condition variations of licensed persons / registered ... · condition added: for type 1 regulated...

CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS DURING 4/2020

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CE Name: Blackstone Group (HK) Limited, The CE No.: ARH147 Licence Type: Licensed Corporation Condition Removed: For Type 1 regulated activity, the licensee shall only perform distribution function for and engage in activities in relation to selling, marketing and distributing collective investment schemes. The term "collective investment scheme" is as defined under the Securities and Futures Ordinance. The term "distribution function" is defined in the Code on Unit Trusts and Mutual Funds issued by the Commission. Condition Level: Type 1 Regulated Activity CE Name: Pantheon Ventures (HK) LLP CE No.: AVD736 Licence Type: Licensed Corporation Condition Added: For Type 1 regulated activity, the licensee shall only carry on the business of dealing in collective investment schemes. The terms "collective investment scheme" and "dealing" are as defined under the Securities and Futures Ordinance. Condition Level: Type 1 Regulated Activity CE Name: Grand Moore Capital Limited CE No.: BGB919 Licence Type: Licensed Corporation Condition Removed: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: Grand Moore Capital Limited CE No.: BGB919 Licence Type: Licensed Corporation Condition Added: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance or its provision of custodian services. Condition Level: Type 1 Regulated Activity CE Name: Dragonstone Capital Management Limited CE No.: BGM303 Licence Type: Licensed Corporation Condition Added: For Type 1 regulated activity, the licensee shall only carry on the business of dealing in collective investment schemes. The terms "collective investment scheme" and "dealing" are as defined under the Securities and Futures Ordinance. Condition Level: Type 1 Regulated Activity


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CE Name: Harbour Corporate Finance Limited CE No.: BJT698 Licence Type: Licensed Corporation Condition Removed: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: Maxa Capital Limited CE No.: BNO600 Licence Type: Licensed Corporation Condition Added: For Type 1 regulated activity, the licensee shall only provide services to professional investors. The term "professional investor" is as defined in the Securities and Futures Ordinance and its subsidiary legislation. Condition Level: Type 1 Regulated Activity CE Name: Forthright Securities Company Limited CE No.: BGP713 Licence Type: Licensed Corporation Condition Added: For Type 2 regulated activity, the licensee shall not conduct business other than effecting dealings in futures contracts through other intermediaries, for the persons from whom the related dealing offers are received. Condition Level: Type 2 Regulated Activity CE Name: Paochu Investment Advisory Limited CE No.: ASZ513 Licence Type: Licensed Corporation Condition Removed: For Type 4 regulated activity, the licensee shall not advise on securities other than unit trusts and mutual funds. Condition Level: Type 4 Regulated Activity CE Name: KGI Capital Asia Limited CE No.: ADT039 Licence Type: Licensed Corporation Condition Added: For Type 6 regulated activity, the licensee shall not act as sponsor in respect of an application for the listing on a recognized stock market of any securities. Condition Level: Type 6 Regulated Activity CE Name: Tian Yuan Finance Limited CE No.: AGE667 Licence Type: Licensed Corporation


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Condition Removed: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: Tian Yuan Finance Limited CE No.: AGE667 Licence Type: Licensed Corporation Condition Removed: For Type 6 regulated activity, the licensee shall not act as sponsor in respect of an application for the listing on a recognized stock market of any securities. Condition Level: Type 6 Regulated Activity CE Name: Paochu Investment Advisory Limited CE No.: ASZ513 Licence Type: Licensed Corporation Condition Removed: For Type 9 regulated activity, the licensee shall only provide services to professional investors. The term "professional investor" is as defined in the Securities and Futures Ordinance and its subsidiary legislation. Condition Level: Type 9 Regulated Activity CE Name: Venture Smart Asia Limited CE No.: BCO369 Licence Type: Licensed Corporation Condition Added: The licensee shall comply with the "<a href="https://www.sfc.hk/web/EN/files/IS/publications/VA_Portfolio_Managers_Terms_and_Conditions_(EN).pdf" target="_blank">Proforma Terms and Conditions for Licensed Corporations which Manage Portfolios that Invest in Virtual Assets</a>" ("T&C") issued by the Securities and Futures Commission ("SFC") on 4 October 2019 and any amendments made to the T&C thereafter. Any changes to the information previously provided to the SFC, including changes to fund structures and/or service providers (e.g. custodians, administrators and virtual asset trading platforms), should only be made and/or adopted with the SFC's written consent. Condition Level: Type 9 Regulated Activity CE Name: SP Topstone Capital Management Limited CE No.: BHG531 Licence Type: Licensed Corporation Condition Added:


