, 4, 9

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

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

LI Yihong BLG130 Licensed Representative (Provisional Licence) 1, 6

LI Yijun AMF468 Licensed Representative (Provisional Licence) 1, 4, 9

LIM Hock Leong Rapheal Ames BKW509 Licensed Representative (Provisional Licence) 2

LIN Chi-Jung BFA198 Licensed Representative (Provisional Licence) 1, 4

Page 15 of 23

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

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

LIU Chang BLF877 Licensed Representative (Provisional Licence) 1

LIU En-Ting BLI963 Licensed Representative (Provisional Licence) 1, 4, 9

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

LIU Han BJM089 Licensed Representative (Provisional Licence) 4, 9

LIU Jiaji BLC129 Licensed Representative (Provisional Licence) 4

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

LIU shihuijun BLH483 Licensed Representative (Provisional Licence) 1, 6

LIU Shiyan BLK641 Licensed Representative (Provisional Licence) 4

LIU Sifan BLI069 Licensed Representative (Provisional Licence) 1, 4

LIU Weiyi BLG350 Licensed Representative (Provisional Licence) 1, 4, 6

LIU Ye BKS183 Licensed Representative (Provisional Licence) 4

LIU You BLC125 Licensed Representative (Provisional Licence) 1

LIU Zhao BLI522 Licensed Representative (Provisional Licence) 9

LO Tsz Kit, Harry AGM850 Licensed Representative (Provisional Licence) 6

LO Yu Jie BLF222 Licensed Representative (Provisional Licence) 1, 4

LOGAN Anura BLE134 Licensed Representative (Provisional Licence) 1

LOHCHAB Varun BLE441 Licensed Representative (Provisional Licence) 4

LUI Ho Ting BLK723 Licensed Representative (Provisional Licence) 1

LUO Xuan AQS758 Licensed Representative (Provisional Licence) 1, 2

LUO Yue BLD589 Licensed Representative (Provisional Licence) 1, 4, 6

MA Danwei BLD382 Licensed Representative (Provisional Licence) 1, 4

MA Man Lok, Ivan BLE910 Licensed Representative (Provisional Licence) 1

MACLENNAN Dale Peter BKZ643 Licensed Representative (Provisional Licence) 1

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

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

MALIK Juhi BLJ228 Licensed Representative (Provisional Licence) 1, 4

MALLIK UPASANA BLC104 Licensed Representative (Provisional Licence) 4

MALOUF Michelle Maria BLH578 Licensed Representative (Provisional Licence) 1

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

MASHRU Namrata Sudhir BAF822 Licensed Representative (Provisional Licence) 1, 2

MASSON Benjamin Rene Remi BLD364 Licensed Representative (Provisional Licence) 1, 4

MATHUR Puneet BLE907 Licensed Representative (Provisional Licence) 2, 5

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

MCDONAGH Simon Joseph BLC034 Licensed Representative (Provisional Licence) 1

MENG Zhe BLG291 Licensed Representative (Provisional Licence) 1, 4, 6

MIN Peter Jae Sun BLJ520 Licensed Representative (Provisional Licence) 1

MIYAMOTO Go BIN850 Licensed Representative (Provisional Licence) 4

MOK Wing Ho BLH458 Licensed Representative (Provisional Licence) 1

MORINAGA Kumiko BLC343 Licensed Representative (Provisional Licence) 9

NEO Shu Jean BLH786 Licensed Representative (Provisional Licence) 1

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

NG Lai Fun BLE471 Licensed Representative (Provisional Licence) 1, 4

Page 16 of 23

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

NGAI Cho Lap BLF241 Licensed Representative (Provisional Licence) 1, 4

NING Yanyue BLG363 Licensed Representative (Provisional Licence) 1, 2, 4

NIU Huoqing BJT516 Licensed Representative (Provisional Licence) 4, 9

NIU Shihao BLI959 Licensed Representative (Provisional Licence) 1, 6

NUTTON James Michael BKD201 Licensed Representative (Provisional Licence) 1

ONG Charlie Yveline Jeanne BLG082 Licensed Representative (Provisional Licence) 1

