additions of licensed persons/registered institutions ... · dong yu blx951 licensed representative...

21
ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2018 CE Name CE No. Licence Type Types of Regulated Activity A-JEX International Asset Management Limited BLC898 Licensed Corporation 4, 9 Apex Wealth Management Company Limited BLB047 Licensed Corporation 4, 9 Aspen Capital Management (HK) Limited BLH620 Licensed Corporation 9 CFS Capital Limited BIM912 Licensed Corporation 9 Circle Investment Management (HK) Limited BJP613 Licensed Corporation 4, 9 Differ Financial and Securities Limited BKZ085 Licensed Corporation 1 Euto Asset Management Limited BHP636 Licensed Corporation 9 Excelerate Fund Management Limited BJP857 Licensed Corporation 9 Golden Points Capital Management Limited BIU610 Licensed Corporation 4, 9 Hong Kong Bridge Capital Partners Limited BLK734 Licensed Corporation 1, 6 Mouette Securities Company Limited BLE877 Licensed Corporation 1, 4 Naga Advisors (HK) Limited BKG871 Licensed Corporation 1 Red Rock Global Capital Limited BKV973 Licensed Corporation 4, 9 Shanggu Securities Limited BLG356 Licensed Corporation 1, 4, 6 Titan Asset Management Limited BHM231 Licensed Corporation 4, 9 Zhong Yang Capital Limited BLG119 Licensed Corporation 4, 5, 9 AIYAPPAN Ashwin BLZ384 Licensed Representative 1, 2 ASAEDA HIDEYA BLV794 Licensed Representative 4 ASHFORD-SMITH Daphne Karen BMA239 Licensed Representative 1, 4 BACH Alexis BMF496 Licensed Representative 1 BANSAL Jagdeep Singh AYC876 Licensed Representative 4, 9 BARRY Ahmed Wilhelm BME265 Licensed Representative 1, 2 BERTHET Pierre Maurice Paul BMA816 Licensed Representative 1, 2 BLAIR James Malcolm AKT388 Licensed Representative 1 BRADY Mark Joseph ARQ480 Licensed Representative 1, 9 CAI Jinglei BLW760 Licensed Representative 4, 9 CHAN Chi Ho BMB260 Licensed Representative 9 CHAN Chi Wai BLY761 Licensed Representative 1 CHAN Chun Hei BMA511 Licensed Representative 4 CHAN Chun Kit BMC174 Licensed Representative 10 CHAN Ka Ho BLY764 Licensed Representative 1, 4 CHAN Kin Ho BLZ744 Licensed Representative 1 CHAN Kwan Shing BLV204 Licensed Representative 4, 9 CHAN Pui Yu BMD854 Licensed Representative 4 CHAN Sui Yee, Frances ACH287 Licensed Representative 1, 2 CHAN Tak Sum BLZ737 Licensed Representative 1 CHANG Chih Hsuan BLY946 Licensed Representative 4 CHANG Tien Yin BMA437 Licensed Representative 1 CHAU Hiu Yan BAI419 Licensed Representative 1 CHAU Sunny Fan Yuen BMG043 Licensed Representative 1 CHEGUILLAUME Juliette Charlotte Marie H BMA112 Licensed Representative 1, 2, 4, 5 CHEN Bo BLZ418 Licensed Representative 1, 2 Page 1 of 21

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Page 1: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS ... · DONG Yu BLX951 Licensed Representative 1, 6 DUAN Jingxian BLO863 Licensed Representative 4 DUAN Yanlei BKW772 Licensed

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2018

CE Name CE No. Licence Type Types of Regulated Activity

A-JEX International Asset Management Limited BLC898 Licensed Corporation 4, 9

Apex Wealth Management Company Limited BLB047 Licensed Corporation 4, 9

Aspen Capital Management (HK) Limited BLH620 Licensed Corporation 9

CFS Capital Limited BIM912 Licensed Corporation 9

Circle Investment Management (HK) Limited BJP613 Licensed Corporation 4, 9

Differ Financial and Securities Limited BKZ085 Licensed Corporation 1

Euto Asset Management Limited BHP636 Licensed Corporation 9

Excelerate Fund Management Limited BJP857 Licensed Corporation 9

Golden Points Capital Management Limited BIU610 Licensed Corporation 4, 9

Hong Kong Bridge Capital Partners Limited BLK734 Licensed Corporation 1, 6

Mouette Securities Company Limited BLE877 Licensed Corporation 1, 4

Naga Advisors (HK) Limited BKG871 Licensed Corporation 1

Red Rock Global Capital Limited BKV973 Licensed Corporation 4, 9

Shanggu Securities Limited BLG356 Licensed Corporation 1, 4, 6

Titan Asset Management Limited BHM231 Licensed Corporation 4, 9

Zhong Yang Capital Limited BLG119 Licensed Corporation 4, 5, 9

AIYAPPAN Ashwin BLZ384 Licensed Representative 1, 2

ASAEDA HIDEYA BLV794 Licensed Representative 4

ASHFORD-SMITH Daphne Karen BMA239 Licensed Representative 1, 4

BACH Alexis BMF496 Licensed Representative 1

BANSAL Jagdeep Singh AYC876 Licensed Representative 4, 9

BARRY Ahmed Wilhelm BME265 Licensed Representative 1, 2

BERTHET Pierre Maurice Paul BMA816 Licensed Representative 1, 2

BLAIR James Malcolm AKT388 Licensed Representative 1

BRADY Mark Joseph ARQ480 Licensed Representative 1, 9

CAI Jinglei BLW760 Licensed Representative 4, 9

CHAN Chi Ho BMB260 Licensed Representative 9

CHAN Chi Wai BLY761 Licensed Representative 1

CHAN Chun Hei BMA511 Licensed Representative 4

CHAN Chun Kit BMC174 Licensed Representative 10

CHAN Ka Ho BLY764 Licensed Representative 1, 4

CHAN Kin Ho BLZ744 Licensed Representative 1

CHAN Kwan Shing BLV204 Licensed Representative 4, 9

CHAN Pui Yu BMD854 Licensed Representative 4

CHAN Sui Yee, Frances ACH287 Licensed Representative 1, 2

CHAN Tak Sum BLZ737 Licensed Representative 1

CHANG Chih Hsuan BLY946 Licensed Representative 4

CHANG Tien Yin BMA437 Licensed Representative 1

CHAU Hiu Yan BAI419 Licensed Representative 1

CHAU Sunny Fan Yuen BMG043 Licensed Representative 1

CHEGUILLAUME Juliette Charlotte Marie H BMA112 Licensed Representative 1, 2, 4, 5

CHEN Bo BLZ418 Licensed Representative 1, 2

Page 1 of 21

Page 2: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS ... · DONG Yu BLX951 Licensed Representative 1, 6 DUAN Jingxian BLO863 Licensed Representative 4 DUAN Yanlei BKW772 Licensed

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2018

CE Name CE No. Licence Type Types of Regulated Activity

CHEN Chia Ling BJV926 Licensed Representative 1

CHEN Donghui BDM846 Licensed Representative 1, 6

CHEN Hu BMA461 Licensed Representative 1, 2

CHEN Hui BMA148 Licensed Representative 1, 4, 9

CHEN Junyi BLC884 Licensed Representative 10

CHEN Kai Yun AMJ189 Licensed Representative 1, 4, 6

CHEN Liang BLY021 Licensed Representative 1, 2, 4

CHEN Tingting BLK154 Licensed Representative 4

CHEN Tong BLY494 Licensed Representative 1, 6

CHEN Tunan BLP054 Licensed Representative 6

CHEN Wentao BMC509 Licensed Representative 4

CHEN Xing BLX185 Licensed Representative 1, 4, 9

Chen Yingzhen BAU220 Licensed Representative 1

CHEN Yuxi BHC860 Licensed Representative 1, 6

CHEN Zhu BME232 Licensed Representative 4

CHEN Zi Mu ALA254 Licensed Representative 1, 4, 9

CHENG Tai Wai, David ARO960 Licensed Representative 1, 4, 6

CHENG TING CHIU BJC900 Licensed Representative 1, 4

CHEUNG Cheuk Fung BIE626 Licensed Representative 1, 4, 9

CHEUNG Cheuk Wing Christie BMA947 Licensed Representative 10

CHEUNG CHIN HO BMA917 Licensed Representative 1, 4, 9

CHEUNG Ching Fai, Daniel ANC002 Licensed Representative 1, 2, 4, 5

CHEUNG Kai Ho BLY773 Licensed Representative 1, 2, 4

CHEUNG Man Kuk BME211 Licensed Representative 1, 4, 9

CHEUNG Shui Fai BMC585 Licensed Representative 9

CHEUNG Sze Tung BMC519 Licensed Representative 1

CHEUNG Tsz Ho BHV587 Licensed Representative 1

CHEUNG Wai Ting BMA520 Licensed Representative 1

CHIN Chun Ho BMA531 Licensed Representative 1

CHO Hing Fung BLX809 Licensed Representative 1

CHO Jong Hwan BLZ386 Licensed Representative 2

CHOI Ko Wai BME262 Licensed Representative 1, 6

CHOI Vanessa Wai Lam BLZ377 Licensed Representative 9

CHOW Chui In BLW080 Licensed Representative 1, 2

CHOW Ho Tak, Philip BFN521 Licensed Representative 1, 4, 9

CHOW KA KI BLY472 Licensed Representative 1

CHOW LAM LAM JANE BMA935 Licensed Representative 1, 4

CHU Wai Yin BLT897 Licensed Representative 1

CHUNG Wen Xuan Vincent BMD867 Licensed Representative 1, 6

CORREA FRAGA DE FREITAS Claudio Luis BLZ760 Licensed Representative 1, 4, 9

DA COSTA MONTEIRO Paulo Jorge BLA832 Licensed Representative 1, 2

DE BRUIN Edgar Joannes BMB564 Licensed Representative 1, 2

Page 2 of 21

Page 3: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS ... · DONG Yu BLX951 Licensed Representative 1, 6 DUAN Jingxian BLO863 Licensed Representative 4 DUAN Yanlei BKW772 Licensed