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For Type 9 regulated activity, the licensee shall only provide services to professional investors. The term "professional investor" is as defined in the Securities and Futures Ordinance and its subsidiary legislation. Condition Level: Type 9 Regulated Activity CE Name: Gamma Securities Limited CE No.: BLY061 Licence Type: Licensed Corporation Condition Added: For Type 9 regulated activity, the licensee shall only provide services to professional investors. The term "professional investor" is as defined in the Securities and Futures Ordinance and its subsidiary legislation. Condition Level: Type 9 Regulated Activity CE Name: Trends Asset Management Limited CE No.: BNX995 Licence Type: Licensed Corporation Condition Removed: For Type 9 regulated activity, the licensee shall not conduct business involving the discretionary management of any collective investment scheme. The term "collective investment scheme" is as defined under the Securities and Futures Ordinance. Condition Level: Type 9 Regulated Activity CE Name: Anlly Asset Management Limited CE No.: BOM780 Licence Type: Licensed Corporation Condition Removed: For Type 9 regulated activity, the licensee shall not conduct business involving the discretionary management of any collective investment scheme. The term "collective investment scheme" is as defined under the Securities and Futures Ordinance. Condition Level: Type 9 Regulated Activity CE Name: Oasis Management (Hong Kong) CE No.: AJJ190 Licence Type: Licensed Corporation Condition Added: The licensee shall only provide services to professional investors. The term "professional investor" is as defined in the Securities and Futures Ordinance and its subsidiary legislation. Condition Level: Licence CE Name: Oasis Management (Hong Kong) CE No.: AJJ190 Licence Type: Licensed Corporation Condition Removed:


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The licensee shall only provide services to Oasis Management Company Ltd. or its group companies. Condition Level: Licence CE Name: Paochu Investment Advisory Limited CE No.: ASZ513 Licence Type: Licensed Corporation Condition Added: The licensee shall only provide services to professional investors. The term "professional investor" is as defined in the Securities and Futures Ordinance and its subsidiary legislation. Condition Level: Licence CE Name: SP Topstone Capital Management Limited CE No.: BHG531 Licence Type: Licensed Corporation Condition Removed: The licensee shall only provide services to professional investors. The term "professional investor" is as defined in the Securities and Futures Ordinance and its subsidiary legislation. Condition Level: Licence CE Name: SP Topstone Capital Management Limited CE No.: BHG531 Licence Type: Licensed Corporation Condition Removed: The licensee shall not hold client assets. The terms "hold" and "client assets" are as defined under the Securities and Futures Ordinance. Condition Level: Licence CE Name: Velotrade Management Limited CE No.: BJL007 Licence Type: Licensed Corporation Condition Removed: The licensee shall take out and maintain trade credit insurance policy(ies) offered by one or more insurance companies acceptable to the Securities and Futures Commission for the benefit of investors dealing in Trade Receivable Interests via the licensee's online platform from time to time. The insurance policy(ies) should cover at least 90% of the exposure of the Trade Receivable Interests offered to investors. Condition Level: Licence CE Name: Velotrade Management Limited CE No.: BJL007 Licence Type: Licensed Corporation Condition Removed: After 12 months of being licensed, the licensee shall engage an independent professional firm (such as an accountancy or law firm) acceptable to the Securities and Futures Commission to


