additions of licensed persons/registered institutions during 06

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Page 1 of 23 ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2021 CE Name CE No. Licence Type Types of Regulated Activity BC Asia Asset Management Limited BQN953 Licensed Corporation 1, 9 Capital Surpass Asset Management Limited BQN847 Licensed Corporation 4, 9 Honghu Best Global Family Office Limited BQR004 Licensed Corporation 1, 4, 9 Jetha Global Limited BRA295 Licensed Corporation 9 Macqueen Asset Management Limited BQT061 Licensed Corporation 4, 9 Qiaocheng (Asia) Asset Management Company Limited BQQ844 Licensed Corporation 4, 9 Qogir (Hong Kong) Limited BQS769 Licensed Corporation 1, 4, 9 SLTM (HK) Limited BQP455 Licensed Corporation 1, 4 Toroa Management (HK) Limited BQX053 Licensed Corporation 9 Zhonghui International Securities Limited BQS721 Licensed Corporation 1, 4 AGRAWAL Kunal AZC707 Licensed Representative 9 AU YEUNG Chi Keung BID775 Licensed Representative 1, 2, 4 AU YEUNG Ming Kwan BRG349 Licensed Representative 3 AU-YEUNG Yiu Wing BRE503 Licensed Representative 1, 4 BEAK Russell Stuart BOF484 Licensed Representative 9 BELAQSIR Ouijdane BRF760 Licensed Representative 1, 2 BHAUMIK Ananda Prasad AXV897 Licensed Representative 1, 4, 9 BI Runhan BRF106 Licensed Representative 1, 6 BU Quanzheng BRF576 Licensed Representative 1, 6 CAI Liyan BRF353 Licensed Representative 4, 9 CHAN Chi Nga BRF986 Licensed Representative 1 CHAN Chun Wai Davis BRF346 Licensed Representative 1 CHAN Chun Wing AML975 Licensed Representative 1 CHAN Chun Yan, Lionel BGN505 Licensed Representative 4, 5, 9 CHAN Ka Chun BNK737 Licensed Representative 1, 6 CHAN Kin Keung BRG046 Licensed Representative 1, 4 CHAN Kwok Hei BRD629 Licensed Representative 1 CHAN Lok Ho Jonathan BRE620 Licensed Representative 1, 6 CHAN Man Ha BRC066 Licensed Representative 1, 2 CHAN Mei Lin, May BRD917 Licensed Representative 9 CHAN Pak Yuen BRE876 Licensed Representative 1, 2 CHAN Shu Yu BRF754 Licensed Representative 1, 6 CHAN Stephen Yin Wai ACD021 Licensed Representative 9 CHAN Tsz Ying BLF852 Licensed Representative 4 CHAN Wai Kit Ken BRE748 Licensed Representative 9 CHAN Wai Nga, Christy AQG586 Licensed Representative 1, 4, 9 CHAN Yuen Sang ARJ583 Licensed Representative 1, 4, 9 CHAN YUK HON PEGGY ARL959 Licensed Representative 1 CHANG Ming Keung AFK570 Licensed Representative 1, 4 CHANG Yuan BRF107 Licensed Representative 1, 6 CHAUVEL Benjamin Yannick Pierre BKZ737 Licensed Representative 1, 2, 7 CHEN Ching Wen BRE488 Licensed Representative 1 CHEN David Shih-wei BLP963 Licensed Representative 1, 9 CHEN Gaoyuan BQC120 Licensed Representative 6 CHEN Haidi BRE720 Licensed Representative 9

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Page 1 of 23

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2021

CE Name CE No. Licence Type Types of Regulated Activity

BC Asia Asset Management Limited BQN953 Licensed Corporation 1, 9

Capital Surpass Asset Management Limited BQN847 Licensed Corporation 4, 9

Honghu Best Global Family Office Limited BQR004 Licensed Corporation 1, 4, 9

Jetha Global Limited BRA295 Licensed Corporation 9

Macqueen Asset Management Limited BQT061 Licensed Corporation 4, 9

Qiaocheng (Asia) Asset Management Company Limited BQQ844 Licensed Corporation 4, 9