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2018

CE Name CE No. Licence Type Types of Regulated Activity

DENG Jiatian BLS747 Licensed Representative 1, 4

DENG Naitian BMB571 Licensed Representative 4

DENG Yunjing BKZ530 Licensed Representative 1

DING Li BMB551 Licensed Representative 1, 2

DING Zhisuo BLJ424 Licensed Representative 1, 4

DONG Yu BLX951 Licensed Representative 1, 6

DUAN Jingxian BLO863 Licensed Representative 4

DUAN Yanlei BKW772 Licensed Representative 9

EL AYOUBI EL IDRISSI Ahmed BLX546 Licensed Representative 1, 2

ESLER Charlotte Virginia BLU754 Licensed Representative 1, 4

FENG Yahui BAA252 Licensed Representative 1, 2

FERREIRA DE AVILA Guilherme BLV955 Licensed Representative 1, 4, 9

FRASER Bradley James BHZ827 Licensed Representative 2

FU Fangxin BLZ052 Licensed Representative 4

FU Lo Cheong Wendy BME731 Licensed Representative 1

FU Lun Kuen BMB627 Licensed Representative 1, 2

FUJII Ken ABM992 Licensed Representative 9

FUNG Gracia Yan Chi ACA300 Licensed Representative 1, 4, 9

FUNG Paak Khui APZ423 Licensed Representative 4, 9

FUNG Wun Ming BKK300 Licensed Representative 1

GAO Jinxuan BMB987 Licensed Representative 4, 9

GAREAUX Romain BCC523 Licensed Representative 1, 2

GASANGDUOJIE BLY484 Licensed Representative 6

GISBOURNE Ian Mark ACS236 Licensed Representative 4

GOH Junyi BMA435 Licensed Representative 6

GONG Ming BLV678 Licensed Representative 4, 9

GRUEN Stewart Paul BMD848 Licensed Representative 4

GU Jiawen BLQ526 Licensed Representative 1, 6

GU Mengjie BLO442 Licensed Representative 1, 6

GUO Xiangyun BLL341 Licensed Representative 10

HALL Taylor Amanda BMC935 Licensed Representative 4, 5, 9

HAN Sangjoon BLZ749 Licensed Representative 1, 4

HE WEI AVW085 Licensed Representative 1

HE Xiaoyan BLO690 Licensed Representative 6

HEUNG Chun Kit AUY929 Licensed Representative 1, 4

HO Kevin Kin-hung ATM434 Licensed Representative 1, 4, 9

HO Kwun Yin Wayne BME625 Licensed Representative 6

HO Man ACT360 Licensed Representative 4, 9

HO Pui Ki BLT181 Licensed Representative 1, 4, 9

HO Shek Ming BMD905 Licensed Representative 1, 4, 6

HO Yat Hei BCK251 Licensed Representative 1, 4

HODGSON Jonathan Roy ADB785 Licensed Representative 1, 2

Page 3 of 21

Page 4: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS ... · DONG Yu BLX951 Licensed Representative 1, 6 DUAN Jingxian BLO863 Licensed Representative 4 DUAN Yanlei BKW772 Licensed

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2018

CE Name CE No. Licence Type Types of Regulated Activity

HON HOI KWONG BLY462 Licensed Representative 9

HONG Albert ADI057 Licensed Representative 1

HU CHAO BLZ388 Licensed Representative 9

HU Juewei BLM907 Licensed Representative 1, 4

HU Yangzhao BMB622 Licensed Representative 4

HUANG Anthony BLY755 Licensed Representative 4, 9

HUANG Chun Ting BLZ054 Licensed Representative 9

HUANG Kanglin BGL116 Licensed Representative 1, 2

HUI Yan Hoo Eric BMB524 Licensed Representative 1, 6

HUO Ran AOI875 Licensed Representative 9

IENO Eiji Alex AXB793 Licensed Representative 1, 2

IP Chin Chung BAK884 Licensed Representative 2

JI Jun BLX770 Licensed Representative 1

JIANG Wen BLU082 Licensed Representative 1, 4

JIE Yile BME569 Licensed Representative 1

JOHNSON Geddes Roswell BMB538 Licensed Representative 1, 6

JONES Viktoria Charlotte BMF159 Licensed Representative 1, 4, 9

JOUANIN Jean-frederic Paul Stephane BLV469 Licensed Representative 1, 2, 7

KAM Chun Lai BMC230 Licensed Representative 1, 4

KARTHA Harish Ramachandran BFG315 Licensed Representative 4, 9

KIANG HO TIN BLX826 Licensed Representative 1, 9

KIM Dongcheol BMA794 Licensed Representative 1, 4, 9

KIM Young Rin BLZ368 Licensed Representative 4

KOBA Hiroshi BLX816 Licensed Representative 1

KOIKE Yukihiro BAT249 Licensed Representative 4

KONG Xiangyu BLX688 Licensed Representative 4, 9

KU Ka Shun BMB546 Licensed Representative 9

KUMAR Amit BME712 Licensed Representative 1, 2, 7

KWOK Ka Chun BMA877 Licensed Representative 1

KWOK Kelvin AHT200 Licensed Representative 9

LAI Kuen Cheong BCL745 Licensed Representative 1, 4, 9

LAI Seng Long BLZ829 Licensed Representative 1, 4, 6

LAI Sin Ying BAL021 Licensed Representative 1, 4

LAI Tsung-Yu BLL631 Licensed Representative 1

LAI Wing Yi, Adda AQX410 Licensed Representative 1

LAM Lai Yung Sara BMC016 Licensed Representative 1, 4, 9

LAM Ngar Lee, Ally BLX536 Licensed Representative 1

LAM Pak Hi BMB248 Licensed Representative 9

LAM Sui Lan BMD845 Licensed Representative 1

LAM Yeuk For BLT675 Licensed Representative 1

LAU CHUN KIT BLN150 Licensed Representative 1

LAU Sin Ming BLX420 Licensed Representative 1, 6

Page 4 of 21

Page 5: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS ... · DONG Yu BLX951 Licensed Representative 1, 6 DUAN Jingxian BLO863 Licensed Representative 4 DUAN Yanlei BKW772 Licensed

