REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityIndependent Investment Partners Limited ARJ931 Licensed Corporation 4KB Investment & Securities Hong Kong Limited AJF082 Licensed Corporation 1, 9Pacific Challenge Corporate Finance Limited AGH956 Licensed Corporation 6SG Asset Management (Hong Kong) Limited AHS904 Licensed Corporation 1, 4, 9Ying Li Investment Management Limited AGN377 Licensed Corporation 4, 9ALEXANDER Ean Malcolm AWC494 Licensed Representative 1, 6AN Xuemei AQU951 Licensed Representative 1ANSELL Robert Howard AEC941 Licensed Representative 1ARAI Hiroyuki AMP310 Licensed Representative 1, 2ARAYASANTIPARB Athaporn ANH045 Licensed Representative 4ARMANDOLA Luca AQA057 Licensed Representative 1AU Chun Man, Raymond AME568 Licensed Representative 1, 4AU-YEUNG Tsun, Julian AMK108 Licensed Representative 1, 4BAO Quan APX218 Licensed Representative 1, 1, 2BEI Duoguang AMJ853 Licensed Representative 6BENGSON Michael Roxas AOY686 Licensed Representative 4BENSMIHEN Jordane AUW919 Licensed Representative 1, 2BHANDARI Pranjul ATE067 Licensed Representative 1, 4CAI Wei AKI200 Licensed Representative 1, 4, 6CHAINANI Roshan Kumar APC773 Licensed Representative 9CHAN Cheung Wo ADX475 Licensed Representative 2, 4CHAN Chung Leung AQO464 Licensed Representative 4CHAN Dixon AUL684 Licensed Representative 1, 2CHAN Hing Yue APD579 Licensed Representative 1CHAN Kai Sin ARL431 Licensed Representative 3CHAN Kit AVA363 Licensed Representative 1CHAN Kwun Siu, Frankie ASD479 Licensed Representative 1, 3, 4, 4CHAN Natalie Wei Ting AMN706 Licensed Representative 1, 2, 7CHAN Nga Yan, Vivian APL802 Licensed Representative 4CHAN Pun Kong AUJ424 Licensed Representative 1CHAN Ting Wah AFN445 Licensed Representative 1, 4CHAN Wing Ting ANR137 Licensed Representative 2CHAN Yau Lung, Sidney ARG351 Licensed Representative 1CHAN Yee Fung AMP025 Licensed Representative 9CHAN Yee Sze AJH197 Licensed Representative 1CHAN Yeuk Wan, Agnes ADQ944 Licensed Representative 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityCHAN Yuk Hing AQF333 Licensed Representative 1CHANG Joseph ANE734 Licensed Representative 1CHANG Michael ALA654 Licensed Representative 1, 2CHANG Xueshan AQU414 Licensed Representative 4, 5, 9CHAU Hiu Tung, Chanel ABT450 Licensed Representative 1, 4CHAU Hubert AUS198 Licensed Representative 1CHAU Yat Ki AVK928 Licensed Representative 1, 4CHAU Yiu Ting AAG570 Licensed Representative 1, 2, 4, 6, 7, 9CHEN Chun-Wei ANL052 Licensed Representative 1CHEN Chung-Chun API217 Licensed Representative 1, 4CHEN Jun ASN928 Licensed Representative 1, 4, 9CHEN Yuxi ATX977 Licensed Representative 1, 2CHENG Chi Kin AVA405 Licensed Representative 6CHENG Chung Ki AVL487 Licensed Representative 1, 2CHENG Ka Kin ALZ753 Licensed Representative 1CHENG Sheung Ping ATP161 Licensed Representative 1CHENG Ting-Yun ATM460 Licensed Representative 4CHENG Wing Tat AUB321 Licensed Representative 1CHEUNG Chun Chuen AQD462 Licensed Representative 1, 4CHEUNG Fong Kuen ASO988 Licensed Representative 4CHEUNG Ka Man AMP556 Licensed Representative 4, 9CHEUNG Ming Fung APH868 Licensed Representative 1, 4, 6CHEUNG Shek Ching AGP776 Licensed Representative 1, 4CHEUNG Tak Hing AHJ601 Licensed Representative 4, 9CHEUNG Tsun Ting, Roman AWA045 Licensed Representative 6CHEUNG Wing Fai AON018 Licensed Representative 4CHIK Sing Wing ALV264 Licensed Representative 1, 4CHIU Man Yung AUV119 Licensed Representative 1CHOI Andson ANT621 Licensed Representative 1, 4CHONG Hoi Chuen AQS714 Licensed Representative 9CHOPRA Vikramaditya ARR353 Licensed Representative 1, 9CHOW Kwai Shing ARG875 Licensed Representative 1, 2CHOW Mei Yin ARG337 Licensed Representative 1, 2CHOW Wan Leung ATM643 Licensed Representative 4CHOW Ying Cheung AGP391 Licensed Representative 1CHOY Kei AEW215 Licensed Representative 2