Qogir (Hong Kong) Limited BQS769 Licensed Corporation 1, 4, 9

SLTM (HK) Limited BQP455 Licensed Corporation 1, 4

Toroa Management (HK) Limited BQX053 Licensed Corporation 9

Zhonghui International Securities Limited BQS721 Licensed Corporation 1, 4

AGRAWAL Kunal AZC707 Licensed Representative 9

AU YEUNG Chi Keung BID775 Licensed Representative 1, 2, 4

AU YEUNG Ming Kwan BRG349 Licensed Representative 3

AU-YEUNG Yiu Wing BRE503 Licensed Representative 1, 4

BEAK Russell Stuart BOF484 Licensed Representative 9

BELAQSIR Ouijdane BRF760 Licensed Representative 1, 2

BHAUMIK Ananda Prasad AXV897 Licensed Representative 1, 4, 9

BI Runhan BRF106 Licensed Representative 1, 6

BU Quanzheng BRF576 Licensed Representative 1, 6

CAI Liyan BRF353 Licensed Representative 4, 9

CHAN Chi Nga BRF986 Licensed Representative 1

CHAN Chun Wai Davis BRF346 Licensed Representative 1

CHAN Chun Wing AML975 Licensed Representative 1

CHAN Chun Yan, Lionel BGN505 Licensed Representative 4, 5, 9

CHAN Ka Chun BNK737 Licensed Representative 1, 6

CHAN Kin Keung BRG046 Licensed Representative 1, 4

CHAN Kwok Hei BRD629 Licensed Representative 1

CHAN Lok Ho Jonathan BRE620 Licensed Representative 1, 6

CHAN Man Ha BRC066 Licensed Representative 1, 2

CHAN Mei Lin, May BRD917 Licensed Representative 9

CHAN Pak Yuen BRE876 Licensed Representative 1, 2

CHAN Shu Yu BRF754 Licensed Representative 1, 6

CHAN Stephen Yin Wai ACD021 Licensed Representative 9

CHAN Tsz Ying BLF852 Licensed Representative 4

CHAN Wai Kit Ken BRE748 Licensed Representative 9

CHAN Wai Nga, Christy AQG586 Licensed Representative 1, 4, 9

CHAN Yuen Sang ARJ583 Licensed Representative 1, 4, 9

CHAN YUK HON PEGGY ARL959 Licensed Representative 1

CHANG Ming Keung AFK570 Licensed Representative 1, 4

CHANG Yuan BRF107 Licensed Representative 1, 6

CHAUVEL Benjamin Yannick Pierre BKZ737 Licensed Representative 1, 2, 7

CHEN Ching Wen BRE488 Licensed Representative 1

CHEN David Shih-wei BLP963 Licensed Representative 1, 9

CHEN Gaoyuan BQC120 Licensed Representative 6

CHEN Haidi BRE720 Licensed Representative 9

Page 2 of 23

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2021

CE Name CE No. Licence Type Types of Regulated Activity

CHEN Jiajie BRE591 Licensed Representative 1

CHEN Jing BRH979 Licensed Representative 1, 6

CHEN Junhao BRF543 Licensed Representative 6

CHEN Katy BRE774 Licensed Representative 1, 4, 6

CHEN Liren BRI108 Licensed Representative 1, 6

CHEN Nan Ding BRG967 Licensed Representative 1, 4

CHEN Nico BRF265 Licensed Representative 4

CHEN Peng BGG974 Licensed Representative 1, 4, 9

CHEN Pui Shan BRE504 Licensed Representative 1

CHEN Ruiting BRE652 Licensed Representative 1, 4, 9

CHEN Ting Yu BRE124 Licensed Representative 1, 4, 9

CHEN Wan Wen Angel BRF698 Licensed Representative 6

CHEN Xue BRF508 Licensed Representative 4

CHEN Yanhu AWJ173 Licensed Representative 1, 4, 9

CHEN Yanqi AYI422 Licensed Representative 4, 5, 9

CHEN Zhenhao BPR665 Licensed Representative 1, 4

CHENG Hang BRF147 Licensed Representative 1, 6

CHENG Hoi Yan BPI624 Licensed Representative 4

CHENG Hoi Yan BRF871 Licensed Representative 1, 2, 4, 5

CHENG Lai Ching BRD954 Licensed Representative 1, 2

CHENG Qiang BRE999 Licensed Representative 4

CHENG Yueyang BRE388 Licensed Representative 4, 5, 9

CHENG Yuwan BPY935 Licensed Representative 1

CHEUNG Ching Fung BES727 Licensed Representative 6

CHEUNG Chung Ling BRE758 Licensed Representative 1, 2

CHEUNG Foon BQD487 Licensed Representative 4, 9

CHEUNG Kam Shing, Terry AAK049 Licensed Representative 9

CHEUNG Kin Sang ARO503 Licensed Representative 1, 4

CHEUNG Man Yin BRD717 Licensed Representative 1, 4, 9

CHEUNG Tsz Hin BRF467 Licensed Representative 4

CHEUNG Tsz Hin, Aidan BRG018 Licensed Representative 6

CHEUNG Tsz Ying BRE023 Licensed Representative 1

CHIN Eugene BRE561 Licensed Representative 4

CHIN Sheung Ying ACE349 Licensed Representative 4

CHIU Chi Kam, Kenneth BHX079 Licensed Representative 1

CHIU Chong Lan BRF685 Licensed Representative 1

CHIU Tai Ying BRD485 Licensed Representative 1, 4, 9

CHOI Tsz Ho BRE225 Licensed Representative 1, 4

CHONG WEI CHIN BRC208 Licensed Representative 1, 4

CHOW Chi Hung BRC058 Licensed Representative 1, 4, 9

CHU Shun Kwan AYF587 Licensed Representative 4, 9

CHU Suk Nga BKC051 Licensed Representative 1, 4

CHU Yiu Fai BOI194 Licensed Representative 4, 9

CHUI Choi Fung BRF913 Licensed Representative 1

CHUI Oi Ming BRB796 Licensed Representative 1, 4

Page 3 of 23

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2021

CE Name CE No. Licence Type Types of Regulated Activity

CHUNG Hiu Lam BRG412 Licensed Representative 1

CHUNG Li Peng BPX712 Licensed Representative 1, 4, 9

CHUNG Nga Sze BRB142 Licensed Representative 1

CHUNG Shaun Kawamura BKD514 Licensed Representative 4, 9

CONG Rong BQW107 Licensed Representative 9

CUI Can BPM918 Licensed Representative 1, 6

CUI Zile BQV760 Licensed Representative 1, 6

DENG Yabin BRA565 Licensed Representative 4, 9

DERIPPE Yannick BRD783 Licensed Representative 1, 2

DI Wenqian BRG020 Licensed Representative 1, 4

DING Yiming BRH408 Licensed Representative 1, 4, 6

DONG Yixiao BRF583 Licensed Representative 1, 6

DONG Zhiru BRD963 Licensed Representative 1, 4, 6

DRZEWUCKI Paul BRE210 Licensed Representative 9

DU XIAOAN BRF103 Licensed Representative 4, 9

DUAN Mohao BNW282 Licensed Representative 1, 2

ECHARD Louis Germain Pierre Rene BRE143 Licensed Representative 1, 2

FAN Hoi Chi BCO597 Licensed Representative 1, 2, 4

FAN Xinyi BAX677 Licensed Representative 1

FAN Zhongyan BRF665 Licensed Representative 1, 4, 9

FANG Fang BLR664 Licensed Representative 1, 2

FANG Yibin BRE524 Licensed Representative 1, 4, 6

FANG yuan BRA669 Licensed Representative 1, 4, 9

FENG Xipeng BRF841 Licensed Representative 1, 4

FOK Pak Yu BFS078 Licensed Representative 1

FREDRICKSON Julia Jonni BRF688 Licensed Representative 1, 6

FU Chak BJL314 Licensed Representative 4, 9

FU Kafai Danny BRE640 Licensed Representative 9

FU Kaiming BRF304 Licensed Representative 1, 4

FU Kwok Luen BRE491 Licensed Representative 1

GAN Jiayao BRD665 Licensed Representative 4

GAN Tanhuan BRD477 Licensed Representative 4

GAO Jimmy Z BRI087 Licensed Representative 1, 6

GAO Wenchao BRH459 Licensed Representative 1, 6

GE Xiaorui BRE560 Licensed Representative 4

GU Tong BRD965 Licensed Representative 1

GUI Xiaohui BRC048 Licensed Representative 1, 6

GUO Langkun BRG102 Licensed Representative 1, 2

GUO Lina BRA497 Licensed Representative 9

GUO Miaomiao BRG478 Licensed Representative 1, 6

GUO Ning BNU923 Licensed Representative 4, 9

GUO Qi BRG966 Licensed Representative 1, 6

GUO Zixuan BRE224 Licensed Representative 1, 4, 6

GUPTA Gaurav BHK454 Licensed Representative 9

HA Byoungno BFV926 Licensed Representative 1, 2

Page 4 of 23

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2021

CE Name CE No. Licence Type Types of Regulated Activity

HAN Chunxiao BQT175 Licensed Representative 4

HAN Jiashi BRE367 Licensed Representative 1, 2

HAN Ting Chang BRB441 Licensed Representative 9

HAN Yining BRF160 Licensed Representative 1, 2

HAN Yuxin BRD962 Licensed Representative 1, 4, 6

HE Yan Fei BRF683 Licensed Representative 1, 9

HE Yuan BRB787 Licensed Representative 1, 4, 6

HE Zhishan BQO934 Licensed Representative 1, 6

HE Zhuohang BFB225 Licensed Representative 4, 9

HILGER Thomas BRE793 Licensed Representative 1, 4

HO Chun Kit BRF812 Licensed Representative 1, 4, 9

HO Sin Yi ADA785 Licensed Representative 4, 9

HO Siu Kong Don BRF772 Licensed Representative 1, 4

HO Wai King AGN325 Licensed Representative 1, 4

HO Wen Yu BRD880 Licensed Representative 1, 6

HO Zi Hao, Ivan BRF165 Licensed Representative 1, 4, 6

HU Jicong BRF083 Licensed Representative 1, 4

HU Qiusheng BRE134 Licensed Representative 6

HU Ting BRE433 Licensed Representative 1, 2, 4

HU Xinyi BRE260 Licensed Representative 1, 6

HU Xunyuan BRC220 Licensed Representative 4, 5

HUANG Chiang-Jen BRF005 Licensed Representative 1

HUANG Kaifa BRD535 Licensed Representative 1

HUANG Kenian AYT210 Licensed Representative 4, 9

HUANG Kevin Jia BRE341 Licensed Representative 1

HUANG Shao-po BRE674 Licensed Representative 1, 4, 9

HUANG Simin BRF507 Licensed Representative 6

HUANG Suzhen BRF196 Licensed Representative 2, 5

HUANG Yuxin BRD659 Licensed Representative 4

HUANG Zhenhao BRD598 Licensed Representative 1

HUANG Zhiji BRF750 Licensed Representative 1

HUI Cheuk Tung BRF805 Licensed Representative 4, 5, 9

HUI Wa Fung BRF020 Licensed Representative 1, 2

HUNG Fan Tak BRG409 Licensed Representative 1

HUNG yuen kwai BRD526 Licensed Representative 2

HURET Aubin Hubert Sylvain BRG468 Licensed Representative 4

IP Shuk Yan BRD898 Licensed Representative 1, 2

JI Zhaohui BRH469 Licensed Representative 1, 6

JIA Xiongwei BRF843 Licensed Representative 1, 4

JIANG Han BRF347 Licensed Representative 1, 4, 6

JIANG Yijun AOR112 Licensed Representative 9

JIANG Yizhi BRD494 Licensed Representative 1, 4, 6

JIANG Yue BRC036 Licensed Representative 1

JIANG Yun BRE741 Licensed Representative 1

JIN Yong BRG835 Licensed Representative 1, 6

Page 5 of 23

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2021

CE Name CE No. Licence Type Types of Regulated Activity