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2018

CE Name CE No. Licence Type Types of Regulated Activity

LAU Yin Lun BME248 Licensed Representative 4

LAW Kai Tak BLV846 Licensed Representative 1

LEE Hin Fung BMD874 Licensed Representative 1

LEE Ho Pan BKJ169 Licensed Representative 1, 2

LEE Ji Heon BMA113 Licensed Representative 1, 4

LEE Kin Lok BLY488 Licensed Representative 1, 2, 4, 5

LEE Ming-min AUE713 Licensed Representative 1

LEE Tak Shing BLW937 Licensed Representative 1

LEE Yik Long ARG942 Licensed Representative 1, 2, 4

LEU Shuk Ling Ann BCY941 Licensed Representative 1

LEUNG Enrica Mankay APY817 Licensed Representative 1, 7

LEUNG Fung Ying BMC057 Licensed Representative 1, 2

LEUNG Ho Tsin BLY770 Licensed Representative 1, 6

LEUNG hon man BMC232 Licensed Representative 2

LEUNG Ka Ying BMB325 Licensed Representative 1, 4

LEUNG Tze Wai BLW763 Licensed Representative 2

LEUNG Wing Hei BMB612 Licensed Representative 2

LEUNG Yee Lung BHA087 Licensed Representative 1

LEUNG Yiu Lun AFV160 Licensed Representative 1, 4, 9

LEVIN Ross Douglas BLZ728 Licensed Representative 1

LI Chi Wai BLV223 Licensed Representative 1

LI Ho Tak BLX945 Licensed Representative 1

LI Long BFE781 Licensed Representative 4, 9

LI Lu BME183 Licensed Representative 1, 4

LI Ming BET762 Licensed Representative 9

LI Pik Na AOE454 Licensed Representative 4

LI Qiuhui BLY966 Licensed Representative 1, 4, 9

LI Sisi ARN059 Licensed Representative 1, 2, 9

LI Xiangyu BLR906 Licensed Representative 1

LI YANAN BLY502 Licensed Representative 9

LI Yannan BMC218 Licensed Representative 2, 5

LI Yixia BGB573 Licensed Representative 9

LI Zhun AQM198 Licensed Representative 4, 9

LIAN Pengfei BLM867 Licensed Representative 1

LIAN ZHE BMC489 Licensed Representative 1, 4

LIANG Dongqing BLL298 Licensed Representative 1, 2

LIANG Xun BLT156 Licensed Representative 1, 2

LIANG Zhi Peng BMA554 Licensed Representative 6

LIAO Zhike BLZ441 Licensed Representative 1, 2

LILLIBRIDGE Robert Maarten BLY721 Licensed Representative 1, 4, 9

LIM You Jie BJJ423 Licensed Representative 1, 2, 7

LIN Nana BLW079 Licensed Representative 1

Page 5 of 21

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2018

CE Name CE No. Licence Type Types of Regulated Activity

LIN Shan BLY362 Licensed Representative 9

LIN Shuli BEG056 Licensed Representative 1, 4, 9

LIN WenLin BLO803 Licensed Representative 1

LIN Xiaoruo Nick BLU067 Licensed Representative 1, 6

LIN Xinxin BLT350 Licensed Representative 1, 6

LIU Chang BMD839 Licensed Representative 4

LIU Chin Ting, Billy AZE659 Licensed Representative 1, 6

LIU Fangfei BMC910 Licensed Representative 1

LIU Hanghang BLY367 Licensed Representative 1

LIU Mengning BMC635 Licensed Representative 1, 2, 4

LIU Mengxin BLU672 Licensed Representative 1, 4, 6

LIU Peinan BLQ400 Licensed Representative 10

LIU Qiao BLO687 Licensed Representative 4

LIU Renxuan BMA124 Licensed Representative 1, 2

LIU Rongxia BME724 Licensed Representative 1, 4, 9

LIU Shuanglong BLM093 Licensed Representative 1, 6

LIU shuhan BMA959 Licensed Representative 1, 2

LIU Sitong BMA553 Licensed Representative 4

LIU TENG BLZ823 Licensed Representative 1, 2

LIU Yingxin BLV191 Licensed Representative 1

LIU YUAN BMA939 Licensed Representative 1, 4

LO Tsz Leung, Felix BMA549 Licensed Representative 1

LU Ping BLY772 Licensed Representative 1, 4

LUI Michael Hou Ming AZB648 Licensed Representative 1

LUI Yat Yin ATT820 Licensed Representative 1, 2

LUK Pan Lung BMB210 Licensed Representative 6

LUO Aimei BLT164 Licensed Representative 6

LUO Kaiheng BLN135 Licensed Representative 1, 6

LUO Xiong BLW784 Licensed Representative 1

MA Sirui BMC573 Licensed Representative 1, 4, 6

MA Yan Ying AZD329 Licensed Representative 4, 9

MANGAL Nitij BLY756 Licensed Representative 4

MAO Xiaoliang APQ231 Licensed Representative 1, 4, 9

MARTIN Joseph John AJE474 Licensed Representative 1

MC EVOY Andrew BMF537 Licensed Representative 2, 5

MCCOSKER Daniel Owen AVH590 Licensed Representative 9

MEGLIO Adrien Sebastien BLT538 Licensed Representative 9

MENG Chen BMB955 Licensed Representative 1, 2

MESNARD-SENSE Jean-Francois, Rene, Philippe, Marie BME253 Licensed Representative 1, 4

MIAO Yiqiao BLZ394 Licensed Representative 1, 2, 4

MOK Ka Fai BMC622 Licensed Representative 1

NARAYAN Naresh BLW958 Licensed Representative 1, 2, 4

Page 6 of 21

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2018

CE Name CE No. Licence Type Types of Regulated Activity

NARAYAN Santhosh BMA503 Licensed Representative 9

NG Chen Xuan BLU938 Licensed Representative 1, 6

NG Choo Sian BLZ751 Licensed Representative 1, 6

NG Mei Yee BLU471 Licensed Representative 6

NGUYEN Thomas BMA222 Licensed Representative 1

NGUYEN Victor BMB575 Licensed Representative 1, 2

NI Ruiyang BMB609 Licensed Representative 2

NI Xiaodong BJW524 Licensed Representative 9

OKUBO Takao BBK700 Licensed Representative 1, 4, 6

OON Wei Hong BLU698 Licensed Representative 1, 2

PAN Chun BLZ799 Licensed Representative 1, 4

PAN Jiazhou BLX081 Licensed Representative 4

PAN Xiao BLR938 Licensed Representative 10

PANG Wai Ying AKX102 Licensed Representative 1, 4

PATEL Rajin BMB578 Licensed Representative 1, 2

PENG Weifeng AYJ720 Licensed Representative 9

PENG Yu BME534 Licensed Representative 1

PENG Zhiyao BMB307 Licensed Representative 1, 4, 6

POON Chung Yeung BGW429 Licensed Representative 1

POON Ronald Lok Hang BLW074 Licensed Representative 6

QI Shanshan BMG536 Licensed Representative 1

QIAN Chenhan BMD830 Licensed Representative 1, 4, 6

QIAN Jing BMG907 Licensed Representative 6

QIU Shihui BMC619 Licensed Representative 1

REN Zhen BMC885 Licensed Representative 1, 4, 9

SHA Xiaoting BLZ407 Licensed Representative 9

SHAH Sagar Jayesh BBS742 Licensed Representative 1

SHANGGUAN Peng BLU747 Licensed Representative 1, 4, 9

SHARMA Arunabh Anand Vardhan BLY335 Licensed Representative 9

SHAW Nicholas Patrick BLY361 Licensed Representative 1, 4

SHEK Wan Sang Andy BAG221 Licensed Representative 1, 2, 4

SHEN Tingting BLZ746 Licensed Representative 1, 2, 3

SHEN Yuan BMC484 Licensed Representative 1, 2

SHI Hanbei BMC485 Licensed Representative 1, 2

SHIOHARA Kunihiko BLX817 Licensed Representative 1

SHISHIKURA Takehiko BLY530 Licensed Representative 4

SINGH Kieran Jeet BMB522 Licensed Representative 1, 2

SINGH Puneet BCG408 Licensed Representative 1, 4

SIU Kai Yun BIB329 Licensed Representative 9

SIU Lin BLT508 Licensed Representative 1, 2

SIU Siu Ham, Jeffrey BGG199 Licensed Representative 4, 9

SIU Yik Ling Jennifer BMA940 Licensed Representative 9

Page 7 of 21

Page 8: ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS ... · DONG Yu BLX951 Licensed Representative 1, 6 DUAN Jingxian BLO863 Licensed Representative 4 DUAN Yanlei BKW772 Licensed