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conduct a review of its activities and operations and prepare a report confirming that it has complied with the licensing conditions, relevant provisions of the Securities and Futures Ordinance, and the applicable rules, codes, guidelines and circulars issued by the Securities and Futures Commission (with specific reference to the Guidelines on Online Distribution and Advisory Platforms). The report should be submitted to the Securities and Futures Commission within 18 months after the licensee is first licensed. Condition Level: Licence CE Name: Velotrade Management Limited CE No.: BJL007 Licence Type: Licensed Corporation Condition Added: After 24 months of being licensed, the licensee shall engage an independent professional firm (such as an accountancy or law firm) acceptable to the Securities and Futures Commission to conduct a review of its activities and operations and prepare a report confirming that it has complied with the licensing conditions, relevant provisions of the Securities and Futures Ordinance, and the applicable rules, codes, guidelines and circulars issued by the Securities and Futures Commission (with specific reference to the Guidelines on Online Distribution and Advisory Platforms). The report should be submitted to the Securities and Futures Commission within 30 months after the licensee is first licensed. Condition Level: Licence CE Name: Velotrade Management Limited CE No.: BJL007 Licence Type: Licensed Corporation Condition Added: The licensee shall take out and maintain trade credit insurance policy(ies) offered by one or more insurance companies acceptable to the Securities and Futures Commission for the benefit of specified professional investors dealing in Trade Receivable Interests via the licensee's online platform from time to time. The insurance policy(ies) should cover at least 90% of the exposure of the Trade Receivable Interests offered to specified professional investors. Condition Level: Licence CE Name: CNCBI Asset Management Limited CE No.: BMQ774 Licence Type: Licensed Corporation Condition Removed: The licensee shall not hold client assets. The terms "hold" and "client assets" are as defined under the Securities and Futures Ordinance. Condition Level: Licence CE Name: Maxa Capital Limited CE No.: BNO600 Licence Type: Licensed Corporation


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Condition Removed: The licensee shall only provide services to professional investors. The term "professional investor" is as defined in the Securities and Futures Ordinance and its subsidiary legislation. Condition Level: Licence CE Name: POON Kwok Hing, Albert CE No.: AAI064 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance or its provision of custodian services. Condition Level: Type 1 Regulated Activity CE Name: POON Kwok Hing, Albert CE No.: AAI064 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: CHUNG Kwok Wai, Kelvin CE No.: AAJ492 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LI Sek Fu CE No.: AAX343 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity


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CE Name: IP Tze Fai, Alvin CE No.: ABE880 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: KOO Wing Tat, Vincent CE No.: ACW766 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: SAM Shook Fung CE No.: ADM712 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: SAM Shook Fung CE No.: ADM712 Licence Type: Licensed Representative - Responsible Officer Condition Added:


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For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: CHAN Tit Leung, Sunny CE No.: ADP076 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: CHEUNG Wai Fai CE No.: AFD181 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: TAM King Ho, Howard CE No.: AFN346 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: LAW Chun Ming, Johnny CE No.: AGJ887 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance or its provision of custodian services. Condition Level: Type 1 Regulated Activity


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CE Name: LAW Chun Ming, Johnny CE No.: AGJ887 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: MEADS Chris Stanley CE No.: AGM298 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: WU Hiu Man CE No.: AGO828 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: WONG Kin Chung CE No.: AJD184 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: WONG Kin Chung CE No.: AJD184 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or


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(ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: WONG Kin Chung CE No.: AJD184 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: NG Wing Fai CE No.: AJD666 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: TSANG On Yee CE No.: ALI325 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: WONG Chin Wai CE No.: AMJ918 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity


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CE Name: FUNG Chen Tung CE No.: ANR750 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: COTTON Kinsey Lachlan Nicholas CE No.: AOV965 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: WONG Ka Shing CE No.: AOY331 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: WONG Ka Shing CE No.: AOY331 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition.


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Condition Level: Type 1 Regulated Activity CE Name: WONG Tin Yam, Alvin CE No.: APK149 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: WONG Tin Yam, Alvin CE No.: APK149 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: IP Hon Tak CE No.: AQJ001 Licence Type: Licensed Representative Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: GONG Jie CE No.: ARO415 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is:


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(a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: TONG Wai Chiu, Philip CE No.: ARO584 Licence Type: Licensed Representative Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: TONG Wai Chiu, Philip CE No.: ARO584 Licence Type: Licensed Representative Condition Removed: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: LI Xi CE No.: ASU033 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: LIM Ah Ken, Brian CE No.: ATO203 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: FUJISAKI Daisuke CE No.: AVR204 Licence Type: Licensed Representative - Responsible Officer


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Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: FUJISAKI Daisuke CE No.: AVR204 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CHOW Wai Leong, Eric CE No.: AWW844 Licence Type: Licensed Representative Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: CUNNINGHAM Nicholas James CE No.: AWY119 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.