JUNG Nahyun BRE634 Licensed Representative 1, 2

KE Yanqing BRB688 Licensed Representative 1, 4

KHAN Usman Zeb BRF461 Licensed Representative 1, 2

KIKHARD Victoria BQB154 Licensed Representative 9

KIM Bradley Byungki AZC281 Licensed Representative 9

KIM Won Young BRE945 Licensed Representative 1, 6

KONG Hau Him Terence BQV685 Licensed Representative 9

KOU Yue BRH427 Licensed Representative 1, 4

KWAN King Tak BRE347 Licensed Representative 6

KWOK Hing Sum BRD451 Licensed Representative 2

KWOK Sze Lung BRG729 Licensed Representative 1, 4

KWOK Tin Pui BDQ196 Licensed Representative 1

LAI Chi Ka BRE645 Licensed Representative 2, 5

LAI Ka Ho BQZ886 Licensed Representative 1, 9

LAI Ki Ki BRG052 Licensed Representative 1, 4, 9

LAM Hang Yi BRG631 Licensed Representative 1

LAM Nga Fong BRD914 Licensed Representative 9

LAM Ping Fung BRE733 Licensed Representative 1, 2, 4, 6, 9

LAM Ping Kwan Alfred BRE596 Licensed Representative 1

LAM Ryan Pui Yu BJP988 Licensed Representative 1

LAM Siu Ting BRB841 Licensed Representative 1, 4, 9

LAM Wing Ki Vicky BRF621 Licensed Representative 1, 4, 9

LAU Hei Yeung BRF820 Licensed Representative 1, 2

LAU HIU CHING KATHY BRF561 Licensed Representative 9

LAU Tsz Hin Boris BRE375 Licensed Representative 1, 6

LAW Bui Laam BRF601 Licensed Representative 1, 4

LAW Clara Yue Ying BRF161 Licensed Representative 1

LAW Ka Chung BRE394 Licensed Representative 1, 2, 4, 9

LEE Chun Wing ARI622 Licensed Representative 1, 4

LEE Jaeyoon BRB495 Licensed Representative 1, 4

LEE Ka Lok Ricky BRF148 Licensed Representative 1

LEE Lok Fung, Rob BRF001 Licensed Representative 1, 2

LEE Ming Shui BBU799 Licensed Representative 1, 4

LEE Wai Man AWC512 Licensed Representative 1, 4

LEE Yuk Kuen AGL365 Licensed Representative 1, 4

LEUNG Hei Lim BRE753 Licensed Representative 1

LEUNG Joey Ka-yu BRF143 Licensed Representative 1, 6

LEUNG Man Ki BRF172 Licensed Representative 1, 4

LI Chao BRI228 Licensed Representative 1, 6

LI Haolin BRI224 Licensed Representative 1, 6

LI Ho Wai BRF439 Licensed Representative 1

LI Jinyu BRF998 Licensed Representative 1, 4, 6

LI Jinzhe BRA594 Licensed Representative 4

LI Ka Yui BKA760 Licensed Representative 9

LI Kai BRD789 Licensed Representative 1, 4, 6

Page 6 of 23

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2021

CE Name CE No. Licence Type Types of Regulated Activity

LI Liangdianer BRD923 Licensed Representative 1, 4, 6

LI Liwen AZV309 Licensed Representative 4, 5, 9

LI Ming BQW734 Licensed Representative 1, 4, 9

LI Na BRF993 Licensed Representative 1, 4

LI Qian ARI666 Licensed Representative 1, 4, 5, 9

LI Qiming BNY279 Licensed Representative 4, 9

LI Qingyang BRF407 Licensed Representative 1, 6

LI Runtao BRD676 Licensed Representative 1, 4

LI Sha BRG287 Licensed Representative 9

LI Shiwen BRG963 Licensed Representative 1, 4

LI Shuonan BER348 Licensed Representative 1

LI Siqi BRF768 Licensed Representative 1, 4, 9

LI Siyu BRB775 Licensed Representative 1, 4, 9

LI Tak Shing BRG025 Licensed Representative 1

LI Tianyao BRF321 Licensed Representative 9

LI Tsun Tat BRD487 Licensed Representative 4

LI Wing Ki BRE700 Licensed Representative 1, 4, 9

LI Xiaopeng BRG480 Licensed Representative 1, 2

LI Xuelai BRH417 Licensed Representative 1, 4

LI Yizhang BRD932 Licensed Representative 1, 6

LI Yuen BRE506 Licensed Representative 1, 6

LI Yujie BRG962 Licensed Representative 1, 4

LI Zhongjin BRD669 Licensed Representative 1, 4, 6

LI Zhongsheng BRH480 Licensed Representative 1, 6

LI Zipeng BRF864 Licensed Representative 4

LIANG Ying BNA785 Licensed Representative 1

LIN Junbang BRG529 Licensed Representative 1, 4, 6

LIN Qianye BRH815 Licensed Representative 1, 4

LIN Yangliu BRA423 Licensed Representative 4, 9

LIN Zifan BRH305 Licensed Representative 9

LIU Da BGI024 Licensed Representative 4

LIU Jingshi BRG965 Licensed Representative 1, 6

LIU Lixin BQU980 Licensed Representative 1, 4

LIU Mingjie BRB463 Licensed Representative 1

LIU Qi BRF979 Licensed Representative 4, 9

LIU Yifan BRE987 Licensed Representative 9

LIU Yishan BHK595 Licensed Representative 9

LIU Yixiao BRF035 Licensed Representative 1, 4

LIU Yunpeng BRG479 Licensed Representative 1, 6

LIU Zhengning BRF443 Licensed Representative 1, 4

LIU Zhize BRD895 Licensed Representative 1, 6

LO Chi Chiu, Philip ALK260 Licensed Representative 1, 4

LO Man Hon Bryan BMO103 Licensed Representative 1

LONG Fei ARI079 Licensed Representative 1

LOU Yuhan BMI892 Licensed Representative 1, 4, 9

Page 7 of 23

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2021

CE Name CE No. Licence Type Types of Regulated Activity

LU Fan BRH423 Licensed Representative 1, 6

LU Hao BRB543 Licensed Representative 4

LU Yiqin BRD960 Licensed Representative 9

LU Yuedan BRF663 Licensed Representative 1, 4, 9

LUI Chun Lok BRG829 Licensed Representative 1

LUI Thomas Ting Ching AJL908 Licensed Representative 1, 2

LUN Wai Ho, Joseph AOU493 Licensed Representative 1, 6

LUO Wei BRE724 Licensed Representative 1, 4, 6

LYU Tong BRF824 Licensed Representative 1, 6

MA Chuang BRF027 Licensed Representative 9

MA Hongyu BRF088 Licensed Representative 1, 4, 6

MA Ka Wai BRF164 Licensed Representative 1, 2

MAI Yingyi BRG097 Licensed Representative 1

MAK Hui Ki BRF222 Licensed Representative 4

MAK Oi Mei AND944 Licensed Representative 1

MAK Tsz Yan BQG432 Licensed Representative 1, 4, 9

MCLAUGHLAN James Douglas Edwards BRA948 Licensed Representative 1, 4, 6

MCNEE Dugald Richard BDQ529 Licensed Representative 1

MIAO Xi BQH325 Licensed Representative 6

MOJEIKO Mattvei Ivan Vladimirovich BRF996 Licensed Representative 1, 6

MOK Siu Lun, Alan BRC176 Licensed Representative 1

NG Chi Yui BRB159 Licensed Representative 10

NG Ching Man BQW730 Licensed Representative 1

NG Chui Yi BRF199 Licensed Representative 1

NG Hiu Wa BRF869 Licensed Representative 4, 9

NG Hoi Yin BRG575 Licensed Representative 1

NG King Hei Arthur BRD423 Licensed Representative 1, 4, 6

NG Sze Man AMN571 Licensed Representative 1, 4, 9

NG Wing Name BRE813 Licensed Representative 1, 4

NG Yat Wah, Christian BRF991 Licensed Representative 1

NI Cheng BFR292 Licensed Representative 4, 9

NISHIMURA Shuichi AMR969 Licensed Representative 1, 4, 6

NIU Rui BRI105 Licensed Representative 1, 6

OR Yick Yi Hydon BRB469 Licensed Representative 1, 6

OU Ming BRB581 Licensed Representative 1, 4, 6

PAN Lincoln Lin Feng AVM573 Licensed Representative 9

PAN Wei BRI221 Licensed Representative 1, 2, 4

PANG Cheuk Yiu BRE637 Licensed Representative 1, 2

PANG Chi Ling BNZ316 Licensed Representative 1, 4, 9

PARK Eojin BRE680 Licensed Representative 1, 4

PARK Jun Hyoung BQW606 Licensed Representative 1, 2

PENG Hu BRE806 Licensed Representative 1, 4

PENG Yun BRC034 Licensed Representative 4, 9

PIEMPREECHA Sophie Ann BRD700 Licensed Representative 9

PNG Zhiheng BRB615 Licensed Representative 1, 6

Page 8 of 23

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2021

CE Name CE No. Licence Type Types of Regulated Activity

POON Shing Chi BKH986 Licensed Representative 9

QI Ding BRF842 Licensed Representative 1, 4

QI Jiali BNI023 Licensed Representative 9

QI Yujie BNJ553 Licensed Representative 4

QIAO Yu BRH411 Licensed Representative 1, 6

QIU Xiaofeng BRE717 Licensed Representative 1, 4

QU Jianfeng BRA595 Licensed Representative 1, 4, 6

QU Jiaqi BGH782 Licensed Representative 6

QUAN Yiyu BRF029 Licensed Representative 4

RAJAMANI Prabhu BRE657 Licensed Representative 1, 2

RAO Yajie BRB702 Licensed Representative 4, 9

REILLY Robert Joseph AXF221 Licensed Representative 1, 4

REN Ying BRF832 Licensed Representative 1, 4, 6

RODRIGUES Peter John ABY942 Licensed Representative 1, 4

RYU Hyung Seok BRE843 Licensed Representative 6

SADLER Emma BRE817 Licensed Representative 1, 2

SAMBATUR Hemant BJW956 Licensed Representative 9

SHAO Yongheng BRE385 Licensed Representative 1, 9

SHEN Mujun BRE192 Licensed Representative 4

SHI Anan BRH044 Licensed Representative 1, 4

SHI Ming BRF985 Licensed Representative 6

SHI Yan BRH467 Licensed Representative 1, 6

SHU Delu BRE725 Licensed Representative 1, 4, 6

SHUM Chun Kit BRF613 Licensed Representative 1, 2

SIN Ying Yeung BRF748 Licensed Representative 1, 4, 9

SIRAJ-DINE Sami BRD713 Licensed Representative 9

SO Ka Ying BRD707 Licensed Representative 1

SPRANGERS Arnoud Jan BQB271 Licensed Representative 1, 4, 9

SU Nan BRF357 Licensed Representative 1, 4, 6

SUN Adam Gong Bo BRD637 Licensed Representative 6

SUN Bihui BRG094 Licensed Representative 1, 2

SUN Fang BGB193 Licensed Representative 1, 6

SUN Jixuan BRI226 Licensed Representative 1, 6

SUNG Shing Hin BRG466 Licensed Representative 4

TAI Ka Wai BRE452 Licensed Representative 1, 4

TAI Kwan Tat BBL046 Licensed Representative 1, 4, 9

TAN Su Wen BNL477 Licensed Representative 2, 5

TANG Lai Wun BRD504 Licensed Representative 1, 6

TANG Qin BRD393 Licensed Representative 1, 4

TANG Zhan AYS459 Licensed Representative 1, 4, 9

TANG ZIJIE BRF546 Licensed Representative 4, 9

TAO Ye BRF584 Licensed Representative 1, 4

TEI Mei Lun Miranda ALV256 Licensed Representative 4, 9

THEW Shao Chuan BRE932 Licensed Representative 6

TIAN Mengsui BPJ174 Licensed Representative 4, 9

Page 9 of 23