ONG Payton Pei-de ARA392 Licensed Representative (Provisional Licence) 9

OR Yu Yeung BLI759 Licensed Representative (Provisional Licence) 1

PAI Anna Hsin Ping BLA849 Licensed Representative (Provisional Licence) 1, 4

PAN Hailin BHC186 Licensed Representative (Provisional Licence) 1, 4

PERFETTINI Alice Mary Mathilde BLF889 Licensed Representative (Provisional Licence) 1, 4

PERRIN Mark Richard BLF186 Licensed Representative (Provisional Licence) 4, 5, 9

POON Wing Suet BLC031 Licensed Representative (Provisional Licence) 1, 6

PUTHENVEEDU SAINUDEEN Anoop BLC767 Licensed Representative (Provisional Licence) 1

QIAO Yahong BKS805 Licensed Representative (Provisional Licence) 1, 4

RENARD Jean Noel, Charles BLD169 Licensed Representative (Provisional Licence) 1, 4

RIOU Clement Vincent Jean BLG084 Licensed Representative (Provisional Licence) 1, 4, 6

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

SANTOS MORO Clement Michel BLH886 Licensed Representative (Provisional Licence) 1, 2

SAWADA Shogo BII582 Licensed Representative (Provisional Licence) 1, 2

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

SEOW Chi Yip BJS157 Licensed Representative (Provisional Licence) 1, 4, 6

SHAH Ankit Dipak BKL203 Licensed Representative (Provisional Licence) 1, 9

SHAH Rajan Hemendra BLC790 Licensed Representative (Provisional Licence) 1, 4

SHEK Ho Kwong Herbert BLC365 Licensed Representative (Provisional Licence) 6

SHI Lei BLE460 Licensed Representative (Provisional Licence) 6

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

SHU Han BKY918 Licensed Representative (Provisional Licence) 1, 4, 9

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

SHU Yue BLI072 Licensed Representative (Provisional Licence) 1

SLOMAN Scott BKM190 Licensed Representative (Provisional Licence) 1, 2

SMITH BRENT BLC113 Licensed Representative (Provisional Licence) 1

SOERENSEN Morten BLC449 Licensed Representative (Provisional Licence) 1, 7

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

SUN Sheung Hei BLH246 Licensed Representative (Provisional Licence) 1, 2, 9

SUN Wen BLD500 Licensed Representative (Provisional Licence) 1, 4

TAI Ka Yan AQU175 Licensed Representative (Provisional Licence) 4, 9

TAN Keng Siong David BLC295 Licensed Representative (Provisional Licence) 1

TAN Yawei BLD974 Licensed Representative (Provisional Licence) 1, 2, 4, 5

TANG Shan BLH582 Licensed Representative (Provisional Licence) 4

TANG Xinpei BLN463 Licensed Representative (Provisional Licence) 4

TEO Pau Ying BLI958 Licensed Representative (Provisional Licence) 1, 4, 6

TEOH Chia Wen AMR406 Licensed Representative (Provisional Licence) 1, 6

Page 17 of 23

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

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

TING NICHOLAS BLD323 Licensed Representative (Provisional Licence) 4

TOH Kah Yong, Jeremy BDW971 Licensed Representative (Provisional Licence) 1, 4, 6

TONG Cheuk Fu Jeffery BLD317 Licensed Representative (Provisional Licence) 1, 4, 9

TONG KIN YIP BLH252 Licensed Representative (Provisional Licence) 4, 9

TONG Kit Ling, Michelle ACB541 Licensed Representative (Provisional Licence) 1

TRABAUD Eva BLH215 Licensed Representative (Provisional Licence) 1

TSANG Hon Chiu BBD724 Licensed Representative (Provisional Licence) 10

TSANG Kwok Wai, Gordon BLI479 Licensed Representative (Provisional Licence) 1

TSE Lai Wai AIZ709 Licensed Representative (Provisional Licence) 1, 4, 9

TSUI Chuk BLB678 Licensed Representative (Provisional Licence) 1

TSUI Luen On AIB800 Licensed Representative (Provisional Licence) 1

UCHIYAMA Hirotaka BLJ537 Licensed Representative (Provisional Licence) 1

VALLY Loic Patrick Frederic BLI480 Licensed Representative (Provisional Licence) 1