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Condition Level: Type 1 Regulated Activity CE Name: BIAN Jing CE No.: AXY811 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: BIAN Jing CE No.: AXY811 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: BIAN Jing CE No.: AXY811 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CHANG Wen- I Phoebe CE No.: BAX300 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: CHANG Wen- I Phoebe CE No.: BAX300


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Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: CHANG Wen- I Phoebe CE No.: BAX300 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: JIANG Rongfeng CE No.: BAZ653 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: LEE Yun Cheng CE No.: BBK507 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: CHOU Hsiao Teng CE No.: BCE918 Licence Type: Licensed Representative - Responsible Officer


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Condition Removed: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: REN Jie CE No.: BDR622 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: DENG William Shijun CE No.: BGT750 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: IKEDA-THEW Kosuke Robert CE No.: BIC279 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity


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CE Name: IKEDA-THEW Kosuke Robert CE No.: BIC279 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: YING Jianjia CE No.: BII932 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: LAM Bun Hei CE No.: BIS018 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LAM Bun Hei CE No.: BIS018 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition.


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Condition Level: Type 1 Regulated Activity CE Name: LAI Kai Po CE No.: BIS734 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: XIE Yunqin CE No.: BJG869 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: THUN Lung Lung CE No.: BJO239 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: THUN Lung Lung CE No.: BJO239 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LIN Xiangli CE No.: BJP018 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: LIN Xiangli CE No.: BJP018 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: ZHU Yali CE No.: BKY115 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: QIN Li CE No.: BLV366 Licence Type: Licensed Representative - Responsible Officer Condition Added:


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For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: FENG Zhenglin CE No.: BOQ060 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: GOVIND Eric Rishi CE No.: BOR602 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: GOVIND Eric Rishi CE No.: BOR602 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity


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CE Name: YANG Chen CE No.: BOT360 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: YANG Patrick Sing Yan CE No.: BOT544 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: SCHNEIDEREIT Marc Daniel CE No.: BOT761 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CHEN Jing CE No.: BOW955 Licence Type: Licensed Representative - Responsible Officer


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Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: CHEN Jing CE No.: BOW955 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: WONG Isabella CE No.: BOX064 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LIN Ming-Shao CE No.: BOZ249 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LIN Langsi CE No.: BOZ971 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: SUN Hutao CE No.: BPA258 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: ZHANG Lixin CE No.: BPD881 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity


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CE Name: ZHANG Lixin CE No.: BPD881 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: ZHANG Lixin CE No.: BPD881 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: NOGUCHI Suguru CE No.: BPF378 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: YIN Ziwei CE No.: BPG351 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: XU Yi CE No.: BPI136 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CHEUNG Wai Fai CE No.: AFD181 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 2 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 2 Regulated Activity CE Name: LO Mun Keung CE No.: AFV442 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity


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CE Name: LO Mun Keung CE No.: AFV442 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 2 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 2 Regulated Activity CE Name: WONG Yim Keung CE No.: AJE545 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: GHIA Manish Hasmukh CE No.: AJL427 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: COTTON Kinsey Lachlan Nicholas CE No.: AOV965 Licence Type: Licensed Representative - Responsible Officer Condition Added:


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For Type 2 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 2 Regulated Activity CE Name: FUJISAKI Daisuke CE No.: AVR204 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 2 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 2 Regulated Activity CE Name: YIP Chin Ho CE No.: AWE953 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: YIP Chin Ho CE No.: AWE953 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 2 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 2 Regulated Activity CE Name: HUI Chun CE No.: AWQ526


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Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: HUI Chun CE No.: AWQ526 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 2 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 2 Regulated Activity CE Name: YABE Ryota CE No.: BMV303 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: YABE Ryota CE No.: BMV303 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 2 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and


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(b) not subject to this condition. Condition Level: Type 2 Regulated Activity CE Name: GOVIND Eric Rishi CE No.: BOR602 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 2 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 2 Regulated Activity CE Name: GOVIND Eric Rishi CE No.: BOR602 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: SCHNEIDEREIT Marc Daniel CE No.: BOT761 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: HSIAO Chih Fang CE No.: BOW957 Licence Type: Licensed Representative


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Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: LIN Ming-Shao CE No.: BOZ249 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 2 Regulated Activity CE Name: LING Colin Celan CE No.: ABU679 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 3 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 3 Regulated Activity CE Name: CHAN Chung Keung CE No.: AFQ639 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients.