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2021

CE Name CE No. Licence Type Types of Regulated Activity

TIAN Shijia BRD957 Licensed Representative 4

TONG Kai Cheong BRF325 Licensed Representative 1, 4

TONG Ling Lai BRF833 Licensed Representative 4, 9

TONG Wai Shun Wilson BRF870 Licensed Representative 6

TONG Yu Ning Nancy BRB840 Licensed Representative 1

TSE Sunny Chi Hang BRG362 Licensed Representative 1, 6

TSOI Chi Kun ABH186 Licensed Representative 1, 4

TSOI Chong Yu AOS251 Licensed Representative 1, 2

TU Hechang BFW345 Licensed Representative 1, 4, 9

TUNG Bik Hei Brett BRG755 Licensed Representative 1, 4

WALKER Daniel James BRE411 Licensed Representative 1, 4, 6

WAN Jia BRF906 Licensed Representative 1, 4, 6

WAN So Yee BRD631 Licensed Representative 1

WANG Ce BRE799 Licensed Representative 1

WANG Chao BRH978 Licensed Representative 1, 6

WANG Chaonan BRD959 Licensed Representative 1, 4, 6

WANG Chen BJC199 Licensed Representative 1, 6

WANG Dan BLO228 Licensed Representative 4

WANG Danqi BIG992 Licensed Representative 4, 9

WANG Jing BRF956 Licensed Representative 1, 2, 4

WANG Jinghua BRE344 Licensed Representative 1, 2, 7

WANG Liaojun BRH465 Licensed Representative 1, 6

WANG Luyao BQW728 Licensed Representative 9

WANG Rui BRC008 Licensed Representative 1, 4, 5, 9

WANG Ruijia BRE747 Licensed Representative 1

WANG Xiaohan BRF997 Licensed Representative 4, 9

WANG YILIN BRE263 Licensed Representative 1, 4

WANG Yixiong BRG968 Licensed Representative 1, 2, 4

WANG Yuhuan BRI227 Licensed Representative 1, 6

WANG Yunxiang BRG725 Licensed Representative 1

WANG Zeren BRA549 Licensed Representative 6

WANG Zhan BDW401 Licensed Representative 10

WEI Qinghua BRH454 Licensed Representative 1, 6

WEINER Tobias Alexander BQY962 Licensed Representative 6

WENG Jianqun BQQ101 Licensed Representative 1, 4, 9

WINTER Jonathan Marc Edward BQV860 Licensed Representative 1, 4, 9

WONG Cheuk Hin BRA887 Licensed Representative 4

WONG Chun Nang BRI229 Licensed Representative 1, 4

WONG Chun, Rex BRG047 Licensed Representative 2

WONG Chung Sing BRB405 Licensed Representative 6

WONG Hak Wing, Valerie ALL103 Licensed Representative 9

WONG Ho Yin BNR972 Licensed Representative 4, 9

WONG Ka Hang AXF037 Licensed Representative 1, 2

WONG Ka Kit BQP221 Licensed Representative 1, 4, 9

WONG Ka Ming, Alan ARQ657 Licensed Representative 9

Page 10 of 23

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2021

CE Name CE No. Licence Type Types of Regulated Activity

WONG Kim Cheong BGP476 Licensed Representative 1, 4, 9

WONG Ming Po BRF089 Licensed Representative 1, 4

WONG Wai Shing BAX111 Licensed Representative 1

WONG Yuk Yiu BRB010 Licensed Representative 6

WORTHINGTON-WILMER Morgan Phillippa N. BRA773 Licensed Representative 4, 9

WU Chi Fu BRG532 Licensed Representative 1

WU Jiang BRF266 Licensed Representative 1

WU Mingyang BRG837 Licensed Representative 1, 6

WU Shuang BRE785 Licensed Representative 1, 4, 6

WU TONG BLI953 Licensed Representative 9

WU Xinyu BRD846 Licensed Representative 1, 2

WU Yangjiajun BRG477 Licensed Representative 1, 6

WU Yichen BRB541 Licensed Representative 1, 2, 4

WU Yijie BRD656 Licensed Representative 4

XIANG Amanda BRD614 Licensed Representative 4, 9

XIAO Qu BRF352 Licensed Representative 1, 4, 6

XIAO Xiao BKG598 Licensed Representative 1, 6

XIE Biwei BRE259 Licensed Representative 1, 4, 9

XIE Mengqi BRB786 Licensed Representative 1, 4, 6

XIE Peiyi BQW106 Licensed Representative 9

XIE Yunang BRG543 Licensed Representative 1, 2

XIN Yuyang BRH479 Licensed Representative 1, 6

XING Hongwei BQM938 Licensed Representative 1, 4

XU Joshua BRF305 Licensed Representative 1, 2

XU Kaixian BRF006 Licensed Representative 1

XU Lei BJU776 Licensed Representative 9

XU Lei BRE780 Licensed Representative 9

XU Tao BRA672 Licensed Representative 4

XU Xiaolan BAB245 Licensed Representative 1

XU YA BRF675 Licensed Representative 1

XU Yefeng BRA671 Licensed Representative 4

XU Zhenfei BRG964 Licensed Representative 1, 6

XUE Dai BRF109 Licensed Representative 1, 6

YAN Chiu Wai BRG051 Licensed Representative 1, 2

YAN Sihua BRI107 Licensed Representative 1, 6

YANG Clinton Victor ALI750 Licensed Representative 4, 9

YANG Deyuan BRG726 Licensed Representative 1, 6

YANG FAN BRD819 Licensed Representative 4, 9

YANG HUAI WEI BRF223 Licensed Representative 1, 4

YANG Juncheng BRD670 Licensed Representative 1, 4, 6

YANG Liuyang BRE454 Licensed Representative 1, 4

YANG SI BQQ856 Licensed Representative 1, 4

YANG Xuping ALO476 Licensed Representative 4, 9

YANG Zhenhua BRA481 Licensed Representative 4

YAO Mingjun BRF944 Licensed Representative 1, 4, 6

Page 11 of 23

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2021

CE Name CE No. Licence Type Types of Regulated Activity

YAO Qian BQV899 Licensed Representative 9

YAU Tsz Hin BRG595 Licensed Representative 6

YE Qianyuan BDY369 Licensed Representative 1, 4

YE Xinyi BRG841 Licensed Representative 4

YEN Jason James AFS525 Licensed Representative 1

YEUNG Chi Hei BRE749 Licensed Representative 9

YEUNG King Shing BRG068 Licensed Representative 1, 4, 9

YEUNG Ming Yan BRB338 Licensed Representative 1, 4

YEUNG See See Cecilia BRD943 Licensed Representative 1, 4

YIN Huiwei BRF104 Licensed Representative 1, 4

YIN Jie BRD479 Licensed Representative 1, 4, 6

YIP Chun Kuen, Eddy AQP744 Licensed Representative 1, 4

YIU Yan Ki BGQ377 Licensed Representative 9

YOSHIHISA Yuki BRA659 Licensed Representative 9

YU Ka Chun BRE302 Licensed Representative 1, 4

YU Xinli BFL253 Licensed Representative 4

YUEN Chung Tai BRE342 Licensed Representative 4

YUEN Kei Yan Steffanie AVP161 Licensed Representative 1, 4, 9

YUEN Lung Hin BEX963 Licensed Representative 1, 6

YUEN Wing Lam BRE118 Licensed Representative 1, 6

ZAMFIR Michael BRF391 Licensed Representative 1, 2

ZENG Jingke BRE713 Licensed Representative 1, 4

ZHANG Binghao BRF108 Licensed Representative 1, 6

ZHANG Chuandong ATS050 Licensed Representative 1, 4, 9

ZHANG He BRE372 Licensed Representative 1, 6

ZHANG Jiajun BRB336 Licensed Representative 1, 6

ZHANG Jianke BRG836 Licensed Representative 1, 6

ZHANG Jiarong BRE392 Licensed Representative 1, 9

ZHANG Kaiyi BOC395 Licensed Representative 1, 2, 4

ZHANG Ming Min BGB214 Licensed Representative 4, 9

ZHANG Qingran BRH431 Licensed Representative 1, 4, 6

ZHANG Ruiyang BRD908 Licensed Representative 1, 6

ZHANG Simin BRH977 Licensed Representative 1, 6

ZHANG Tai BRD837 Licensed Representative 1, 4, 6

ZHANG Xiaohan BNI542 Licensed Representative 1, 6

ZHANG Xiaoyu BRE695 Licensed Representative 1, 4, 9

ZHANG Ya Xiong BFD815 Licensed Representative 1, 6

ZHANG Yiang BIJ330 Licensed Representative 4, 9

ZHANG Yiming BHQ351 Licensed Representative 1, 4, 6

ZHANG Yue BRE376 Licensed Representative 9

ZHANG Yuxiang BRF782 Licensed Representative 1, 4, 6

ZHANG Zhiyang BRC251 Licensed Representative 1

ZHAO Dongtian BRE340 Licensed Representative 1, 4, 6

ZHAO Hairui BRH422 Licensed Representative 1, 6

ZHAO Meng BPW912 Licensed Representative 1, 4, 6

Page 12 of 23

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2021

CE Name CE No. Licence Type Types of Regulated Activity

ZHAO Xin BRH478 Licensed Representative 1, 4

ZHAO Xuesi BRG456 Licensed Representative 1, 2, 9

ZHAO Yida BRG427 Licensed Representative 1

ZHAO Yun BRH453 Licensed Representative 1, 2, 4

ZHENG Lang BOF945 Licensed Representative 1, 4

ZHENG Runze BEJ782 Licensed Representative 4, 9

ZHENG Yeteng BQM383 Licensed Representative 1

ZHENG Yuchi BRF442 Licensed Representative 1, 4

ZHONG Yulin BRB731 Licensed Representative 4

ZHOU Guanyu BRF183 Licensed Representative 1, 2

ZHOU Hao BRG727 Licensed Representative 1, 6

ZHOU Jiacheng BRD961 Licensed Representative 1, 4, 6

ZHOU Jiang BRA596 Licensed Representative 1, 4, 6

ZHOU Ke Jun BRC020 Licensed Representative 1, 4, 5, 9

ZHOU Verona BRE339 Licensed Representative 1, 4, 6

ZHOU Yongliang BRE612 Licensed Representative 1, 9

ZHOU Yu BRH811 Licensed Representative 1, 6

ZHOU Yuelang BRF444 Licensed Representative 1, 4

ZHOU Zhenli BJX323 Licensed Representative 4, 5, 9

ZHU Aiyun BRB417 Licensed Representative 1, 4, 5, 9

ZHU Hongyi BRF551 Licensed Representative 1, 6

ZHU Hui BRA597 Licensed Representative 1, 4, 6

ZHU Tingyao AZS136 Licensed Representative 4, 9

ZHU Wangjia BRG192 Licensed Representative 1, 2, 4

ZHU Xingzhu BRE590 Licensed Representative 1, 2

ZHU Yueming BRG714 Licensed Representative 1, 4, 6

ZHUANG MENGYAO BRE676 Licensed Representative 9

ZOU Shuo BRE775 Licensed Representative 9

ZU Liunan BRD913 Licensed Representative 1

CHAN Cheuk Yiu AVI421 Licensed Representative - Responsible Officer 4, 9

CHAN Chi Keung ARJ968 Licensed Representative - Responsible Officer 1, 4, 9

CHAN Hing Wah AET272 Licensed Representative - Responsible Officer 4, 9

CHAN Pui Yi AUM181 Licensed Representative - Responsible Officer 4, 9

CHAN Ramand Wai Ming ANS053 Licensed Representative - Responsible Officer 4, 9

CHENG Man Pan AHC605 Licensed Representative - Responsible Officer 4, 9

CHEUNG Ka Wong, Henry AEX566 Licensed Representative - Responsible Officer 3

DANTHI Karan Deepak BRA298 Licensed Representative - Responsible Officer 9

FONG Ka Wing, Andrew AMW761 Licensed Representative - Responsible Officer 9