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2018

CE Name CE No. Licence Type Types of Regulated Activity

SMITH Guy William AJO483 Licensed Representative 1, 4, 6

SO Kwok Kwan BMF167 Licensed Representative 1, 2, 4

SONG Qi BMC486 Licensed Representative 4, 9

SU Ying BLU654 Licensed Representative 1, 2

SUEN Ting Fong Boris BIS100 Licensed Representative 1

SUI Xin BMG557 Licensed Representative 4

SUI Zhenhuan BLX563 Licensed Representative 1, 7

SUM Hoi Ling BLX079 Licensed Representative 1

SUN Gaoxiang BMF142 Licensed Representative 1, 4

SUN Ruiying BMD549 Licensed Representative 9

SUN Tianshu BLX804 Licensed Representative 1

SUN Xi BLL307 Licensed Representative 1, 6

TAI Kevin BEL952 Licensed Representative 4, 9

TAM King Yip, Stephen AQM646 Licensed Representative 1, 4

TAN Boon Hua Douglas BLY263 Licensed Representative 1, 4, 9

TAN Mabelyn BLV158 Licensed Representative 1, 2

TAN Yi Ming BLZ387 Licensed Representative 1, 2

TAN Yifan BLT958 Licensed Representative 9

TANAKA Hideaki BLX818 Licensed Representative 1

TANG Hing Pang, Donmany AEX291 Licensed Representative 1, 4, 9

TANG Jiheng BLZ432 Licensed Representative 1, 4, 6

TANG Nan BLY757 Licensed Representative 1, 4, 6

TANG Sisi BLN457 Licensed Representative 4

TANG Su See AFU064 Licensed Representative 1

TANG Yu Ching BHA071 Licensed Representative 1

TAY SHARON LIN LI BMA248 Licensed Representative 1, 4

TEOH Chin Wei ARP541 Licensed Representative 1, 4

TIOJAYA Wirawan BLY722 Licensed Representative 1, 4

TOERNKVIST Tomas Gunnar BMB185 Licensed Representative 4, 5, 9

TONG KA KIT BLW915 Licensed Representative 1

TSANG Yuen Ching BMD850 Licensed Representative 1

TSE Leong Fai BLW938 Licensed Representative 1, 2

TSUI Chun Hin BDM849 Licensed Representative 1, 2

TSUI Shek Hung BGK704 Licensed Representative 1

TSUI Yeuk Ting, Maggie AVV093 Licensed Representative 1, 4

UEDA Kitaru BLY466 Licensed Representative 4

VERSFELD Martin Metcalfe BLD610 Licensed Representative 1, 2

WAN Chun Man ATY752 Licensed Representative 1, 2

WAN Hiu Tung BLU946 Licensed Representative 6

WAN Yiu Fai BLZ364 Licensed Representative 1

WANG Fangzhao BLT543 Licensed Representative 4

WANG Feili AIR147 Licensed Representative 4

Page 8 of 21

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2018

CE Name CE No. Licence Type Types of Regulated Activity

WANG Jin AVY040 Licensed Representative 4

WANG Jing BLW782 Licensed Representative 1

WANG Ting BLT890 Licensed Representative 4

WANG Wenjia BMA142 Licensed Representative 1, 4, 9

WANG Xiaolong BLV789 Licensed Representative 1, 2

WANG Yiyi BLZ434 Licensed Representative 4

WANG Yun-Yin BLZ061 Licensed Representative 4

WANG Zheng BLO994 Licensed Representative 9

WANG Zhonghe ADI605 Licensed Representative 1, 4, 6

WATANABE Jun BMC605 Licensed Representative 1

WATANABE Takuma BLX207 Licensed Representative 9

WEI Xiang BMB952 Licensed Representative 1, 4

WEI Xin BLK382 Licensed Representative 6

WEN Dafu BMC503 Licensed Representative 1, 4, 6

WEN Hao BLV715 Licensed Representative 4

WENG Jiani BLV407 Licensed Representative 1, 4

WILKINS Trent Stephen BMB937 Licensed Representative 1, 6

WONG Cheuk Ping BMA504 Licensed Representative 9

WONG De Rui BLZ494 Licensed Representative 9

WONG Man Hin BKI722 Licensed Representative 1

WONG Ngai Cheung BME661 Licensed Representative 1, 4, 6

WONG On Nga Ada BMA505 Licensed Representative 1, 4

WONG Stanley Car-Lai AXM488 Licensed Representative 1

WONG Vivien ARR811 Licensed Representative 4, 9

WONG Wa Fung BMA205 Licensed Representative 1

WONG Wai Shan AGO751 Licensed Representative 1, 2

WONG Wai Yan AWY281 Licensed Representative 9

WONG Wan Vanness BLU269 Licensed Representative 1

WONG Yanling, Jesalyn BMF019 Licensed Representative 4

WONG Yee Man APX203 Licensed Representative 9

WONG Yuen Yan BBX597 Licensed Representative 1, 4, 9

WU Man Ki, Maggie BLY771 Licensed Representative 1, 6

WU Man Yu BIX431 Licensed Representative 1, 4

WU Xuexiao BLV472 Licensed Representative 1

WU Youping BMC025 Licensed Representative 1, 2, 4

XIAO Yuan AZB291 Licensed Representative 1, 2, 4

XIE Yun BLR526 Licensed Representative 1, 4

XIE Yunqi BLY481 Licensed Representative 1, 4

XING Ziyan BLY552 Licensed Representative 1, 4, 6

XU CHEN BLY571 Licensed Representative 10

XU Gang ARB164 Licensed Representative 1

XU Han BLG129 Licensed Representative 4, 9

Page 9 of 21

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2018

CE Name CE No. Licence Type Types of Regulated Activity

XU Lei BLX417 Licensed Representative 1, 2

XU Ruimin ALZ591 Licensed Representative 1, 4, 9

XU Wanlu AXX543 Licensed Representative 1

XU Xiao BID813 Licensed Representative 1, 4

XUE Rui BLX378 Licensed Representative 1, 6

YAFFE Alexander David BLX553 Licensed Representative 1, 2

YAMANAKA Satoko BLY531 Licensed Representative 4

YAN Chongzhou BLN679 Licensed Representative 9

YAN Chunzi BLP806 Licensed Representative 6

YAN Peide BIC436 Licensed Representative 9

YAN Wujiuyi BLZ741 Licensed Representative 1, 4, 9

YAN XUE BMA928 Licensed Representative 1, 4, 9

YANG Lixing BLR529 Licensed Representative 1, 4, 9

YANG Wai Ming, Joanna AMF717 Licensed Representative 4, 9

YANG Xiaotong BMC628 Licensed Representative 1, 4

YANG Xin BLP894 Licensed Representative 1, 2

YANG Yuying BMB332 Licensed Representative 10

YANG Zhen BKY631 Licensed Representative 4

YAO Jingwan BLW968 Licensed Representative 10

YAU Ka Lun, Alan AEJ178 Licensed Representative 1

YEH Hong-I AOE625 Licensed Representative 1

YEO William Shi-Zhi BLY956 Licensed Representative 6

YEONG Yee Lam BMB326 Licensed Representative 1, 4

YEUNG Chun Kit BLZ012 Licensed Representative 3

YEUNG Xin BLT497 Licensed Representative 1, 9

YIM Kin Wah, Raymond BLX402 Licensed Representative 1, 4

YIN Shi APC594 Licensed Representative 6

YIP Yuen Ching Shirley BLV197 Licensed Representative 4, 9

YOO Keon Ho BMB635 Licensed Representative 1, 2

YOON Hae Sol BLZ747 Licensed Representative 1, 4

YU Jintong BLZ710 Licensed Representative 4

YU Wai Tak BLV461 Licensed Representative 1, 4

YUAN Nelson Chien AKY987 Licensed Representative 1, 4, 9

YUAN Yingjie BLV897 Licensed Representative 1, 6

YUEN Hu Tone, Leslie AUJ677 Licensed Representative 1, 4, 6

YUEN Wing Tung BLX127 Licensed Representative 3

YUNG Huen Ling BMA136 Licensed Representative 1

ZENG Kevin Z W BMB543 Licensed Representative 6

ZHANG Heyin BLZ385 Licensed Representative 10

ZHANG Liuying BLP358 Licensed Representative 9

ZHANG Lulu BMA547 Licensed Representative 1

ZHANG Ting AZI913 Licensed Representative 9

Page 10 of 21

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2018

CE Name CE No. Licence Type Types of Regulated Activity

ZHANG Ting BDM717 Licensed Representative 1, 4, 9

ZHANG Yizhou BLZ750 Licensed Representative 1, 6

ZHANG Yuanjie BGC446 Licensed Representative 1, 4, 6

ZHANG Zimu BLV862 Licensed Representative 1, 6

ZHAO Bowen BMF161 Licensed Representative 1, 4, 6

ZHAO Chun BLR261 Licensed Representative 4

ZHAO He BLN655 Licensed Representative 1, 4, 6

ZHAO Siqi BEH967 Licensed Representative 6

ZHAO Zongming BLZ818 Licensed Representative 1, 2

ZHOU Haoyun BLM077 Licensed Representative 1, 6

ZHOU Jason Xiaoyu BJK785 Licensed Representative 1, 4, 9

ZHOU Junxin BLX781 Licensed Representative 1, 4

ZHOU Weiwei BLR542 Licensed Representative 1, 2

ZHOU Wenjie BLW072 Licensed Representative 6

ZHOU Yang BMB556 Licensed Representative 4, 9

ZHOU Yuan BLI876 Licensed Representative 1, 4

ZHU Xiaochen BMA483 Licensed Representative 1, 4

ZHUANG Jie BKV931 Licensed Representative 1, 6

ZIZI Adil BLY478 Licensed Representative 1, 2, 4

ZOU Longwen BLN436 Licensed Representative 1, 6

AN Liyan AHS161 Licensed Representative - Responsible Officer 1, 2, 4, 6, 9

BLADES Michael Alan BKC217 Licensed Representative - Responsible Officer 1, 4, 6

BUCAILLE Emmanuel Marie Bruno Marcel BLR527 Licensed Representative - Responsible Officer 1, 4, 9