VUILLEMIN Pierre Michel Cesar BLF081 Licensed Representative (Provisional Licence) 1, 2

WAI Man Shan, Ada ADB779 Licensed Representative (Provisional Licence) 1, 4, 9

WAN Kwok Chu BLE912 Licensed Representative (Provisional Licence) 1, 4

WANG Hui BJI914 Licensed Representative (Provisional Licence) 1, 4

WANG Jing BLB402 Licensed Representative (Provisional Licence) 1, 4, 6

WANG Kan BKQ411 Licensed Representative (Provisional Licence) 1, 4

WANG Kenneth Chuan AHU775 Licensed Representative (Provisional Licence) 9

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

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

WANG Pei BLJ395 Licensed Representative (Provisional Licence) 1, 2

WANG Shihong BLK735 Licensed Representative (Provisional Licence) 1, 4

WANG SONG BLE051 Licensed Representative (Provisional Licence) 1, 4

WANG Will Way BLH658 Licensed Representative (Provisional Licence) 1, 4

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

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

WANG Youyu BLC448 Licensed Representative (Provisional Licence) 1, 4, 6

WANG Yuen Sum Ada BLF644 Licensed Representative (Provisional Licence) 1, 2

WANG Yuzhe BLB507 Licensed Representative (Provisional Licence) 4

WEI YIJING BLC321 Licensed Representative (Provisional Licence) 4

WEN Quan BKS173 Licensed Representative (Provisional Licence) 4, 9

WONG Chin Wai Raymond BLE917 Licensed Representative (Provisional Licence) 1

WONG Choi Chak AKT433 Licensed Representative (Provisional Licence) 1

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

WONG Ka Ho BLF594 Licensed Representative (Provisional Licence) 1

WONG Kai Yuen, Clement BLF209 Licensed Representative (Provisional Licence) 6

WONG Kwok Kei BLG362 Licensed Representative (Provisional Licence) 1, 4

WONG Kwok Keung BLA451 Licensed Representative (Provisional Licence) 1

WONG Lai Kan BLG344 Licensed Representative (Provisional Licence) 1, 4

WONG Lai Sum BCN837 Licensed Representative (Provisional Licence) 9

Page 18 of 23

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

WONG Ming Li BLB632 Licensed Representative (Provisional Licence) 4, 9

WONG Po Ching AUD880 Licensed Representative (Provisional Licence) 1

WONG Sui Ching BLI455 Licensed Representative (Provisional Licence) 1, 4

WONG Sz Wun BLH222 Licensed Representative (Provisional Licence) 1

WONG Yiu Ming, Simon BJC392 Licensed Representative (Provisional Licence) 1, 6

WOODCOCK Charles Maxwell Howieson AYD171 Licensed Representative (Provisional Licence) 9