HAO Kenneth Yeh-Kang BQQ069 Licensed Representative - Responsible Officer 1, 4

HINDE David John BQN967 Licensed Representative - Responsible Officer 1, 9

HO Kwong Kiu APU675 Licensed Representative - Responsible Officer 1, 4, 9

IP Wai Lun, William AEK747 Licensed Representative - Responsible Officer 1, 6

JIANG Yuanzhi AVJ206 Licensed Representative - Responsible Officer 4, 9

LAU Fu Man AMI200 Licensed Representative - Responsible Officer 1, 9

LEE Christopher Fai Man ACW239 Licensed Representative - Responsible Officer 9

Page 13 of 23

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2021

CE Name CE No. Licence Type Types of Regulated Activity

LEUNG Mei King Maggie ATL473 Licensed Representative - Responsible Officer 1, 2

LI Wenjing AWZ394 Licensed Representative - Responsible Officer 9

LI Yingqi AOS126 Licensed Representative - Responsible Officer 1, 4

LI Zijie BRB435 Licensed Representative - Responsible Officer 9

LIANG Zheng Jie AAH546 Licensed Representative - Responsible Officer 1, 4, 9

LIN Zheming BJU533 Licensed Representative - Responsible Officer 9

LIU Yan BJY422 Licensed Representative - Responsible Officer 1, 4, 9

LORD Rachel ADQ542 Licensed Representative - Responsible Officer 1, 2, 4, 6, 9

MAN Wing Pong AHC716 Licensed Representative - Responsible Officer 4, 9

PU Jingsu BJO694 Licensed Representative - Responsible Officer 1, 4, 9

SHEN Jinzhou BQQ958 Licensed Representative - Responsible Officer 4, 9

SONG Rong BRD832 Licensed Representative - Responsible Officer 1, 4, 6

SULLIVAN Andrew Michael AEV843 Licensed Representative - Responsible Officer 1

TONG Wing Sze, Mimi ABE943 Licensed Representative - Responsible Officer 9

WONG Chi Ling ACG593 Licensed Representative - Responsible Officer 1, 2

WONG Chi Ming AYK887 Licensed Representative - Responsible Officer 9

WONG Lai Yue AFE038 Licensed Representative - Responsible Officer 1, 6

WONG Ying Kit AWH541 Licensed Representative - Responsible Officer 4, 9

XU Qing BCS290 Licensed Representative - Responsible Officer 9

YANG Qi AXF377 Licensed Representative - Responsible Officer 4, 9

YEUNG Sin Chor, Jason AFW708 Licensed Representative - Responsible Officer 1, 4, 9

AGARWAL Anand ASL813 Licensed Representative (Provisional Licence) 1, 2

AHN Boyoung BRG539 Licensed Representative (Provisional Licence) 1, 6

ANSTEY Joshua Isaac BRG093 Licensed Representative (Provisional Licence) 1, 4, 6

ARORA Roopali BRG202 Licensed Representative (Provisional Licence) 1

AU Chun Kit Max BRH094 Licensed Representative (Provisional Licence) 1, 2

AU YEUNG Chi Keung BID775 Licensed Representative (Provisional Licence) 1, 2, 4

BANYATPIYAPHOD Nadanai BRH460 Licensed Representative (Provisional Licence) 1, 4, 9

BHAUMIK Ananda Prasad AXV897 Licensed Representative (Provisional Licence) 1, 4, 9

BIAN Zhongling BRI816 Licensed Representative (Provisional Licence) 1, 4

BOMBARDIERI Thomas Pierre BRF326 Licensed Representative (Provisional Licence) 1, 2, 7

BOULMIER Thomas Andre Philippe BRE743 Licensed Representative (Provisional Licence) 1, 2, 7

BURDIS James AUX142 Licensed Representative (Provisional Licence) 1, 4, 9

CAI Jiawei BPR464 Licensed Representative (Provisional Licence) 1, 6

CAO Ziyu BRH680 Licensed Representative (Provisional Licence) 6

CHAN Chiu Kam BRJ315 Licensed Representative (Provisional Licence) 2

CHAN Chiu Kit BRG201 Licensed Representative (Provisional Licence) 1

CHAN Christy BHQ079 Licensed Representative (Provisional Licence) 1, 4

CHAN Herbert BRG820 Licensed Representative (Provisional Licence) 1, 4, 9

CHAN Hok Lun BRI555 Licensed Representative (Provisional Licence) 1, 4, 9

CHAN Kim Sing BRG294 Licensed Representative (Provisional Licence) 1

CHAN Kin Keung BRG046 Licensed Representative (Provisional Licence) 1, 4

CHAN Oi Lam BRH084 Licensed Representative (Provisional Licence) 1

CHAN Sau Li, Justin BRG651 Licensed Representative (Provisional Licence) 4

CHAN Sze Man BRI057 Licensed Representative (Provisional Licence) 1

Page 14 of 23

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2021

CE Name CE No. Licence Type Types of Regulated Activity

CHAN Wai Kit, Winkins AQD954 Licensed Representative (Provisional Licence) 1, 2

CHAN Yik Chun BRH063 Licensed Representative (Provisional Licence) 1, 2

CHANG Eric AOZ110 Licensed Representative (Provisional Licence) 1

CHAWLA Ram-raj Robert BOP163 Licensed Representative (Provisional Licence) 9

CHEN Fengqiao BRI331 Licensed Representative (Provisional Licence) 1, 4, 6

CHEN Hao BRH953 Licensed Representative (Provisional Licence) 1, 4, 9

CHEN Haoxiu BRG475 Licensed Representative (Provisional Licence) 1

CHEN Jianye BRH314 Licensed Representative (Provisional Licence) 1, 4, 6

CHEN Jing BRH979 Licensed Representative (Provisional Licence) 1, 6

CHEN Katy BRE774 Licensed Representative (Provisional Licence) 1, 4, 6

CHEN Liren BRI108 Licensed Representative (Provisional Licence) 1, 6

CHEN Naiyuan BNR281 Licensed Representative (Provisional Licence) 1, 6

CHEN Nan Ding BRG967 Licensed Representative (Provisional Licence) 1, 4

CHEN Peng BGG974 Licensed Representative (Provisional Licence) 1, 4, 9

CHEN Shu AYP960 Licensed Representative (Provisional Licence) 1

CHEN Xi BRG672 Licensed Representative (Provisional Licence) 1, 4, 6

CHEN Yifang BRG670 Licensed Representative (Provisional Licence) 4

CHEN Yilan BRI101 Licensed Representative (Provisional Licence) 6

CHEN Yuxin BRH526 Licensed Representative (Provisional Licence) 6

CHEN Zhu BLO224 Licensed Representative (Provisional Licence) 4

CHENG Hoi Yan BRF871 Licensed Representative (Provisional Licence) 1, 2, 4, 5

CHENG Jiaqi BRI452 Licensed Representative (Provisional Licence) 1, 2, 4

CHIN Eugene BRE561 Licensed Representative (Provisional Licence) 4

CHING Jia Lin Carolyn BRI694 Licensed Representative (Provisional Licence) 4

CHING Kerry Kim Wai AFF128 Licensed Representative (Provisional Licence) 1, 4, 9

CHOI Ka Ki Claudia BRI249 Licensed Representative (Provisional Licence) 1, 2

CHOI Wing Yi BEN508 Licensed Representative (Provisional Licence) 4, 9

CHOI Yan Ni Athena BRG749 Licensed Representative (Provisional Licence) 1

CHOMEL Benjamin, Guy ATI165 Licensed Representative (Provisional Licence) 2

CHU Kam Hau BBM865 Licensed Representative (Provisional Licence) 4, 9

CHU Man Ting, Melody BMO920 Licensed Representative (Provisional Licence) 9

CHU Shun Wang Nicky BRH981 Licensed Representative (Provisional Licence) 1, 4

CHUNG Hiu Lam BRG412 Licensed Representative (Provisional Licence) 1

CHUNG Wai Lam BRG571 Licensed Representative (Provisional Licence) 1, 4, 5, 9

CONG Rong BQW107 Licensed Representative (Provisional Licence) 9

DAI Letian BHP288 Licensed Representative (Provisional Licence) 9

DAI Xiaodong BRI174 Licensed Representative (Provisional Licence) 1, 6

DEE Christopher Graeme BIN402 Licensed Representative (Provisional Licence) 9

DING Jinping BRJ147 Licensed Representative (Provisional Licence) 1, 6

DING Yiming BRH408 Licensed Representative (Provisional Licence) 1, 4, 6

DU Shuping BRI456 Licensed Representative (Provisional Licence) 1, 6

ESCHER DWIVEDI Yolande Monika BNL350 Licensed Representative (Provisional Licence) 1, 4

FAGAN Roseanna Mariette BRI542 Licensed Representative (Provisional Licence) 1, 2

FAN Guangmao BRI799 Licensed Representative (Provisional Licence) 1, 6

FAN Rong BRG839 Licensed Representative (Provisional Licence) 10

Page 15 of 23

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2021

CE Name CE No. Licence Type Types of Regulated Activity

FAN You BRI789 Licensed Representative (Provisional Licence) 1, 4

FEBO Christopher Vincenzo BRI135 Licensed Representative (Provisional Licence) 1, 2, 7

FENG Fan BRG481 Licensed Representative (Provisional Licence) 1, 4, 9

FENG Tailai BRH481 Licensed Representative (Provisional Licence) 1, 6

FENG Xiao BRJ137 Licensed Representative (Provisional Licence) 4

FENG Xipeng BRF841 Licensed Representative (Provisional Licence) 1, 4

FENG Yang BRH670 Licensed Representative (Provisional Licence) 1, 6

FREDRICKSON Julia Jonni BRF688 Licensed Representative (Provisional Licence) 1, 6

FUNG Hao Chuen, David AEE776 Licensed Representative (Provisional Licence) 4, 9

GAO Jimmy Z BRI087 Licensed Representative (Provisional Licence) 1, 6

GAO Li AZO325 Licensed Representative (Provisional Licence) 1, 4, 6

GAO Wenchao BRH459 Licensed Representative (Provisional Licence) 1, 6

GAUDET Florian BRH943 Licensed Representative (Provisional Licence) 1, 2

GE Junxiao BRH646 Licensed Representative (Provisional Licence) 4

GONG Wenwan BRF858 Licensed Representative (Provisional Licence) 1, 4

GONG Zhuo BRI327 Licensed Representative (Provisional Licence) 1, 2, 4

GU Biyi BRH075 Licensed Representative (Provisional Licence) 1, 4, 9

GUI Yijie BRH484 Licensed Representative (Provisional Licence) 1, 2

GUO Langkun BRG102 Licensed Representative (Provisional Licence) 1, 2

GUO Qi BRG966 Licensed Representative (Provisional Licence) 1, 6

HA Byoungno BFV926 Licensed Representative (Provisional Licence) 1, 2

HAN Jichuan BRH485 Licensed Representative (Provisional Licence) 1, 4, 6

HAN Xu BRI455 Licensed Representative (Provisional Licence) 1, 6

HANN Sai Wunn Max BOA911 Licensed Representative (Provisional Licence) 1, 2, 4, 5