CHAN Ka Hung ATL821 Licensed Representative - Responsible Officer 1, 2

CHAU Choi Lam ARJ516 Licensed Representative - Responsible Officer 4, 6

CHEN Ko-Hsin BJP656 Licensed Representative - Responsible Officer 4, 9

CHEN Liang BJP658 Licensed Representative - Responsible Officer 4, 9

CHENG Dickson AGP527 Licensed Representative - Responsible Officer 1, 4, 6

CHENG I-teng ALF767 Licensed Representative - Responsible Officer 4, 9

CHOI Sheung Hang AUP568 Licensed Representative - Responsible Officer 4, 9

CHUAH Keng Hin AYG549 Licensed Representative - Responsible Officer 4, 9

FAN Siu Hong BEA176 Licensed Representative - Responsible Officer 2, 5

FERLAND Pierre ARQ522 Licensed Representative - Responsible Officer 1, 2, 4, 6

FU Yiu Hang AGH815 Licensed Representative - Responsible Officer 4, 9

GE Wanli BLE512 Licensed Representative - Responsible Officer 4, 9

GROSHENS Alain Robert BCC310 Licensed Representative - Responsible Officer 9

HA Po Kwan ALB254 Licensed Representative - Responsible Officer 4, 9

HA Wai Cheung, Steve ARQ021 Licensed Representative - Responsible Officer 1

HAN Hui AUH480 Licensed Representative - Responsible Officer 1, 2, 4, 5

HO Shuk Gee, Esther AIC021 Licensed Representative - Responsible Officer 6

HSU Jason Chung-Shiang BJL050 Licensed Representative - Responsible Officer 4, 9

HUA Fengmao AFJ365 Licensed Representative - Responsible Officer 9

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2018

CE Name CE No. Licence Type Types of Regulated Activity

HUANG Zhijian BJM093 Licensed Representative - Responsible Officer 1, 4

JAMES Todd Howard AVX425 Licensed Representative - Responsible Officer 1

JIN Xiaobin BLE514 Licensed Representative - Responsible Officer 9

LAI Tsung-Yu BLL631 Licensed Representative - Responsible Officer 4, 9

LALONDE Timothy Gilbert BJY918 Licensed Representative - Responsible Officer 1, 6

LEE Kin Chung Simon AAF803 Licensed Representative - Responsible Officer 4, 9

LELAND Todd Wilson BLR545 Licensed Representative - Responsible Officer 1, 4, 6

LEUNG Wai Nam AGH932 Licensed Representative - Responsible Officer 1, 4, 6

LI Fan BEZ924 Licensed Representative - Responsible Officer 1, 6

LI Ming Kwok ADS635 Licensed Representative - Responsible Officer 1

LI Shu Ip BAI233 Licensed Representative - Responsible Officer 4, 5, 9

LO Wai Ho ABP401 Licensed Representative - Responsible Officer 1, 4

LOU Junlong AZS992 Licensed Representative - Responsible Officer 4, 9

MA Wai Kwok, Alvin AEC588 Licensed Representative - Responsible Officer 4, 9

MEI Song BLE515 Licensed Representative - Responsible Officer 4

NG Pan BKB930 Licensed Representative - Responsible Officer 4, 9

PACE Linda Marie BLY900 Licensed Representative - Responsible Officer 9

PALMA Michael BLL845 Licensed Representative - Responsible Officer 1, 4

SAMUELSON Mark Ivan BCL496 Licensed Representative - Responsible Officer 1, 4, 9

SLONE Jonathan David AAI585 Licensed Representative - Responsible Officer 1

SONG Yu ANU527 Licensed Representative - Responsible Officer 9

STINIS Wouter ARS519 Licensed Representative - Responsible Officer 1, 2

SUN Lei AJD048 Licensed Representative - Responsible Officer 1, 4

TAM Chi Choi BKC149 Licensed Representative - Responsible Officer 1, 6

TENG Chia-Wen BDM861 Licensed Representative - Responsible Officer 4, 9

THE LORD FARMER Michael Stahel BLE979 Licensed Representative - Responsible Officer 9

THOMPSON Tristan James AQY007 Licensed Representative - Responsible Officer 1, 2

TSE Sze Ming ALR679 Licensed Representative - Responsible Officer 4

TSUCHIDA Mariko BKE006 Licensed Representative - Responsible Officer 9

VENGAYIL Rakesh ARO454 Licensed Representative - Responsible Officer 1, 4, 9

WILLIAMSON Richard Scot BJV865 Licensed Representative - Responsible Officer 4, 9

WONG Wai Hong ANG976 Licensed Representative - Responsible Officer 1

WU Huai-En BDM852 Licensed Representative - Responsible Officer 4, 9

WU Xianhua BLE513 Licensed Representative - Responsible Officer 4, 9

YING Jianjia BII932 Licensed Representative - Responsible Officer 9

ZHANG Feng AVE823 Licensed Representative - Responsible Officer 1, 6

AU YEUNG Kwun Yin BMI354 Licensed Representative (Provisional Licence) 1

BELLVER GRANDA Luis BMB520 Licensed Representative (Provisional Licence) 1, 2

BHANDARI Raghav BMK922 Licensed Representative (Provisional Licence) 1

BLADES Michael Alan BKC217 Licensed Representative (Provisional Licence) 1, 4, 6

BROADBENT Neil Eric BMI332 Licensed Representative (Provisional Licence) 1

CAI Shixin BMH732 Licensed Representative (Provisional Licence) 1, 2, 7

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2018

CE Name CE No. Licence Type Types of Regulated Activity

CAMPBELL Lachlan Gordon ADU213 Licensed Representative (Provisional Licence) 1, 4, 9

CAUCHY-DUBOIS Kevin Paul Emile BMH473 Licensed Representative (Provisional Licence) 9

CHAKER Sebastien Alexandre BMB278 Licensed Representative (Provisional Licence) 1, 4