WU Hua-Chang BLI964 Licensed Representative (Provisional Licence) 1, 4, 9

WU Jingjing BKU663 Licensed Representative (Provisional Licence) 1, 4, 6

WU Liangying BLI001 Licensed Representative (Provisional Licence) 2, 5

WU Sidao BLI073 Licensed Representative (Provisional Licence) 1

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

WU Wai Ho BLH213 Licensed Representative (Provisional Licence) 1, 2

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

WU Yawen BLD319 Licensed Representative (Provisional Licence) 1, 6

WU Yuesi BLD922 Licensed Representative (Provisional Licence) 1, 2

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

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

XIE Jian BGU456 Licensed Representative (Provisional Licence) 1, 2, 4, 6, 9

XIE Ting BLF221 Licensed Representative (Provisional Licence) 2

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

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

XU Qing BLI950 Licensed Representative (Provisional Licence) 1, 6

XU Wan Wan BLC901 Licensed Representative (Provisional Licence) 1, 4

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

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

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

XUE Jiao BJP974 Licensed Representative (Provisional Licence) 4

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

YANG Jeonghoon BLJ187 Licensed Representative (Provisional Licence) 4

YAO Yuanchao BKF432 Licensed Representative (Provisional Licence) 1, 4

YAU Chun Hei BLF190 Licensed Representative (Provisional Licence) 1, 4, 9

YEUNG Ka Man BLC368 Licensed Representative (Provisional Licence) 1

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

YIN PEI BLC078 Licensed Representative (Provisional Licence) 1, 4

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

YOU Wensi BLD314 Licensed Representative (Provisional Licence) 1, 7

YU Boyang BLE425 Licensed Representative (Provisional Licence) 1, 4, 6

YU Qian BLB398 Licensed Representative (Provisional Licence) 4

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

YUE Zhihao BGG949 Licensed Representative (Provisional Licence) 1, 6

YUEN Mau Sang BLG348 Licensed Representative (Provisional Licence) 1

YUNG Chi Hong AFQ374 Licensed Representative (Provisional Licence) 1

YUNG Ming Hong BLH229 Licensed Representative (Provisional Licence) 1

Page 19 of 23

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

ZHANG HANG BKY342 Licensed Representative (Provisional Licence) 10

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

ZHANG Honghong BKF469 Licensed Representative (Provisional Licence) 1, 6

ZHANG Linlin BLD576 Licensed Representative (Provisional Licence) 1

ZHANG Ruiming BLG388 Licensed Representative (Provisional Licence) 6

ZHANG Shengsu AZI961 Licensed Representative (Provisional Licence) 4, 9

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

ZHANG Tong BLG089 Licensed Representative (Provisional Licence) 1, 2

ZHANG Yanni BLE444 Licensed Representative (Provisional Licence) 1, 4, 9

ZHANG Yi BLH577 Licensed Representative (Provisional Licence) 6

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

ZHAO Junao BLF624 Licensed Representative (Provisional Licence) 1, 4, 6

ZHAO Ruiwen BLD341 Licensed Representative (Provisional Licence) 1

ZHENG Emily Jiashin BLG385 Licensed Representative (Provisional Licence) 6

ZHENG Kai BLI960 Licensed Representative (Provisional Licence) 1, 4, 6

ZHENG TIANYI BLE950 Licensed Representative (Provisional Licence) 1, 7

ZHENG Yuanyuan BLB635 Licensed Representative (Provisional Licence) 1, 2

ZHONG Liang BCK493 Licensed Representative (Provisional Licence) 10

ZHONG Ying BLB650 Licensed Representative (Provisional Licence) 1, 2

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

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

ZHOU Yirun BLE930 Licensed Representative (Provisional Licence) 9

ZHU Jiayi BLC455 Licensed Representative (Provisional Licence) 1, 2, 3

ZHU Yuan BIT556 Licensed Representative (Provisional Licence) 9

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

ANAND Vivek BLL186 Licensed Representative (Temporary Licence) 5

AZUMI Rina BKP917 Licensed Representative (Temporary Licence) 1, 2

BABA Taichi BAZ165 Licensed Representative (Temporary Licence) 1, 2

BACALHAU CEPEDA MORENO Vasco AUI287 Licensed Representative (Temporary Licence) 1, 4

BAINBRIDGE James William BAV890 Licensed Representative (Temporary Licence) 1, 4

BAKER Shaun Christopher BLL069 Licensed Representative (Temporary Licence) 1, 2

BECKEL David James BLH773 Licensed Representative (Temporary Licence) 4

BEDOUET Jerome Frederic Francois BIN300 Licensed Representative (Temporary Licence) 1, 2