HE Shuai BCH499 Licensed Representative (Provisional Licence) 9

HE Taihong BRI328 Licensed Representative (Provisional Licence) 1, 6

HE Yan Fei BRF683 Licensed Representative (Provisional Licence) 1, 9

HEAH Yen Ning Genevieve BRD823 Licensed Representative (Provisional Licence) 1

HO Wing Hei BRI552 Licensed Representative (Provisional Licence) 1, 2

HO Zi Hao, Ivan BRF165 Licensed Representative (Provisional Licence) 1, 4, 6

HONG Sang Jin BIW989 Licensed Representative (Provisional Licence) 1

HOU Jie BRI004 Licensed Representative (Provisional Licence) 4

HOU Youfei BRH078 Licensed Representative (Provisional Licence) 1, 2

HU Fanshi BRI109 Licensed Representative (Provisional Licence) 1, 2

HU GUANXUE BRG918 Licensed Representative (Provisional Licence) 1, 2, 4

HU Jinyao BRH669 Licensed Representative (Provisional Licence) 1, 4

HU YINGZHENG BRG270 Licensed Representative (Provisional Licence) 1, 4

HUANG Guohong BRI818 Licensed Representative (Provisional Licence) 1, 4, 6

HUANG Haoyan BRH389 Licensed Representative (Provisional Licence) 1, 6

HUANG Li Shun AVJ727 Licensed Representative (Provisional Licence) 1

HUANG Liyue BRH099 Licensed Representative (Provisional Licence) 4

HUANG Shao-po BRE674 Licensed Representative (Provisional Licence) 1, 4, 9

HUANG Suzhen BRF196 Licensed Representative (Provisional Licence) 2, 5

HUANG Wen BRG762 Licensed Representative (Provisional Licence) 1, 6

HUANG Yinjun BAI389 Licensed Representative (Provisional Licence) 1

Page 16 of 23

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2021

CE Name CE No. Licence Type Types of Regulated Activity

HUANG Yuanxi BRG678 Licensed Representative (Provisional Licence) 4

HUANG Yuehan BRI225 Licensed Representative (Provisional Licence) 1, 4

HUANG Zhiji BRF750 Licensed Representative (Provisional Licence) 1

HUI Haiping BRH696 Licensed Representative (Provisional Licence) 1, 6

HUNG Fan Tak BRG409 Licensed Representative (Provisional Licence) 1

HURET Aubin Hubert Sylvain BRG468 Licensed Representative (Provisional Licence) 4

JI Bin BRH934 Licensed Representative (Provisional Licence) 1, 4, 6

JI Zhaohui BRH469 Licensed Representative (Provisional Licence) 1, 6

JIA Zhongya BRJ134 Licensed Representative (Provisional Licence) 1, 6

JIANG Menghan BRG596 Licensed Representative (Provisional Licence) 4

JIANG Pengcheng BRG669 Licensed Representative (Provisional Licence) 4, 9

JIANG Yun BRE741 Licensed Representative (Provisional Licence) 1

JIN Yining BRF860 Licensed Representative (Provisional Licence) 1, 6

JIN Yong BRG835 Licensed Representative (Provisional Licence) 1, 6

KANG Jia BRG116 Licensed Representative (Provisional Licence) 1, 4, 6

KATARIA Kavish Virendra BRG137 Licensed Representative (Provisional Licence) 1, 2

KHAN Shoaib BRH690 Licensed Representative (Provisional Licence) 4, 9

KIM Nam Seok BRH458 Licensed Representative (Provisional Licence) 1, 4

KONG Rong BRG887 Licensed Representative (Provisional Licence) 4

KOU Yue BRH427 Licensed Representative (Provisional Licence) 1, 4

KU Ho BRE957 Licensed Representative (Provisional Licence) 10

KWAN Chun Keung, Kenneth AXX256 Licensed Representative (Provisional Licence) 9

KWAN Man Ching BRH365 Licensed Representative (Provisional Licence) 1, 2

KWOK Long To Timothy BRH272 Licensed Representative (Provisional Licence) 1

KWOK Sze Lung BRG729 Licensed Representative (Provisional Licence) 1, 4

LAI Chi Ho BRH396 Licensed Representative (Provisional Licence) 1, 2, 3

LAI Ki Ki BRG052 Licensed Representative (Provisional Licence) 1, 4, 9

LAM Hang Yi BRG631 Licensed Representative (Provisional Licence) 1

LAM Ki Lam BRG173 Licensed Representative (Provisional Licence) 1

LAM King Yin BRG822 Licensed Representative (Provisional Licence) 4, 9

LAM Lai Kwan BRI110 Licensed Representative (Provisional Licence) 1, 2

LAM Pak BRH597 Licensed Representative (Provisional Licence) 1

LAU Hiu Wai ALA867 Licensed Representative (Provisional Licence) 4

LAU Wai Kit BRJ131 Licensed Representative (Provisional Licence) 1, 2

LAW Ka Kiu Victor BLF268 Licensed Representative (Provisional Licence) 1, 4, 9

LE BOURGEOIS Antoine Marie BRH693 Licensed Representative (Provisional Licence) 1, 2, 4, 5