CHAN Che Kan ABO128 Licensed Representative (Provisional Licence) 1, 2, 4, 5

CHAN Ching Man, Mandy AMF100 Licensed Representative (Provisional Licence) 1, 4

CHAN Cho Leung AFC450 Licensed Representative (Provisional Licence) 1

CHAN Chun Chiu BMK654 Licensed Representative (Provisional Licence) 1, 4, 6

CHAN Fong Leung BLZ047 Licensed Representative (Provisional Licence) 1

CHAN Haylock, Callum BMF391 Licensed Representative (Provisional Licence) 1

CHAN Hin Fung BMJ412 Licensed Representative (Provisional Licence) 1, 9

CHAN Kin Cheung BMG075 Licensed Representative (Provisional Licence) 1, 4

CHAN King Yeung BCF239 Licensed Representative (Provisional Licence) 1

CHAN Kwan Pak BMK888 Licensed Representative (Provisional Licence) 1, 6

CHAN Lok Ming BMJ399 Licensed Representative (Provisional Licence) 1

CHAN Man Fong Rachel AQA622 Licensed Representative (Provisional Licence) 1, 4

CHAN Mou Sun BMG150 Licensed Representative (Provisional Licence) 1

CHAN Siu Chun BMK909 Licensed Representative (Provisional Licence) 5

CHANG HSIAO HAN BMF393 Licensed Representative (Provisional Licence) 1, 4

CHAO Xueer BMI596 Licensed Representative (Provisional Licence) 1

CHAU Chin Wang BMG151 Licensed Representative (Provisional Licence) 1

CHAU Chun Yiu BMI357 Licensed Representative (Provisional Licence) 1

CHAU Nai Ho, Marco BMJ762 Licensed Representative (Provisional Licence) 2

CHEN Bomin AJZ335 Licensed Representative (Provisional Licence) 1, 2

CHEN Chaoqin BMH488 Licensed Representative (Provisional Licence) 1, 4, 6

CHEN Cheng BMG077 Licensed Representative (Provisional Licence) 1, 6

CHEN Chia Ling BJV926 Licensed Representative (Provisional Licence) 1

CHEN Dan BME967 Licensed Representative (Provisional Licence) 1, 4

CHEN Mei Ju BMC881 Licensed Representative (Provisional Licence) 1

CHEN Mengxi BMH475 Licensed Representative (Provisional Licence) 4

CHEN Mingxiao BMJ700 Licensed Representative (Provisional Licence) 1, 6

CHEN Pin Han BMI120 Licensed Representative (Provisional Licence) 1

CHEN Tong BMK890 Licensed Representative (Provisional Licence) 1

CHEN Tsou Wei AOA957 Licensed Representative (Provisional Licence) 1, 4

CHEN Tunan BLP054 Licensed Representative (Provisional Licence) 6

CHEN Xinran BMK650 Licensed Representative (Provisional Licence) 1

CHEN Yeung, Michelle BMG526 Licensed Representative (Provisional Licence) 1

CHEN Yi BMK649 Licensed Representative (Provisional Licence) 1, 4, 9

CHEN Ying BMG518 Licensed Representative (Provisional Licence) 1, 2

CHEN Yu BLW740 Licensed Representative (Provisional Licence) 4

CHENG Nicholas Tat Hei BAA429 Licensed Representative (Provisional Licence) 6

CHENG Sui Ting BMI093 Licensed Representative (Provisional Licence) 1

CHEUNG King Hing BMH293 Licensed Representative (Provisional Licence) 1, 4

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2018

CE Name CE No. Licence Type Types of Regulated Activity

CHEUNG Man Kuk BME211 Licensed Representative (Provisional Licence) 1, 4, 9

CHEUNG Yik Hang BMF145 Licensed Representative (Provisional Licence) 6

CHIK Wing Yin BMG553 Licensed Representative (Provisional Licence) 1

CHOI Wang Ngai BMI595 Licensed Representative (Provisional Licence) 1, 4, 6

CHOI Wing Yi BEN508 Licensed Representative (Provisional Licence) 1, 4

CHONG Ka Man BMI099 Licensed Representative (Provisional Licence) 1, 2, 4

CHOU Tsz Mei BAM430 Licensed Representative (Provisional Licence) 4, 9

CHOW Siu Lun, Ronald BFT562 Licensed Representative (Provisional Licence) 1, 6

CHU Cheuk Fung BMG556 Licensed Representative (Provisional Licence) 4, 9

CHU Ching Mo BMF147 Licensed Representative (Provisional Licence) 1, 2

DENG Jie BMG560 Licensed Representative (Provisional Licence) 1, 4, 9

DO Kevin BMF389 Licensed Representative (Provisional Licence) 1

DONG An Qi BMK447 Licensed Representative (Provisional Licence) 1, 4, 6

DONG Shitong BMF169 Licensed Representative (Provisional Licence) 1, 6

DU Yixing BMG090 Licensed Representative (Provisional Licence) 1, 6

FAN Zijun BMJ408 Licensed Representative (Provisional Licence) 9

FANG Wei BMG204 Licensed Representative (Provisional Licence) 4

FERLAND Pierre ARQ522 Licensed Representative (Provisional Licence) 1, 2, 4, 6

FUNG Hong Yiu BMI521 Licensed Representative (Provisional Licence) 1, 2

GAN Meilan BME698 Licensed Representative (Provisional Licence) 9

GONG Ao BMH278 Licensed Representative (Provisional Licence) 1, 6

GRAHAM Michael James Nicholas BMI557 Licensed Representative (Provisional Licence) 1, 2

GUO Rui BMK635 Licensed Representative (Provisional Licence) 1

GUO Xin BMH283 Licensed Representative (Provisional Licence) 1, 6

HAO Can BMK876 Licensed Representative (Provisional Licence) 1, 2

HE Juying ASZ591 Licensed Representative (Provisional Licence) 4

HE Wei BMK634 Licensed Representative (Provisional Licence) 1

HERCOT Guillaume Raphael Maximilien BMH781 Licensed Representative (Provisional Licence) 1, 2

HO Chi Ming AAZ600 Licensed Representative (Provisional Licence) 1

HO Chin Fei BMI346 Licensed Representative (Provisional Licence) 1, 4, 6

HO Ho Yin BMK024 Licensed Representative (Provisional Licence) 1, 4

HO Kun Lin BGC212 Licensed Representative (Provisional Licence) 6

HO Kwok Wing BME583 Licensed Representative (Provisional Licence) 1, 2

HO Kwun Yin Wayne BME625 Licensed Representative (Provisional Licence) 6

HO Man ACT360 Licensed Representative (Provisional Licence) 4, 9

HO Pik Kwan Kenny BMI597 Licensed Representative (Provisional Licence) 1

HO Sing Wai Kurtise BMH373 Licensed Representative (Provisional Licence) 1, 2

HSIN Sze Wai AJJ600 Licensed Representative (Provisional Licence) 1, 4

HU Jialu BME754 Licensed Representative (Provisional Licence) 4

HU Jing BDJ941 Licensed Representative (Provisional Licence) 1, 2

HU Ming BLE484 Licensed Representative (Provisional Licence) 1, 2, 4, 6

HU Xiangquan BMG564 Licensed Representative (Provisional Licence) 1, 6

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2018

CE Name CE No. Licence Type Types of Regulated Activity

HUANG Jiahong BMG084 Licensed Representative (Provisional Licence) 1, 4

HUANG Yue BMG581 Licensed Representative (Provisional Licence) 1, 4, 6

HUI Hei Wo BMC977 Licensed Representative (Provisional Licence) 1, 4, 9

HUI Ka Fai BMD891 Licensed Representative (Provisional Licence) 1, 2, 4, 5

HUNG Chin Ho BMG522 Licensed Representative (Provisional Licence) 1, 2

HUTCHINS Robert Anthony Harold BMH854 Licensed Representative (Provisional Licence) 1, 2

JIANG Wanning BMH757 Licensed Representative (Provisional Licence) 9

JIANG Wei AWS208 Licensed Representative (Provisional Licence) 4

JIANG Wenzheng BMA281 Licensed Representative (Provisional Licence) 4, 9

JONES Viktoria Charlotte BMF159 Licensed Representative (Provisional Licence) 1, 4, 9

KALRA Abhimanyu BMA951 Licensed Representative (Provisional Licence) 1

KANG Lei BMK459 Licensed Representative (Provisional Licence) 1, 4

KE Weijie BMH284 Licensed Representative (Provisional Licence) 1, 4, 9

KIM Jee Won BMH726 Licensed Representative (Provisional Licence) 1, 4

KO Chon Man BMK670 Licensed Representative (Provisional Licence) 1, 4, 6

KWONG Wing Yan BMH500 Licensed Representative (Provisional Licence) 1

LAI Chun Kit BGH428 Licensed Representative (Provisional Licence) 1, 4

LAI Man Ling AWX953 Licensed Representative (Provisional Licence) 1, 4

LAM Hoi Yan BMD021 Licensed Representative (Provisional Licence) 1, 4

LAM Ka Wing BMI348 Licensed Representative (Provisional Licence) 1, 4, 6

Lam Kelvin Roland ALQ299 Licensed Representative (Provisional Licence) 1, 4

LAM Yau Lun AVI744 Licensed Representative (Provisional Licence) 6

LAU Wung Koon ABY860 Licensed Representative (Provisional Licence) 1, 2

LAW Tsz Ming BMI035 Licensed Representative (Provisional Licence) 1, 2

LAW Yuen Yi BMF146 Licensed Representative (Provisional Licence) 1, 4

LEE Chang Soo BMH280 Licensed Representative (Provisional Licence) 9

LEE Chun Man AJE100 Licensed Representative (Provisional Licence) 1, 4, 9

LEE Jong Young BMI861 Licensed Representative (Provisional Licence) 1, 6

LEE Kin Pong, Tony BMF148 Licensed Representative (Provisional Licence) 1, 2

LEE Wen Min Donovan BME582 Licensed Representative (Provisional Licence) 9

LEUNG Wai Hang BMG013 Licensed Representative (Provisional Licence) 1

LI Lingli BML155 Licensed Representative (Provisional Licence) 1, 6

LI Lu BME183 Licensed Representative (Provisional Licence) 1, 4

LI Pik Na AOE454 Licensed Representative (Provisional Licence) 4

LI Sijia BMF550 Licensed Representative (Provisional Licence) 2, 5

LI Sisi ARN059 Licensed Representative (Provisional Licence) 1, 2, 9

LI Taoran BMG152 Licensed Representative (Provisional Licence) 1, 6

LI Tiangang BMG815 Licensed Representative (Provisional Licence) 1, 2, 7

LI Xiaohan BMI921 Licensed Representative (Provisional Licence) 1, 6

LI Yannan BMC218 Licensed Representative (Provisional Licence) 2, 5

LI Yik Ngai BMF541 Licensed Representative (Provisional Licence) 1, 2

LI Yiting BMI083 Licensed Representative (Provisional Licence) 1, 2, 4

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2018

CE Name CE No. Licence Type Types of Regulated Activity

LIAO Maojiang BMI130 Licensed Representative (Provisional Licence) 1, 4

LIM Damien Jia Wei BMK464 Licensed Representative (Provisional Licence) 1

LIN Yuchen BLP015 Licensed Representative (Provisional Licence) 1, 4, 9

LIU Gang BME739 Licensed Representative (Provisional Licence) 9

LIU Jiaqi BMF539 Licensed Representative (Provisional Licence) 1, 6

LIU Sui BMH845 Licensed Representative (Provisional Licence) 1, 6

LIU Tze Fung Ryan BMJ698 Licensed Representative (Provisional Licence) 1, 4, 9

LIU Ye Ting BMC891 Licensed Representative (Provisional Licence) 1, 6

LIU Yue BMG014 Licensed Representative (Provisional Licence) 1, 6

LO Wan Ju BMI350 Licensed Representative (Provisional Licence) 1, 4, 9

LO Yiu Man BMG156 Licensed Representative (Provisional Licence) 1, 2

LOH Wei Min BMI076 Licensed Representative (Provisional Licence) 1, 2

LU Limei BMH783 Licensed Representative (Provisional Licence) 1

LUI Chun Hay Joey BMF398 Licensed Representative (Provisional Licence) 1, 2, 4

LUO Hankun BMH148 Licensed Representative (Provisional Licence) 1, 2

LYU QI BMI920 Licensed Representative (Provisional Licence) 9

LYU Xiuxiu BMH516 Licensed Representative (Provisional Licence) 1, 2

MA Ka Chun BMG170 Licensed Representative (Provisional Licence) 1, 2, 4

MAINGARD De La Ville Es Offran Amedee Cory BHK684 Licensed Representative (Provisional Licence) 4, 9