BROWNE Erin F BHB894 Licensed Representative (Temporary Licence) 1, 4

BRUN Steven BFG531 Licensed Representative (Temporary Licence) 1

CARPENTER Seth Bernard BLO850 Licensed Representative (Temporary Licence) 4

CELERMAJER Jacob Michael BLL179 Licensed Representative (Temporary Licence) 1

CHADHA Dushyant BIE137 Licensed Representative (Temporary Licence) 1

CHANDREN Edi BIX619 Licensed Representative (Temporary Licence) 4

CHANG Sei Yoon BFI932 Licensed Representative (Temporary Licence) 1

CHARTRES Pierre BLI962 Licensed Representative (Temporary Licence) 1

CHEN Timothy C K BEC091 Licensed Representative (Temporary Licence) 4

CHOPRA Sameer BAU420 Licensed Representative (Temporary Licence) 1, 4

Page 20 of 23

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

CHUNG Jeehyun BEX928 Licensed Representative (Temporary Licence) 1

CLAPPIER Alexis, Remy, Marie, Laurent BLL477 Licensed Representative (Temporary Licence) 1, 2

CORK Jenna Louise AVS375 Licensed Representative (Temporary Licence) 1

CROOM Nicholas Andrew BLI475 Licensed Representative (Temporary Licence) 1, 2

DADABHOY Jamshed Rustom BFK188 Licensed Representative (Temporary Licence) 4

DARMONO Permadawani BJH031 Licensed Representative (Temporary Licence) 4

DE BLONAY Guy Charles Desmond BBF372 Licensed Representative (Temporary Licence) 1

DE KONING Henrik Arie BJK856 Licensed Representative (Temporary Licence) 1

DELAHAYE Thibaut Vincent Pierre ACR439 Licensed Representative (Temporary Licence) 1

DENNIS Geoffrey Edwin James BGM299 Licensed Representative (Temporary Licence) 4

DODDS Philip Marcus BGJ122 Licensed Representative (Temporary Licence) 1

DUCOMBLE Franky BIN462 Licensed Representative (Temporary Licence) 1, 2

DUGGINS Christopher Leonard BLG086 Licensed Representative (Temporary Licence) 1, 2

DUTTON Charles Keith Hawkins AEM367 Licensed Representative (Temporary Licence) 4

EARY Richard James AEK574 Licensed Representative (Temporary Licence) 4

EGUCHI Hiroyasu BBL849 Licensed Representative (Temporary Licence) 1, 4

EL BARHDADI Lotfi BLJ230 Licensed Representative (Temporary Licence) 10

EPSTEIN Ronald Jay BDJ465 Licensed Representative (Temporary Licence) 1, 4

FANG Chenjun BJQ180 Licensed Representative (Temporary Licence) 4

FEHM GEB. POMMER Uta BLN649 Licensed Representative (Temporary Licence) 1, 4

FENG Kaiyun BKO099 Licensed Representative (Temporary Licence) 1

FIGUEIREDO FERREIRA Fernando BIM042 Licensed Representative (Temporary Licence) 1, 4

FOGARTY Brendan John BLL811 Licensed Representative (Temporary Licence) 1, 2

FORD Alexander William BIN326 Licensed Representative (Temporary Licence) 1, 2

FOSTER Derek Patrick Jack ARU732 Licensed Representative (Temporary Licence) 1, 2

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

GOLDSMITH Michael William BLM862 Licensed Representative (Temporary Licence) 4

GOYAL Surendra Kumar BEO301 Licensed Representative (Temporary Licence) 4

GRETCH Eric D BLH894 Licensed Representative (Temporary Licence) 10

HAMBRO Evy Piers George AOR313 Licensed Representative (Temporary Licence) 1, 4

HAN Jennifer Koun AMY266 Licensed Representative (Temporary Licence) 4

HARNED Douglas Stuart AWE188 Licensed Representative (Temporary Licence) 4

HAY Sarah Elizabeth BGW857 Licensed Representative (Temporary Licence) 1

HEELAN Benjamin Michael BIN836 Licensed Representative (Temporary Licence) 1, 4

HENDRIKSE Harald Christiaan BEV944 Licensed Representative (Temporary Licence) 1, 4