LEE Chun Ki BRI481 Licensed Representative (Provisional Licence) 1, 6

LEE Kai Yee BAD882 Licensed Representative (Provisional Licence) 1, 4, 9

LEE Michael Le Jin BRI082 Licensed Representative (Provisional Licence) 1, 4

LEE Therese Vainius BRH380 Licensed Representative (Provisional Licence) 1, 2, 7

LEUNG Chun Yin Savio BRI252 Licensed Representative (Provisional Licence) 1, 2

LEUNG Fung Sin ACI559 Licensed Representative (Provisional Licence) 1

LEUNG Wing Ngai BRG449 Licensed Representative (Provisional Licence) 1

LI Chao BRI228 Licensed Representative (Provisional Licence) 1, 6

LI Haolin BRI224 Licensed Representative (Provisional Licence) 1, 6

Page 17 of 23

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2021

CE Name CE No. Licence Type Types of Regulated Activity

LI Ju BRG416 Licensed Representative (Provisional Licence) 4, 9

LI Junhan BRH808 Licensed Representative (Provisional Licence) 1, 4, 9

LI Kai BBE978 Licensed Representative (Provisional Licence) 1, 6

LI Lei BRI321 Licensed Representative (Provisional Licence) 1, 4, 6

LI Liuxiao BRG676 Licensed Representative (Provisional Licence) 1, 4, 9

LI Meng BRI056 Licensed Representative (Provisional Licence) 1, 4

LI Qi BAW976 Licensed Representative (Provisional Licence) 1, 4, 9

LI Qiming BNY279 Licensed Representative (Provisional Licence) 4, 9

LI Sha BRG287 Licensed Representative (Provisional Licence) 9

LI Shang Xian BRH304 Licensed Representative (Provisional Licence) 1, 4, 9

LI Shiwen BRG963 Licensed Representative (Provisional Licence) 1, 4

LI Wing Ki BRE700 Licensed Representative (Provisional Licence) 1, 4, 9

LI Xuelai BRH417 Licensed Representative (Provisional Licence) 1, 4

LI Yizhang BRD932 Licensed Representative (Provisional Licence) 1, 6

LI Yujie BRG962 Licensed Representative (Provisional Licence) 1, 4

LI Zhen Ni BRH048 Licensed Representative (Provisional Licence) 4

LI Zheng BJM368 Licensed Representative (Provisional Licence) 1, 4, 9

LI Zhengxi BRI784 Licensed Representative (Provisional Licence) 1, 4, 6

LI Zhongsheng BRH480 Licensed Representative (Provisional Licence) 1, 6

LIANG Jin BRG971 Licensed Representative (Provisional Licence) 1, 4, 6

LIANG Ying BNA785 Licensed Representative (Provisional Licence) 1

LIM You Jie BJJ423 Licensed Representative (Provisional Licence) 1

LIN Junbang BRG529 Licensed Representative (Provisional Licence) 1, 4, 6

LIN Po-Han BRG554 Licensed Representative (Provisional Licence) 1, 4

LIN Qianye BRH815 Licensed Representative (Provisional Licence) 1, 4

LIN Yanghao BRE644 Licensed Representative (Provisional Licence) 1, 6

LIN Yue BRH486 Licensed Representative (Provisional Licence) 1, 4, 6

LIN Zhuangsheng BBA908 Licensed Representative (Provisional Licence) 9

LIN Zifan BRH305 Licensed Representative (Provisional Licence) 9

LING Yuen Yee BRG810 Licensed Representative (Provisional Licence) 1, 4

LIU BAOSHAN BRH237 Licensed Representative (Provisional Licence) 1, 4

LIU Chang AVT314 Licensed Representative (Provisional Licence) 1, 4, 9

LIU Chieh-Hsin ANU776 Licensed Representative (Provisional Licence) 1, 4, 9

LIU Gaoxiang BRH064 Licensed Representative (Provisional Licence) 9

LIU Jiasi BRI322 Licensed Representative (Provisional Licence) 1, 6

LIU Jingshi BRG965 Licensed Representative (Provisional Licence) 1, 6

LIU Jun BRI324 Licensed Representative (Provisional Licence) 1, 6

LIU Linke BRI329 Licensed Representative (Provisional Licence) 1, 6

LIU Rongxin BQX164 Licensed Representative (Provisional Licence) 1

LIU Shuhan BRI356 Licensed Representative (Provisional Licence) 1, 6

LIU Songtao BRH666 Licensed Representative (Provisional Licence) 1, 6

LIU Yan BJY422 Licensed Representative (Provisional Licence) 1, 4, 9

LIU Ying BHK372 Licensed Representative (Provisional Licence) 1, 4, 6

LIU Yishan BOW729 Licensed Representative (Provisional Licence) 1, 4, 9

LIU Yixi BNN401 Licensed Representative (Provisional Licence) 4, 9

Page 18 of 23

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2021

CE Name CE No. Licence Type Types of Regulated Activity

LIU Yixiao BRF035 Licensed Representative (Provisional Licence) 1, 4

LIU Yuen Nam AED190 Licensed Representative (Provisional Licence) 1, 9

LIU Zexu BRH315 Licensed Representative (Provisional Licence) 4

LIU Zhicheng BNT783 Licensed Representative (Provisional Licence) 1, 4, 6

LO Chun Yee BRG286 Licensed Representative (Provisional Licence) 1, 4

LO Kim Kam Irene BRH656 Licensed Representative (Provisional Licence) 1, 4

LO Sui Kwan BRG336 Licensed Representative (Provisional Licence) 1, 2

LO Yan Kin AWJ985 Licensed Representative (Provisional Licence) 1, 4, 9

LORD Rachel ADQ542 Licensed Representative (Provisional Licence) 1, 2, 4, 6, 9

LU Fan BRH423 Licensed Representative (Provisional Licence) 1, 6

LU Pin Chieh BRF323 Licensed Representative (Provisional Licence) 1, 2

LU Yiqiu BRI460 Licensed Representative (Provisional Licence) 1, 6

LUI Chun Lok BRG829 Licensed Representative (Provisional Licence) 1

LUK Man Chun BRG612 Licensed Representative (Provisional Licence) 1

MA Bingqing BRH825 Licensed Representative (Provisional Licence) 4, 9

MAK Che Kai Keith BRH070 Licensed Representative (Provisional Licence) 1

MAK Sze Yan Abby BRH891 Licensed Representative (Provisional Licence) 4, 9

MAO Haosheng BRH878 Licensed Representative (Provisional Licence) 1, 6

MAO Yuncong BRH448 Licensed Representative (Provisional Licence) 4

MARSHALL Gavin Paul BRI740 Licensed Representative (Provisional Licence) 1

MAZUR Hanna Blanka BRG017 Licensed Representative (Provisional Licence) 9

MEI Qianwen BAH855 Licensed Representative (Provisional Licence) 1

MITHRAN Girish AFU262 Licensed Representative (Provisional Licence) 1, 2

NAN Yan BRH665 Licensed Representative (Provisional Licence) 1, 6

NG Hoi Yin BRG575 Licensed Representative (Provisional Licence) 1

NGAN Hei Chiu AHR145 Licensed Representative (Provisional Licence) 1, 4, 9

NGUYEN ALBERT BRI627 Licensed Representative (Provisional Licence) 2

NI Ni BRG489 Licensed Representative (Provisional Licence) 1, 4

NISHIMURA Shuichi AMR969 Licensed Representative (Provisional Licence) 1, 4, 6

NIU Rui BRI105 Licensed Representative (Provisional Licence) 1, 6

NOBLE Lance BPX521 Licensed Representative (Provisional Licence) 4

ONG Faloon BRG892 Licensed Representative (Provisional Licence) 1, 4, 9

PAINE Andrew David Matthew BRI103 Licensed Representative (Provisional Licence) 4

PAN Jianhui BOM819 Licensed Representative (Provisional Licence) 1, 4, 6

PAN Jiao BGZ937 Licensed Representative (Provisional Licence) 1, 6

PAN Wei BRI221 Licensed Representative (Provisional Licence) 1, 2, 4

PAOLUCCI Nicholas Giovanni ALT899 Licensed Representative (Provisional Licence) 1, 2

PEI Yixuan BRI325 Licensed Representative (Provisional Licence) 1, 6

PENG Xue BLP964 Licensed Representative (Provisional Licence) 1, 4, 6

PENG Yangyi BNV257 Licensed Representative (Provisional Licence) 1, 4, 6

PU Jingsu BJO694 Licensed Representative (Provisional Licence) 1, 4, 9

QI Ding BRF842 Licensed Representative (Provisional Licence) 1, 4

QIAO Yu BRH411 Licensed Representative (Provisional Licence) 1, 6

QIU Zhiming BRJ146 Licensed Representative (Provisional Licence) 1, 6

QU Jiaqi BGH782 Licensed Representative (Provisional Licence) 6

Page 19 of 23

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2021

CE Name CE No. Licence Type Types of Regulated Activity

REN Xinhang BRJ143 Licensed Representative (Provisional Licence) 1, 4, 6

REN YULIAN BRH535 Licensed Representative (Provisional Licence) 1

REVENKO Oksana BRH405 Licensed Representative (Provisional Licence) 6

ROMERO-EDMISTON Ana Carolina BRG800 Licensed Representative (Provisional Licence) 9

ROTH Thilo Josef BRG470 Licensed Representative (Provisional Licence) 9

SADLER Emma BRE817 Licensed Representative (Provisional Licence) 1, 2

SHAH Ashish Bhupendra BRG921 Licensed Representative (Provisional Licence) 9

SHI Ming BRF985 Licensed Representative (Provisional Licence) 6

SHI Yan BRH467 Licensed Representative (Provisional Licence) 1, 6

SHI Yu BRI005 Licensed Representative (Provisional Licence) 4

SHI Zejun BRI721 Licensed Representative (Provisional Licence) 1, 2

SIM Jeong Soo BDY696 Licensed Representative (Provisional Licence) 9

SONG Wenhui BRH663 Licensed Representative (Provisional Licence) 1, 4

STEWART Glenn Jose BAP748 Licensed Representative (Provisional Licence) 1

SU Dexin BRF770 Licensed Representative (Provisional Licence) 1, 6

SU Nan BRF357 Licensed Representative (Provisional Licence) 1, 4, 6

SULLIVAN Jack James Ian BRA281 Licensed Representative (Provisional Licence) 1, 2

SUN Fang BGB193 Licensed Representative (Provisional Licence) 1, 6

SUN Jixuan BRI226 Licensed Representative (Provisional Licence) 1, 6

SUN Siwen BRI128 Licensed Representative (Provisional Licence) 1, 2

SUN Yingchao BRH843 Licensed Representative (Provisional Licence) 4

SUNG Shing Hin BRG466 Licensed Representative (Provisional Licence) 4

TAM Chak Wa BRF831 Licensed Representative (Provisional Licence) 9

TAM Chun Wai BRH217 Licensed Representative (Provisional Licence) 1, 4, 9

TAN Ye Kai, Byron AEP447 Licensed Representative (Provisional Licence) 6

TANG Haiwei BRH241 Licensed Representative (Provisional Licence) 4, 9

TANG Jack BBD024 Licensed Representative (Provisional Licence) 2

TANG Jamie Wai Ting BRE920 Licensed Representative (Provisional Licence) 6

TE KLOOT Rowan James BHI930 Licensed Representative (Provisional Licence) 9

THOMSON Stuart Douglas Peter AUZ195 Licensed Representative (Provisional Licence) 1

TIAN Bei BIL556 Licensed Representative (Provisional Licence) 1, 4

TIAN Mengsui BPJ174 Licensed Representative (Provisional Licence) 4, 9

TING Hao-wei AJN350 Licensed Representative (Provisional Licence) 1, 4

TING Karen BRH061 Licensed Representative (Provisional Licence) 1, 4

TRIPATHI Kriti BRI262 Licensed Representative (Provisional Licence) 1, 6

TSAI Benjamin Man Fung BRI237 Licensed Representative (Provisional Licence) 1

TSANG Kwok Ho ACC397 Licensed Representative (Provisional Licence) 1, 4

TSANG Shuk Yi AEZ559 Licensed Representative (Provisional Licence) 1, 4, 9

TSE Kit Ming, Kitty AHR007 Licensed Representative (Provisional Licence) 1, 4

TSUI Yiu Fung BRG063 Licensed Representative (Provisional Licence) 1, 4, 9

TU Hao-Wen BRI359 Licensed Representative (Provisional Licence) 1, 2, 7

UM Jun Ho BQZ744 Licensed Representative (Provisional Licence) 1, 4

WADEL Vincent Nicolas Roger Jean BHL501 Licensed Representative (Provisional Licence) 1, 2