MAK Clement Ka Yiu BMA455 Licensed Representative (Provisional Licence) 1

MATHESON Leighton Carey AGK143 Licensed Representative (Provisional Licence) 9

MC EVOY Andrew BMF537 Licensed Representative (Provisional Licence) 2, 5

NG Ming Sang BCH637 Licensed Representative (Provisional Licence) 1, 4, 9

NG Pak Kei APG232 Licensed Representative (Provisional Licence) 1, 2

NG Siu Lung BMJ747 Licensed Representative (Provisional Licence) 10

NG SIU NA SARNIAN BMC120 Licensed Representative (Provisional Licence) 1, 7

NG Sze Ho AFI898 Licensed Representative (Provisional Licence) 4

NG Yin Kuen BMH522 Licensed Representative (Provisional Licence) 1, 4

NG Ying Kit, Walter ADZ360 Licensed Representative (Provisional Licence) 1

OUYANG Shirui BIN775 Licensed Representative (Provisional Licence) 4

PAL Abhishek ASN918 Licensed Representative (Provisional Licence) 1, 2

PALMA Michael BLL845 Licensed Representative (Provisional Licence) 1, 4

PAO Michael Shihao AVR356 Licensed Representative (Provisional Licence) 4, 9

PAREKH Alok BBH963 Licensed Representative (Provisional Licence) 1

PATKER Sameer Sudhir BMB521 Licensed Representative (Provisional Licence) 1, 4

PENG Gangfu BFM414 Licensed Representative (Provisional Licence) 4, 9

PO Choi Kwai BMI091 Licensed Representative (Provisional Licence) 1, 4

PUN Lai Shan BMF543 Licensed Representative (Provisional Licence) 1, 2

QI Shanshan BMG536 Licensed Representative (Provisional Licence) 1

QIN YU BMF424 Licensed Representative (Provisional Licence) 1

QIU Zhiwei BMI936 Licensed Representative (Provisional Licence) 1, 2

QUAN Jiali BMK450 Licensed Representative (Provisional Licence) 1, 9

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2018

CE Name CE No. Licence Type Types of Regulated Activity

RATHORE Rahul BMG231 Licensed Representative (Provisional Licence) 9

REN Jizhou BMG918 Licensed Representative (Provisional Licence) 1, 6

REN Qingwen BME227 Licensed Representative (Provisional Licence) 1, 2

RISBERG Niklas Johan BMF013 Licensed Representative (Provisional Licence) 9

ROBERTS Glyn David BBZ480 Licensed Representative (Provisional Licence) 1, 2

ROZENTULLER Alexander BJT372 Licensed Representative (Provisional Licence) 1

SAHNI Akshay AMC661 Licensed Representative (Provisional Licence) 1, 2

SALECHA Mitul BMG596 Licensed Representative (Provisional Licence) 1, 2

SANG Yifeng BMH837 Licensed Representative (Provisional Licence) 1, 6

SHAH Sagar Jayesh BBS742 Licensed Representative (Provisional Licence) 1

SHANG Chuzun BMH297 Licensed Representative (Provisional Licence) 4

SHI Wenjia BMG353 Licensed Representative (Provisional Licence) 1, 6

SHI Yue BMJ774 Licensed Representative (Provisional Licence) 1, 4, 6

SI Wen BMK022 Licensed Representative (Provisional Licence) 1, 6

SIERADZKI Alexandre Roger BMH510 Licensed Representative (Provisional Licence) 1, 4, 9

SIU Man Lok BMI524 Licensed Representative (Provisional Licence) 1, 2

SIU Wai Ching, Shirley ABP528 Licensed Representative (Provisional Licence) 1, 4

SLONE Jonathan David AAI585 Licensed Representative (Provisional Licence) 1

SNG Ren Yi AYT411 Licensed Representative (Provisional Licence) 1, 4, 6

SONG Minmin BDF036 Licensed Representative (Provisional Licence) 1, 4

SRINIVASAN Pavithra BLX083 Licensed Representative (Provisional Licence) 9

SU Rongxia ATB921 Licensed Representative (Provisional Licence) 1, 4

SU Tian BMK653 Licensed Representative (Provisional Licence) 1, 4

SUI Xin BMG557 Licensed Representative (Provisional Licence) 4

SULLIVAN Thomas Sean BMH515 Licensed Representative (Provisional Licence) 1

SUN Lan BMI353 Licensed Representative (Provisional Licence) 1, 4

SUN Qiang Chang ACF134 Licensed Representative (Provisional Licence) 1, 4

SUN Ruiying BMD549 Licensed Representative (Provisional Licence) 9

SUN Yiding BBR448 Licensed Representative (Provisional Licence) 1, 4

SUN Yumeng BME539 Licensed Representative (Provisional Licence) 9

SUN Zhiyuan BMC621 Licensed Representative (Provisional Licence) 1, 4, 9

TAI Ho Fung BMI050 Licensed Representative (Provisional Licence) 1, 4, 6

TAM Kam Wah ABM628 Licensed Representative (Provisional Licence) 1

TAN James Seng Yee ATN584 Licensed Representative (Provisional Licence) 1, 2

TAN Ke BML440 Licensed Representative (Provisional Licence) 4

TANG Hung Yu BMI356 Licensed Representative (Provisional Licence) 1

TEOH Chin Wei ARP541 Licensed Representative (Provisional Licence) 1, 4

TIBBETT Amanda Jayne BKB056 Licensed Representative (Provisional Licence) 1

TIN Wai Man ARG334 Licensed Representative (Provisional Licence) 1, 4, 9

TONG Ying BIJ653 Licensed Representative (Provisional Licence) 4

TSE Kit Ying BMG845 Licensed Representative (Provisional Licence) 1, 4, 9

TSE Tung Wai BMA121 Licensed Representative (Provisional Licence) 1, 6

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2018

CE Name CE No. Licence Type Types of Regulated Activity

TSOI Geoffrey Wai Yip BBJ502 Licensed Representative (Provisional Licence) 1

TSOI Wei Yan BMK463 Licensed Representative (Provisional Licence) 1, 6

TSUI Kin Ling AVY267 Licensed Representative (Provisional Licence) 1, 4

TURAKHIA Pratik Prakash BAI093 Licensed Representative (Provisional Licence) 1

WANG Chuan Ying BMG147 Licensed Representative (Provisional Licence) 1

WANG Dige BMH216 Licensed Representative (Provisional Licence) 1, 4

WANG Jun BMH239 Licensed Representative (Provisional Licence) 1

WANG Mengyuan BMH307 Licensed Representative (Provisional Licence) 1, 6

WANG Xiaoming BMJ757 Licensed Representative (Provisional Licence) 1

WANG Xinyi BMI322 Licensed Representative (Provisional Licence) 4

WANG Yinghui BMI924 Licensed Representative (Provisional Licence) 4

WANG Yushen BMH497 Licensed Representative (Provisional Licence) 4

WATANABE Jun BMC605 Licensed Representative (Provisional Licence) 1

WAY Ling Chui BMH151 Licensed Representative (Provisional Licence) 1, 4

WEI Wei BMH195 Licensed Representative (Provisional Licence) 9

WEN Dafu BMC503 Licensed Representative (Provisional Licence) 1, 4, 6

WENG Jinghong BMG697 Licensed Representative (Provisional Licence) 1, 4

WINARDI Ronald AXL931 Licensed Representative (Provisional Licence) 4

WONG Cheuk Fung BFE380 Licensed Representative (Provisional Licence) 1, 4, 9

WONG Cho Fung Alan BMF182 Licensed Representative (Provisional Licence) 1, 2

WONG Mellissa AKO803 Licensed Representative (Provisional Licence) 1

WONG Nok Hang BMI361 Licensed Representative (Provisional Licence) 3

WONG Pak Kan AXK066 Licensed Representative (Provisional Licence) 9

WONG Ting Chun, Justin BMJ409 Licensed Representative (Provisional Licence) 1

WONG Tony Tin Wing ALZ369 Licensed Representative (Provisional Licence) 1, 4

WU Chi Him, James BJK279 Licensed Representative (Provisional Licence) 1

WU Kam Tung BMF548 Licensed Representative (Provisional Licence) 1

WU Peiqin BMI131 Licensed Representative (Provisional Licence) 1, 2, 4, 5

WU Shuohuan BMF453 Licensed Representative (Provisional Licence) 1

XIAN Tinghong BMI592 Licensed Representative (Provisional Licence) 1, 6

XIAO Yee BMI030 Licensed Representative (Provisional Licence) 1, 4

XIONG Junjie BEZ862 Licensed Representative (Provisional Licence) 9

XU Peiyu BMH493 Licensed Representative (Provisional Licence) 4

XUE Jiayun BMF180 Licensed Representative (Provisional Licence) 1, 6

YANG Shi Ai BMJ699 Licensed Representative (Provisional Licence) 1, 2

YANG Yuying BMB332 Licensed Representative (Provisional Licence) 10

YANG Zhidao BMF166 Licensed Representative (Provisional Licence) 1, 4

YAU Sherlock Szelock BMB657 Licensed Representative (Provisional Licence) 1, 6

YE Songsheng BFY973 Licensed Representative (Provisional Licence) 1, 6

YEUNG Chi Pan BEG177 Licensed Representative (Provisional Licence) 1, 4

YEUNG Chin Kwan, Gilbert BMI041 Licensed Representative (Provisional Licence) 1, 4