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Condition Level: Type 3 Regulated Activity CE Name: CHAN Kwok Wai CE No.: ARE605 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 3 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 3 Regulated Activity CE Name: CHAN Kwok Wai CE No.: ARE605 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 3 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 3 Regulated Activity CE Name: LO Lap Bond James CE No.: BBJ189 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 3 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 3 Regulated Activity CE Name: HUNG Chun Kit CE No.: BCU325 Licence Type: Licensed Representative - Responsible Officer Condition Removed:


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This licence, in relation to Type 3 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 3 Regulated Activity CE Name: HUNG Chun Kit CE No.: BCU325 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 3 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 3 Regulated Activity CE Name: YIP Man Fei CE No.: BES299 Licence Type: Licensed Representative Condition Added: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: LEE Ho Pan CE No.: BKJ169 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 3 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 3 Regulated Activity CE Name: GAGNON Philippe CE No.: BNT930


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Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 3 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 3 Regulated Activity CE Name: SUM Pik Yee, Jenny CE No.: BOA609 Licence Type: Licensed Representative Condition Removed: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: CHEUNG Man Chung CE No.: BPK018 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 3 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 3 Regulated Activity CE Name: CHUNG Kwok Wai, Kelvin CE No.: AAJ492 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: WONG Wai Man, June CE No.: ACS213 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: WONG Wai Man CE No.: AEZ021 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: WU Yue CE No.: AFU292 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: WU Yue CE No.: AFU292 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or


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(ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: SUEN Lok Hang, Gregory CE No.: ALI171 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: SUEN Lok Hang, Gregory CE No.: ALI171 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: CHONG Ka Yee CE No.: AME715 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: TURNER Daniel Philip CE No.: AOV461


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Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: TURNER Daniel Philip CE No.: AOV461 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: WONG Ka Shing CE No.: AOY331 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: WONG Ka Shing CE No.: AOY331 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: WONG Mun Yee CE No.: APU633 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: CHAN Yan Ho, Leo CE No.: ARO469 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: CHAN Yan Ho, Leo CE No.: ARO469 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: CHIA An-pei CE No.: ARP099 Licence Type: Licensed Representative - Responsible Officer Condition Removed:


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For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: TAM Ho Yeung CE No.: ASZ119 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: TAM Ho Yeung CE No.: ASZ119 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: CHAN Cheuk Nam, Stanley CE No.: ATN846 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: CHAN Cheuk Nam, Stanley CE No.: ATN846 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect:


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(i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: FUJISAKI Daisuke CE No.: AVR204 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: FUJISAKI Daisuke CE No.: AVR204 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: CUNNINGHAM Nicholas James CE No.: AWY119 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: LIN Yujun CE No.: AYK934 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: LIN Yujun CE No.: AYK934 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: CHAN Otto CE No.: AZR076 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: CHAN Otto CE No.: AZR076 Licence Type: Licensed Representative - Responsible Officer Condition Added:


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This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: HOU Changjie CE No.: BAG107 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: HOU Changjie CE No.: BAG107 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: CHANG Wen- I Phoebe CE No.: BAX300 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: CHANG Wen- I Phoebe CE No.: BAX300 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: REN Jie CE No.: BDR622 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: LO Hoi Ching CE No.: BGD992 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: ZHANG Ran CE No.: BHP610 Licence Type: Licensed Representative - Responsible Officer Condition Added:


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For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: ZHANG Ran CE No.: BHP610 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: YING Jianjia CE No.: BII932 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: XIE Yunqin CE No.: BJG869 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: LI Dan CE No.: BJJ371


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Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: LIN Xiangli CE No.: BJP018 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: LIN Xiangli CE No.: BJP018 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: ZHU Yali CE No.: BKY115 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity


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CE Name: TONG Cheuk Fu Jeffery CE No.: BLD317 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: LU LEI CE No.: BLT136 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: QIN Li CE No.: BLV366 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: FANG Wenhui CE No.: BNN921 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.