HERMAN Neal Thomson AVO978 Licensed Representative (Temporary Licence) 4

HOPE Rupert Dickie BHM098 Licensed Representative (Temporary Licence) 1, 4

HOWARD-JOHNSON Mark BCA030 Licensed Representative (Temporary Licence) 1, 4

HUTCHINSON Lorraine Corinne BGL062 Licensed Representative (Temporary Licence) 1, 4

IENO Eiji Alex AXB793 Licensed Representative (Temporary Licence) 1, 2

JADROSICH Rafe Jason BLG300 Licensed Representative (Temporary Licence) 1, 4

JAIN Vijit BLH859 Licensed Representative (Temporary Licence) 4

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

Page 21 of 23

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

JAVED Madiha BHL188 Licensed Representative (Temporary Licence) 1, 4

JONAS Adam Michael BGR023 Licensed Representative (Temporary Licence) 1, 4

KARIA Shamil BLJ719 Licensed Representative (Temporary Licence) 1

KAYNES David Charles BDA619 Licensed Representative (Temporary Licence) 4

KHANDROS Vladislav BEW991 Licensed Representative (Temporary Licence) 1

KIM Minkyu BEO107 Licensed Representative (Temporary Licence) 1

KRAMM Nils Alexander BDX207 Licensed Representative (Temporary Licence) 4

KUSHMA Michael Bernard BAJ311 Licensed Representative (Temporary Licence) 1

KWEK Kevin Siew Beng AZN097 Licensed Representative (Temporary Licence) 4

KYRTSIS Alexander BES318 Licensed Representative (Temporary Licence) 1

LAM Kwok Chung Ivan BLL048 Licensed Representative (Temporary Licence) 1, 2

LECKIE Roy McGregor BLD300 Licensed Representative (Temporary Licence) 1, 4

LEE Katryna Anne BFA316 Licensed Representative (Temporary Licence) 1

LEE Tien Soon BJT065 Licensed Representative (Temporary Licence) 1, 4

LIANI Tal Yehi BEL903 Licensed Representative (Temporary Licence) 1, 4

LIE Vivi Handoyo BEN583 Licensed Representative (Temporary Licence) 4

LIM Johan Yoeng Unn BBS389 Licensed Representative (Temporary Licence) 1

LIN Fang-Chu BEV959 Licensed Representative (Temporary Licence) 1

LIN Ming-De BEC282 Licensed Representative (Temporary Licence) 1, 4

LJUBENOV Igor BLM019 Licensed Representative (Temporary Licence) 1, 2

MA Beijia BID097 Licensed Representative (Temporary Licence) 1, 4

MAAOUNI Walid BLL493 Licensed Representative (Temporary Licence) 1, 2

MAZOY SANCHEZ Jose Manuel BIN599 Licensed Representative (Temporary Licence) 1

MEIER Andreas Peter BLI878 Licensed Representative (Temporary Licence) 1

MIKKELSEN Hans Ole Aerendahl BDJ464 Licensed Representative (Temporary Licence) 1, 4

MILBERG Vanitha BLJ186 Licensed Representative (Temporary Licence) 1, 4

MINAGAWA Ryozo BFA665 Licensed Representative (Temporary Licence) 4

MUKHIJA Tanuj BJA905 Licensed Representative (Temporary Licence) 1, 4

MULLER-WIDMER Michael Horst BLN919 Licensed Representative (Temporary Licence) 1, 4

MURPHY Kevin Francis BLI618 Licensed Representative (Temporary Licence) 1, 4

NAPIER Jason Clive BIN751 Licensed Representative (Temporary Licence) 4

NAYLOR-LEYLAND Edward Frederick BLG378 Licensed Representative (Temporary Licence) 1