YEUNG Yu Pang BMK681 Licensed Representative (Provisional Licence) 4

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2018

CE Name CE No. Licence Type Types of Regulated Activity

YIP Beryl Wing Yi BMK449 Licensed Representative (Provisional Licence) 1

YIU Wing Kit BMF440 Licensed Representative (Provisional Licence) 1

YONG Shao Fung BMG012 Licensed Representative (Provisional Licence) 1, 4, 9

YU Jiaqiang BMI887 Licensed Representative (Provisional Licence) 1, 6

YU Zhou BMF545 Licensed Representative (Provisional Licence) 1, 4

ZANG Zhuoran BMH279 Licensed Representative (Provisional Licence) 1, 6

ZENG Hongxuan BMK901 Licensed Representative (Provisional Licence) 6

ZENG Xingbo BMH525 Licensed Representative (Provisional Licence) 1, 2, 4

ZHANG BIN BMH285 Licensed Representative (Provisional Licence) 1, 6

ZHANG Bin BMI551 Licensed Representative (Provisional Licence) 1

ZHANG Jingdan BMG531 Licensed Representative (Provisional Licence) 4

ZHANG Mingwei BMF163 Licensed Representative (Provisional Licence) 1, 2, 9

ZHANG Xueqi BMJ753 Licensed Representative (Provisional Licence) 1, 4, 9

ZHANG Yue BMG550 Licensed Representative (Provisional Licence) 1, 4

ZHANG Zhiwei BMI925 Licensed Representative (Provisional Licence) 4

ZHAO Jie BMH292 Licensed Representative (Provisional Licence) 1, 6

ZHAO Liang BME560 Licensed Representative (Provisional Licence) 9

ZHAO Yue BKA711 Licensed Representative (Provisional Licence) 1, 4

ZHAO Yue BMI303 Licensed Representative (Provisional Licence) 1, 2

ZHENG Shenghuai BMI556 Licensed Representative (Provisional Licence) 1, 2, 4

ZHOU Yong BMI923 Licensed Representative (Provisional Licence) 1, 9

ZHU Jingxuan BME963 Licensed Representative (Provisional Licence) 1, 4

ZOU Yi BMG901 Licensed Representative (Provisional Licence) 1, 4

AGARWAL Virat BGU565 Licensed Representative (Temporary Licence) 1

ANDERL Maximilian BGD222 Licensed Representative (Temporary Licence) 1, 4

ANG Carl Jiren BHT357 Licensed Representative (Temporary Licence) 4

ANG SOK HAN BLF878 Licensed Representative (Temporary Licence) 1

BAE Christopher Thomas AQI792 Licensed Representative (Temporary Licence) 1, 4

BLOOM Joseph Jason BMC566 Licensed Representative (Temporary Licence) 1, 4

BRENNAN Paul Francis BMB677 Licensed Representative (Temporary Licence) 4

CEREZO Rafael Alejandro BMD882 Licensed Representative (Temporary Licence) 1

CHAVALI Ramakrishna BIB421 Licensed Representative (Temporary Licence) 1, 2

CHHUGANI Gautam Prakash BIO676 Licensed Representative (Temporary Licence) 4

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

CHING Yi Edmund AKU003 Licensed Representative (Temporary Licence) 4

CHO Chulhee BEX932 Licensed Representative (Temporary Licence) 4

CHOI Gowoon BJY957 Licensed Representative (Temporary Licence) 4

CHOI Minha BFC667 Licensed Representative (Temporary Licence) 4

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

DADABHOY Jamshed Rustom BFK188 Licensed Representative (Temporary Licence) 4

DARMONO Permadawani BJH031 Licensed Representative (Temporary Licence) 4

ELDER Luke Gregory BLY726 Licensed Representative (Temporary Licence) 10

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2018

CE Name CE No. Licence Type Types of Regulated Activity

FEDELI Fabiana BMC997 Licensed Representative (Temporary Licence) 1

FENG Kaiyun BKO099 Licensed Representative (Temporary Licence) 1

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

FUJIKI Tomohisa BJK781 Licensed Representative (Temporary Licence) 4

GLAVIN Barry John BMH808 Licensed Representative (Temporary Licence) 1, 4, 5

GUPTA Vishal BMI026 Licensed Representative (Temporary Licence) 1

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

ISRAELSSON Anders David BML371 Licensed Representative (Temporary Licence) 1, 2

JIN Hong Goock BLD547 Licensed Representative (Temporary Licence) 4

JIP Allan AGL440 Licensed Representative (Temporary Licence) 2, 5

JOHNSON Adam Michael BMG529 Licensed Representative (Temporary Licence) 1, 4

KAPLOWITZ Andrew Alec BME267 Licensed Representative (Temporary Licence) 4

KEDIA Sahil Sudhir AZW848 Licensed Representative (Temporary Licence) 1, 4

KIM Jinwoo BGY980 Licensed Representative (Temporary Licence) 4

KIM Minkyu BEO107 Licensed Representative (Temporary Licence) 1

KISHIDA Naoaki BBG395 Licensed Representative (Temporary Licence) 2, 5

KONG Robert Patrick BDQ917 Licensed Representative (Temporary Licence) 4

LEE Doyeon BFO638 Licensed Representative (Temporary Licence) 4

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

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

LINHARDT Susanne Patrizia BLZ809 Licensed Representative (Temporary Licence) 1, 4

LOW Wan Ting BMD899 Licensed Representative (Temporary Licence) 1, 4, 5

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

MAHMOOD Saad BMJ421 Licensed Representative (Temporary Licence) 1

MANDEL Mark David BMK027 Licensed Representative (Temporary Licence) 1, 4

MANSELL Steven Robert BEI891 Licensed Representative (Temporary Licence) 4

MATHUR Aditya BEO279 Licensed Representative (Temporary Licence) 4

MATITIA Edouard Albert BHG614 Licensed Representative (Temporary Licence) 1

MIEDEMA Jeldert BLF654 Licensed Representative (Temporary Licence) 1

MORRISON Courteney James BMI097 Licensed Representative (Temporary Licence) 1

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

NA Eun Chae BGC163 Licensed Representative (Temporary Licence) 4

NAGAHORI Makoto BKJ477 Licensed Representative (Temporary Licence) 1

QUOIREZ Lorraine BIE680 Licensed Representative (Temporary Licence) 4

RAGHUNATH Madhusudhan BHL507 Licensed Representative (Temporary Licence) 1, 2

RYAN Alastair William BAJ168 Licensed Representative (Temporary Licence) 1, 4

SACCO Alexander David BMH784 Licensed Representative (Temporary Licence) 1

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

SECKER Graham Ronald AUD568 Licensed Representative (Temporary Licence) 1, 4

SHEETS Andrew Paterson BDC115 Licensed Representative (Temporary Licence) 1, 4, 5

SHUKLA Manish Bhupendra BKJ049 Licensed Representative (Temporary Licence) 4

SNELL Scott Woods BMC962 Licensed Representative (Temporary Licence) 1, 4

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2018

CE Name CE No. Licence Type Types of Regulated Activity

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

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

TOLLARDO Neri BMG825 Licensed Representative (Temporary Licence) 1, 4

TOMARU Yoshitaka BFT494 Licensed Representative (Temporary Licence) 1, 2

VAN HIEN Mustafa BMG567 Licensed Representative (Temporary Licence) 1

VOLPON Tony BMJ345 Licensed Representative (Temporary Licence) 4

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

WARD Martin John BMJ422 Licensed Representative (Temporary Licence) 1

WATSON Adam James BCY110 Licensed Representative (Temporary Licence) 1, 4

WILLIAMSON Joshua David BIN735 Licensed Representative (Temporary Licence) 4

WRIGHT Kristina Fleur Marshall AXV982 Licensed Representative (Temporary Licence) 1

YAMAGUCHI Miho BBD148 Licensed Representative (Temporary Licence) 1

YANAGISAWA Masakazu ASL355 Licensed Representative (Temporary Licence) 1

YIU Wong Ki AYW262 Licensed Representative (Temporary Licence) 4

YOO Jongwoo BEX905 Licensed Representative (Temporary Licence) 4

ZHANG Ying BJR686 Licensed Representative (Temporary Licence) 4

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