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Condition Level: Type 4 Regulated Activity CE Name: FANG Wenhui CE No.: BNN921 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: JIA Yuzhe CE No.: BNW202 Licence Type: Licensed Representative Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: XU Weiyang CE No.: BOQ045 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: FENG Zhenglin CE No.: BOQ060 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or


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(ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: OKEKE Larisa CE No.: BOT138 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: YANG Patrick Sing Yan CE No.: BOT544 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: CHEN Jing CE No.: BOW955 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: CHEN Jing CE No.: BOW955 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: WONG Isabella CE No.: BOX064 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: YIN Ziwei CE No.: BPG351 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity


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CE Name: XU Yi CE No.: BPI136 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: CHAN Shu Ching CE No.: BPK591 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: WONG Wai Man, June CE No.: ACS213 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 5 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 5 Regulated Activity CE Name: LO Mun Keung CE No.: AFV442 Licence Type: Licensed Representative - Responsible Officer Condition Added:


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For Type 5 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 5 Regulated Activity CE Name: LO Mun Keung CE No.: AFV442 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 5 Regulated Activity CE Name: WONG Yim Keung CE No.: AJE545 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 5 Regulated Activity CE Name: TURNER Daniel Philip CE No.: AOV461 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 5 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 5 Regulated Activity


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CE Name: TURNER Daniel Philip CE No.: AOV461 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 5 Regulated Activity CE Name: YIP Chin Ho CE No.: AWE953 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 5 Regulated Activity CE Name: YIP Chin Ho CE No.: AWE953 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 5 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 5 Regulated Activity CE Name: LOW John Meng CE No.: AAN623 Licence Type: Licensed Representative - Responsible Officer Condition Added:


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For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission. Condition Level: Type 6 Regulated Activity CE Name: WU Qiang CE No.: ADT384 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: WU Qiang CE No.: ADT384 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission. Condition Level: Type 6 Regulated Activity CE Name: LAM Wai Keung CE No.: AFG006 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: TAN Michael Boon Suan CE No.: AGO368 Licence Type: Licensed Representative Condition Removed: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity


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CE Name: FUNG Sik Lun CE No.: ALH713 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: TSANG On Yee CE No.: ALI325 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission. Condition Level: Type 6 Regulated Activity CE Name: TSUI Alvin Chun Ming CE No.: AMS882 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: CHOI Yin On CE No.: APS500 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: LEE Mei Shan CE No.: ASP357 Licence Type: Licensed Representative - Responsible Officer Condition Added:


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For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission. Condition Level: Type 6 Regulated Activity CE Name: LI Xi CE No.: ASU033 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission. Condition Level: Type 6 Regulated Activity CE Name: POON Tsz Yuen CE No.: AUM378 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission. Condition Level: Type 6 Regulated Activity CE Name: CHEUNG Shun Lim, Ignatius CE No.: AVI083 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: LAU Kin Chung, Alex CE No.: AXH629 Licence Type: Licensed Representative Condition Removed: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: HUI Cheuk Ho CE No.: AXX145


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Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission. Condition Level: Type 6 Regulated Activity CE Name: BIAN Jing CE No.: AXY811 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: BIAN Jing CE No.: AXY811 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: BIAN Jing CE No.: AXY811 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission. Condition Level: Type 6 Regulated Activity CE Name: LOK Ka Fai CE No.: AYL132 Licence Type: Licensed Representative - Responsible Officer Condition Added:


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For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: FAN King Wai CE No.: AYX144 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: KIM Sangjoon CE No.: AZY506 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: KIM Sangjoon CE No.: AZY506 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission. Condition Level: Type 6 Regulated Activity CE Name: KIM Sangjoon CE No.: AZY506 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: CHANG Wen- I Phoebe CE No.: BAX300 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: CHANG Wen- I Phoebe CE No.: BAX300 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: CHANG Wen- I Phoebe CE No.: BAX300 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: LEE Hin Pong CE No.: BBQ604 Licence Type: Licensed Representative - Responsible Officer Condition Added:


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For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission. Condition Level: Type 6 Regulated Activity CE Name: HO Kam Chung, Wade CE No.: BCN812 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: CHAN Claudia Yuk Ying CE No.: BDE996 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: FUNG Man Heng CE No.: BDN973 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission. Condition Level: Type 6 Regulated Activity CE Name: WONG Wing Chung CE No.: BGN445 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity


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CE Name: YANG Chen CE No.: BOT360 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: YANG Patrick Sing Yan CE No.: BOT544 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: CHAN Man Ling Joyce CE No.: BOU555 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: CHAN Man Ling Joyce CE No.: BOU555 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and


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Share Buy-backs issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: CHAN Chin Hong CE No.: BOZ412 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: SUN Hutao CE No.: BPA258 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: NOGUCHI Suguru CE No.: BPF378 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: YIN Ziwei CE No.: BPG351 Licence Type: Licensed Representative


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Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: XU Yi CE No.: BPI136 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: WAT Ying Hang CE No.: AAK716 Licence Type: Licensed Representative Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: WONG Wai Man, June CE No.: ACS213 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition.


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Condition Level: Type 9 Regulated Activity CE Name: LEUNG Kit Yee, Katherine CE No.: ADJ629 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: LEUNG Kit Yee, Katherine CE No.: ADJ629 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: MONACO Thomas John CE No.: ADN776 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: WU Yue CE No.: AFU292 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or


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(ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: WU Yue CE No.: AFU292 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: WONG Hoi Ki CE No.: AJO046 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: CHONG Ka Yee CE No.: AME715 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: CHAN Sai Wing CE No.: AMU845


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Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: GILL Kevin CE No.: ANF176 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: GILL Kevin CE No.: ANF176 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: YIM Chi Ho CE No.: AOD008 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity


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CE Name: TURNER Daniel Philip CE No.: AOV461 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: TURNER Daniel Philip CE No.: AOV461 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: WONG Ka Shing CE No.: AOY331 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: WONG Ka Shing CE No.: AOY331 Licence Type: Licensed Representative - Responsible Officer Condition Added:


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For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: SUNG Wai Man, Eileen CE No.: APA343 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: HUANG Timothy C CE No.: APJ306 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: HUANG Timothy C CE No.: APJ306 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: HO Cheuk Hang, Ryan CE No.: APL761


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Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: WONG Mun Yee CE No.: APU633 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: CHAN Yan Ho, Leo CE No.: ARO469 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: CHAN Yan Ho, Leo CE No.: ARO469 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity


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CE Name: CHIA An-pei CE No.: ARP099 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: TAM Ho Yeung CE No.: ASZ119 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: TAM Ho Yeung CE No.: ASZ119 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: CHU Hon Kit CE No.: ATJ549 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity


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CE Name: LAM Yik Wa CE No.: AWH855 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: LAM Yuen Hei CE No.: AXF651 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: LIN Yujun CE No.: AYK934 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: LIN Yujun CE No.: AYK934 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),


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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: SHAMSUDDIN Doni CE No.: AZB289 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: MA Ying Mao Andrew CE No.: AZT117 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: QIAN Yejun CE No.: BAF050 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: QIAN Yejun CE No.: BAF050 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or


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(ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: HOU Changjie CE No.: BAG107 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: HOU Changjie CE No.: BAG107 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: LOK Chiu Chan CE No.: BBB171 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: ZHONG Huang CE No.: BDH767


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Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: ZHONG Huang CE No.: BDH767 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: REN Jie CE No.: BDR622 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: ZHANG Xiangbing CE No.: BGH429 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and


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(b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: ZHANG Xiangbing CE No.: BGH429 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: DENG William Shijun CE No.: BGT750 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: DENG William Shijun CE No.: BGT750 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: YIU Ngok Chung, Jacky CE No.: BGZ260 Licence Type: Licensed Representative - Responsible Officer


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Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: WANG Yufei CE No.: BGZ968 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: WANG Yufei CE No.: BGZ968 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: NG Yee Ki Aiki CE No.: BHU614 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity


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CE Name: NG Yee Ki Aiki CE No.: BHU614 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: XIE Yunqin CE No.: BJG869 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: LI Dan CE No.: BJJ371 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: LIN Xiangli CE No.: BJP018 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition.