WAN Di BRH759 Licensed Representative (Provisional Licence) 4, 9

WAN Er BDY964 Licensed Representative (Provisional Licence) 9

Page 20 of 23

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2021

CE Name CE No. Licence Type Types of Regulated Activity

WANG Bingjie BOL715 Licensed Representative (Provisional Licence) 1, 6

WANG Chao BRH978 Licensed Representative (Provisional Licence) 1, 6

WANG Chen BJC199 Licensed Representative (Provisional Licence) 1, 6

WANG Di BRH391 Licensed Representative (Provisional Licence) 1, 4, 6

WANG Hui BRG637 Licensed Representative (Provisional Licence) 1, 6

WANG Jiajie BRE221 Licensed Representative (Provisional Licence) 9

WANG Lei BRD929 Licensed Representative (Provisional Licence) 1, 6

WANG Liaojun BRH465 Licensed Representative (Provisional Licence) 1, 6

WANG Luyao BQW728 Licensed Representative (Provisional Licence) 9

WANG Mengjue BRI330 Licensed Representative (Provisional Licence) 1, 6

WANG Min BRG934 Licensed Representative (Provisional Licence) 9

WANG Shulin BRG496 Licensed Representative (Provisional Licence) 1, 6

WANG Simai BRI457 Licensed Representative (Provisional Licence) 1, 6

WANG Tianshi BRH649 Licensed Representative (Provisional Licence) 1, 4, 6

WANG Wei BRI807 Licensed Representative (Provisional Licence) 1, 6

WANG Yixiong BRG968 Licensed Representative (Provisional Licence) 1, 2, 4

WANG Yuhuan BRI227 Licensed Representative (Provisional Licence) 1, 6

WANG Yunxiang BRG725 Licensed Representative (Provisional Licence) 1

WANG Zheng BRI454 Licensed Representative (Provisional Licence) 1, 4

WANG Ziyi BRH718 Licensed Representative (Provisional Licence) 6

WATT Chun Yin BRG650 Licensed Representative (Provisional Licence) 1, 4

WEGENER Wing Chuen BQR172 Licensed Representative (Provisional Licence) 9

WEI Qinghua BRH454 Licensed Representative (Provisional Licence) 1, 6

WEI Wei BRJ343 Licensed Representative (Provisional Licence) 1, 4

WEI Zhengyi BPF457 Licensed Representative (Provisional Licence) 9

WONG Hak Wing, Valerie ALL103 Licensed Representative (Provisional Licence) 9

WONG Ka Ming, Alan ARQ657 Licensed Representative (Provisional Licence) 9

WONG Ka Tsun Terence BAK676 Licensed Representative (Provisional Licence) 1, 4

WONG Kam Tung BOK840 Licensed Representative (Provisional Licence) 1

WONG Kin Hung BRG476 Licensed Representative (Provisional Licence) 1, 4, 9

WONG Kwok Hin BRH477 Licensed Representative (Provisional Licence) 1, 4

WONG Lok Yung Nora BRH604 Licensed Representative (Provisional Licence) 1

WONG Sing Tat BQF545 Licensed Representative (Provisional Licence) 4, 9

WONG Wing Hang BRI697 Licensed Representative (Provisional Licence) 1

WONG Yu Lam BRJ096 Licensed Representative (Provisional Licence) 4

WOO Sau Man, Clement BRH799 Licensed Representative (Provisional Licence) 1, 2

WOO Tak Kin BRF542 Licensed Representative (Provisional Licence) 1, 4, 9

WU Chi Fu BRG532 Licensed Representative (Provisional Licence) 1

WU Jianhang BRH421 Licensed Representative (Provisional Licence) 1, 6

WU Mingyang BRG837 Licensed Representative (Provisional Licence) 1, 6

WU Shuang BRE785 Licensed Representative (Provisional Licence) 1, 4, 6

WU Weichen BRG730 Licensed Representative (Provisional Licence) 4

WU Xinyi BRH612 Licensed Representative (Provisional Licence) 1, 2

WU Yang BHY416 Licensed Representative (Provisional Licence) 6

WU Yanshan BRI079 Licensed Representative (Provisional Licence) 1, 9

Page 21 of 23

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2021

CE Name CE No. Licence Type Types of Regulated Activity

WU Yichen BRB541 Licensed Representative (Provisional Licence) 1, 2, 4

WU Yifan BRI686 Licensed Representative (Provisional Licence) 1, 4, 6

WU Zhelun BRH608 Licensed Representative (Provisional Licence) 1, 4

XIA Lisi BRE261 Licensed Representative (Provisional Licence) 6

XIAO Qu BRF352 Licensed Representative (Provisional Licence) 1, 4, 6

XIE Peiyi BQW106 Licensed Representative (Provisional Licence) 9

XIE Tao BRJ149 Licensed Representative (Provisional Licence) 1, 6

XIE Yunang BRG543 Licensed Representative (Provisional Licence) 1, 2

XIN Yuyang BRH479 Licensed Representative (Provisional Licence) 1, 6

XU Jiayi BRI326 Licensed Representative (Provisional Licence) 1, 6

XU Lei BJU776 Licensed Representative (Provisional Licence) 9

XU Shaoxuan BRH062 Licensed Representative (Provisional Licence) 4

XU Tianyang BRI099 Licensed Representative (Provisional Licence) 1, 4

XU Zeheng BRH989 Licensed Representative (Provisional Licence) 1, 4, 6

XU Zhenfei BRG964 Licensed Representative (Provisional Licence) 1, 6

YAN Sihua BRI107 Licensed Representative (Provisional Licence) 1, 6

YAN Xi BRH370 Licensed Representative (Provisional Licence) 1, 4, 6

YANG Deyuan BRG726 Licensed Representative (Provisional Licence) 1, 6

YANG Ming BRH879 Licensed Representative (Provisional Licence) 1, 6

YANG Qiuyao BRI102 Licensed Representative (Provisional Licence) 10

YANG Shyang Yeu BRG736 Licensed Representative (Provisional Licence) 1, 4

YANG Suning BRG746 Licensed Representative (Provisional Licence) 1, 6

YANG Tao BRG194 Licensed Representative (Provisional Licence) 1, 4, 9

YANG Xi BRI319 Licensed Representative (Provisional Licence) 1

YANG Xiaochen BRI458 Licensed Representative (Provisional Licence) 1, 6

YANG Xiaoqing BRI080 Licensed Representative (Provisional Licence) 1, 4, 6

YANG Xukai BRI254 Licensed Representative (Provisional Licence) 1, 4, 9

YANG Yaru BPF867 Licensed Representative (Provisional Licence) 1, 4, 9

YANG Yumei BRI133 Licensed Representative (Provisional Licence) 1, 2

YAU Tsz Hin BRG595 Licensed Representative (Provisional Licence) 6

YE Xinyi BRG841 Licensed Representative (Provisional Licence) 4

YEUNG Ka Ho BOI246 Licensed Representative (Provisional Licence) 1

YEUNG King Shing BRG068 Licensed Representative (Provisional Licence) 1, 4, 9

YEUNG SIN BRH678 Licensed Representative (Provisional Licence) 1, 2

YEUNG Wai Yin Vivian BRI320 Licensed Representative (Provisional Licence) 1

YIN Guangyue BRI802 Licensed Representative (Provisional Licence) 4

YIP Emerson Yee Shun ACS891 Licensed Representative (Provisional Licence) 1, 4

YIP Wing Sze, Venz AWD043 Licensed Representative (Provisional Licence) 1, 2, 4

YIP Yan Yung BRG366 Licensed Representative (Provisional Licence) 1

YU Jiawei BRH668 Licensed Representative (Provisional Licence) 1, 6

YU Jingwei BRH313 Licensed Representative (Provisional Licence) 4

YU Kam Chiu William BDV879 Licensed Representative (Provisional Licence) 1, 4

YUEN Wing Yee BRI281 Licensed Representative (Provisional Licence) 1

YUNG King Hung Samuel BRJ472 Licensed Representative (Provisional Licence) 1

ZENG Hongyao BRG951 Licensed Representative (Provisional Licence) 1, 6

Page 22 of 23

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2021

CE Name CE No. Licence Type Types of Regulated Activity

ZENG Qingqiulin BQN474 Licensed Representative (Provisional Licence) 9

ZHANG Chen BRG516 Licensed Representative (Provisional Licence) 1, 2

ZHANG Chuandong ATS050 Licensed Representative (Provisional Licence) 1, 4, 9

ZHANG He BRE372 Licensed Representative (Provisional Licence) 1, 6

ZHANG Jianke BRG836 Licensed Representative (Provisional Licence) 1, 6

ZHANG Kaiyi BOC395 Licensed Representative (Provisional Licence) 1, 2, 4

ZHANG Qingran BRH431 Licensed Representative (Provisional Licence) 1, 4, 6

ZHANG Shaozhi BPS634 Licensed Representative (Provisional Licence) 1, 4, 9

ZHANG Simin BRH977 Licensed Representative (Provisional Licence) 1, 6

ZHANG Xiaohan BNI542 Licensed Representative (Provisional Licence) 1, 6

ZHANG XUECONG BRG367 Licensed Representative (Provisional Licence) 1, 4, 9

ZHANG Yiming BHQ351 Licensed Representative (Provisional Licence) 1, 4, 6

ZHANG Yue BRH415 Licensed Representative (Provisional Licence) 1, 6

ZHANG Zheng AMS447 Licensed Representative (Provisional Licence) 1, 6

ZHANG Zhixiao BRH902 Licensed Representative (Provisional Licence) 1, 2

ZHAO Hairui BRH422 Licensed Representative (Provisional Licence) 1, 6

ZHAO Meng BPW912 Licensed Representative (Provisional Licence) 1, 4, 6

ZHAO Qichao BRG728 Licensed Representative (Provisional Licence) 1, 4

ZHAO Xianyao BRJ001 Licensed Representative (Provisional Licence) 1, 4, 6

ZHAO Xin BRH478 Licensed Representative (Provisional Licence) 1, 4

ZHAO Xuesi BRG456 Licensed Representative (Provisional Licence) 1, 2, 9

ZHAO Yang BRI211 Licensed Representative (Provisional Licence) 4

ZHAO Yida BRG427 Licensed Representative (Provisional Licence) 1

ZHAO Yueting BRH030 Licensed Representative (Provisional Licence) 1, 4

ZHAO Yun BRH453 Licensed Representative (Provisional Licence) 1, 2, 4

ZHENG Dian BRH455 Licensed Representative (Provisional Licence) 1, 6

ZHENG Shiyu BRG058 Licensed Representative (Provisional Licence) 1, 2

ZHONG Liang BRH644 Licensed Representative (Provisional Licence) 1, 4, 9

ZHOU Hao BRG727 Licensed Representative (Provisional Licence) 1, 6

ZHOU Shenghao BRI323 Licensed Representative (Provisional Licence) 1

ZHOU Shinan BHF440 Licensed Representative (Provisional Licence) 1, 4, 6

ZHOU Xuan BOI483 Licensed Representative (Provisional Licence) 4, 9

ZHOU Yanwei BHF307 Licensed Representative (Provisional Licence) 1, 4

ZHOU Yu BRH811 Licensed Representative (Provisional Licence) 1, 6

ZHOU Zheng BRG452 Licensed Representative (Provisional Licence) 1, 4

ZHOU Zhenli BJX323 Licensed Representative (Provisional Licence) 4, 5, 9

ZHOU Zihan BRG126 Licensed Representative (Provisional Licence) 1, 6

ZHU Danhong BRH496 Licensed Representative (Provisional Licence) 1

ZHU Yueming BRG714 Licensed Representative (Provisional Licence) 1, 4, 6

ZHUO Xiaomao BDG914 Licensed Representative (Provisional Licence) 3

ZOU Yumeng BRG016 Licensed Representative (Provisional Licence) 1, 4, 6

CARUSO Frank Vincent BHH755 Licensed Representative (Temporary Licence) 4

HARGIS Kent W BAG066 Licensed Representative (Temporary Licence) 4

ROARTY Daniel Charles BQU482 Licensed Representative (Temporary Licence) 4

SUZUKI Seiichiro AUK287 Licensed Representative (Temporary Licence) 4

Page 23 of 23

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2021

CE Name CE No. Licence Type Types of Regulated Activity

THAPAR Vinay BNR482 Licensed Representative (Temporary Licence) 4

TSU King Yiu BFA530 Licensed Representative (Temporary Licence) 4