NEVATIA SUMANGAL RAJESH BLK492 Licensed Representative (Temporary Licence) 4

NG Ruixian, Daniel BDO351 Licensed Representative (Temporary Licence) 1, 4

NISHIMURA Seiji BLJ206 Licensed Representative (Temporary Licence) 1

NOGUCHI Mayumi BAL380 Licensed Representative (Temporary Licence) 1

OBIN Andrew Burris BDI734 Licensed Representative (Temporary Licence) 1, 4

OH James BLL823 Licensed Representative (Temporary Licence) 1

O'HARA Timothy Patrick BLJ146 Licensed Representative (Temporary Licence) 1, 4

OHMES Robert Frederick BGK749 Licensed Representative (Temporary Licence) 1, 4

ORTELLI Mario Zaccaria Carlo BBJ794 Licensed Representative (Temporary Licence) 4

POLOVY Charles Michel Guillaume Edouard BHO026 Licensed Representative (Temporary Licence) 1, 2

RAY Sambuddha BLJ721 Licensed Representative (Temporary Licence) 4

Page 22 of 23

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017

CE Name CE No. Licence Type Types of Regulated Activity

REDEKER Hans Gunter Wilhelm BFF385 Licensed Representative (Temporary Licence) 1, 4, 5

REEMER Jeffrey Ross BIR381 Licensed Representative (Temporary Licence) 1, 4

RIESNER Michael Lothar Kurt AWK175 Licensed Representative (Temporary Licence) 1

ROONEY Monique Elizabeth BGE212 Licensed Representative (Temporary Licence) 1, 4

SAKAMOTO Gosuke BBQ740 Licensed Representative (Temporary Licence) 1

SALES Michael James BEZ878 Licensed Representative (Temporary Licence) 1

SANDERSE Menno Gerard Cornelis AUX424 Licensed Representative (Temporary Licence) 1, 4

SAUNDERS Philip Gordon Strode ADB492 Licensed Representative (Temporary Licence) 4

SINGER David Antony AWS936 Licensed Representative (Temporary Licence) 1

SIRIPASSORN Kritapas BDQ319 Licensed Representative (Temporary Licence) 4

SONNELAND Joshua Paul BBR119 Licensed Representative (Temporary Licence) 4

SPARTALIS Sophie Despina BIM602 Licensed Representative (Temporary Licence) 1, 4

SPROULES Brendan Allan BGO985 Licensed Representative (Temporary Licence) 4

STEAD David Andrew AQT298 Licensed Representative (Temporary Licence) 1, 2

SUMMERFIELD David Angus AEP603 Licensed Representative (Temporary Licence) 1

TAN Jia Qi Chloe BLJ693 Licensed Representative (Temporary Licence) 1, 4

TANG Serena Wing Yin BHK683 Licensed Representative (Temporary Licence) 1, 4, 5

TECHAWATANAWANA Atthaka BLK087 Licensed Representative (Temporary Licence) 1, 2

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

TEO Su Wen Cheryl BJS028 Licensed Representative (Temporary Licence) 1, 4

UNAL Gokhan BHG359 Licensed Representative (Temporary Licence) 1

VINE Michael James BHW670 Licensed Representative (Temporary Licence) 10

WANG Peng Yu BKO879 Licensed Representative (Temporary Licence) 1, 4

WATANABE Ritsuo BAZ846 Licensed Representative (Temporary Licence) 1, 4

WEYNS Guy Joseph M. BLM858 Licensed Representative (Temporary Licence) 4

WILLIAMS Craig Anthony BDU133 Licensed Representative (Temporary Licence) 4

WILLS Darren Edward BLH178 Licensed Representative (Temporary Licence) 1, 4

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

WONG Ferry Wijaya ARB231 Licensed Representative (Temporary Licence) 4

WOOLFORD Craig John BFD306 Licensed Representative (Temporary Licence) 4

XIE Jiaoyue BHU354 Licensed Representative (Temporary Licence) 1, 4

ZHA Wenyi BJP471 Licensed Representative (Temporary Licence) 1

ZHONG Hui BIR274 Licensed Representative (Temporary Licence) 4

Page 23 of 23