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Condition Level: Type 9 Regulated Activity CE Name: LIN Xiangli CE No.: BJP018 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: TONG Cheuk Fu Jeffery CE No.: BLD317 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: ZHEN Xu CE No.: BLH877 Licence Type: Licensed Representative Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: LU LEI CE No.: BLT136 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is:


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(a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: SUN Yuejun CE No.: BNL060 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: SUN Yuejun CE No.: BNL060 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: FANG Wenhui CE No.: BNN921 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: FANG Wenhui CE No.: BNN921 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect:


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(i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: JIA Yuzhe CE No.: BNW202 Licence Type: Licensed Representative Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: LIU Honghui CE No.: BOJ742 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: LIU Honghui CE No.: BOJ742 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity


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CE Name: XU Weiyang CE No.: BOQ045 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: WONG Isabella CE No.: BOX064 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: LIN Langsi CE No.: BOZ971 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: SUN Fei CE No.: BPC802 Licence Type: Licensed Representative


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Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: ZHAO Zhijie CE No.: BPE393 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: ZHAO Zhijie CE No.: BPE393 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: WANG Guanzhu CE No.: BPH472 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 October 2020 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for


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Securities and Futures Intermediaries (LE) Paper 6 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity CE Name: RAEBSAMEN Urs CE No.: AVN544 Licence Type: Licensed Representative Condition Added: The licensee shall not carry out the regulated activity(ies) in Hong Kong for more than 30 days in each calendar year and shall not provide related services to any person other than a professional investor. The term "professional investor" is as defined in Part 1 of Schedule 1 to the Securities and Futures Ordinance but does not include any person of a class which is prescribed by the Securities and Futures (Professional Investor) Rules. Condition Level: Licence CE Name: REN Mengqi CE No.: BBR070 Licence Type: Licensed Representative Condition Removed: The licensee shall not carry out the regulated activity(ies) in Hong Kong for more than 30 days in each calendar year and shall at all times be accompanied by a licensed person in performing the regulated activity(ies) in Hong Kong. Condition Level: Licence CE Name: LIANG Jieyi CE No.: BIZ376 Licence Type: Licensed Representative Condition Removed: The licensee shall not carry out the regulated activity(ies) in Hong Kong for more than 30 days in each calendar year and shall at all times be accompanied by a licensed person in performing the regulated activity(ies) in Hong Kong. Condition Level: Licence CE Name: ZHANG Min CE No.: BKJ272 Licence Type: Licensed Representative Condition Removed: The licensee shall not carry out the regulated activity(ies) in Hong Kong for more than 30 days in each calendar year and shall at all times be accompanied by a licensed person in performing the regulated activity(ies) in Hong Kong. Condition Level: Licence


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CE Name: BO Shuk Chee CE No.: ACN969 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: CHAN Wai Man CE No.: ACL111 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 5 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 5 Regulated Activity CE Name: CHOW King Wai CE No.: BIG312 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CHOW King Wai CE No.: BIG312 Licence Type: Licensed Representative Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition.


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Condition Level: Type 1 Regulated Activity CE Name: CHOW King Wai CE No.: BIG312 Licence Type: Licensed Representative Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: CHOW King Wai CE No.: BIG312 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: FUNG Man Heng CE No.: BDN973 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: HO Cheuk Hang, Ryan CE No.: APL761 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and


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(b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: HUI Sheung Yin, Daniel CE No.: AGC425 Licence Type: Licensed Representative Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: KOO Wing Tat, Vincent CE No.: ACW766 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: LAYDON Frederick Tennyson CE No.: AFA237 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: NG Hong Yeung CE No.: AMH291 Licence Type: Licensed Representative Condition Removed: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients.


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Condition Level: Type 3 Regulated Activity CE Name: TSANG On Yee CE No.: ALI325 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: TSANG On Yee CE No.: ALI325 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: TUNG Chun Fai CE No.: ALQ217 Licence Type: Licensed Representative Condition Removed: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: TUNG Chun Fai CE No.: ALQ217 Licence Type: Licensed Representative Condition Removed: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: WANG Dongzhe CE No.: BNT132 Licence Type: Licensed Representative Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is:


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(a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: WONG Mun Yee CE No.: APU633 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 4 Regulated Activity CE Name: WONG Mun Yee CE No.: APU633 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 9 Regulated Activity CE Name: YIN Hongqiang CE No.: AWW354 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 6 Regulated Activity CE Name: YIN Hongqiang CE No.: AWW354 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or


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(ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 6 Regulated Activity CE Name: ZHOU Chen CE No.: BPD879 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 4 Regulated Activity CE Name: ZHOU Chen CE No.: BPD879 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 9 Regulated Activity

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