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityCHU Chau Fung AVC324 Licensed Representative 1CHU Ching AHT162 Licensed Representative 4CHU Ho AUW246 Licensed Representative 1, 2, 4CHU Hoi Yee AUW786 Licensed Representative 1, 6CHU Lai Wan, Ivy ASH689 Licensed Representative 1, 2CHU San Wa AEP648 Licensed Representative 1CHU Siu Ying AGP216 Licensed Representative 1CHU Wai Kwan, Elaine ADX617 Licensed Representative 4CHU Xian AWI938 Licensed Representative 4CHUANG Yu AUT128 Licensed Representative 4CHUI Fuk Wai, Marvin ATI169 Licensed Representative 1, 2CHUNG Ka Ki ABV204 Licensed Representative 1, 2CHUNG Ka Man ARM728 Licensed Representative 1CHUNG Wai Fai AME645 Licensed Representative 4, 5, 9CLARKE Rebecca De Forrest ANT259 Licensed Representative 4, 9CUI Ying ARO747 Licensed Representative 1, 9CUZOL Nicolas AQY368 Licensed Representative 1, 6DIALDAS Anand ALD236 Licensed Representative 1, 2, 4, 9DJAJADININGRAT Arif Medianto ATT849 Licensed Representative 4, 6DUH Annie AQX926 Licensed Representative 1, 6ENGEL James Andrew AUZ510 Licensed Representative 4FAN Chuen Luen ATD532 Licensed Representative 1FAN Qi AMG950 Licensed Representative 1, 6FAN Wing Yan, Winnie AQW052 Licensed Representative 1FANG Pin-yin AOC929 Licensed Representative 1, 6FAURE Stephane AQR524 Licensed Representative 1, 2, 7FOK Hon Ming AVE578 Licensed Representative 1FOK Kenrick Henry ARP738 Licensed Representative 9FONG Chi Keung, Johnson ANA245 Licensed Representative 1, 6FORDE William Thomas AOG407 Licensed Representative 1FRAZIER Rufus Lewis ALY132 Licensed Representative 4, 9FUNG Chi Tai AKX541 Licensed Representative 1, 3FUNG Ka Fai, Karfield AEV682 Licensed Representative 1FUNG Wai Kin, Kenny AOV809 Licensed Representative 1FUNG Yat Sin ALQ677 Licensed Representative 1, 4GAITONDE Ghanashyam Lalji AHE512 Licensed Representative 1, 1, 4, 6

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityGAO Ting AMW750 Licensed Representative 1, 4GENTET Chloe ARW798 Licensed Representative 1, 2, 7GOH Stephanie Huijun APL238 Licensed Representative 1, 6GOPALAKRISHNAN Aniruddha ANK136 Licensed Representative 4, 9GOURMELEN Arnaud AKX538 Licensed Representative 1, 2, 4, 5GREGORY-ROBERTS Simon Arnold John APW359 Licensed Representative 1, 2GRESKO Jason Peter AVN513 Licensed Representative 1GROTZINGER Adam W AVI257 Licensed Representative 1GUO Xinlin ALI682 Licensed Representative 1, 4HADA Anant Vikram APF558 Licensed Representative 1, 4, 6HANSSON David Roland ARP170 Licensed Representative 1, 4HE Changming ARE056 Licensed Representative 4HO Chi Chung ANH719 Licensed Representative 4HO So Ching APN706 Licensed Representative 4HO Steven ARB640 Licensed Representative 1, 2HO Terence AQJ448 Licensed Representative 1HO Yuen King ARR122 Licensed Representative 4HO Yuet Yu AUD235 Licensed Representative 1, 9HOLLOWAY Christopher James ANQ300 Licensed Representative 4HONG Kai APZ532 Licensed Representative 4, 6HOU Ching Chen AHS857 Licensed Representative 1, 2, 4, 5, 9HU Fred Zuliu ADY353 Licensed Representative 1, 6HUANG Yan AUI679 Licensed Representative 1, 2, 9HUANG Yong ATH192 Licensed Representative 1HUNG Cheung Fung ART552 Licensed Representative 1HWANG YoungJean ARO818 Licensed Representative 4IU Po Yan, Raymond AAC126 Licensed Representative 1, 2, 3JACKSON Andrew Michael ASP173 Licensed Representative 1, 4JAMIESON Shaun AVN238 Licensed Representative 1, 4JASANI Nilesh Surendra Rai AFJ460 Licensed Representative 4JIANG Zhicheng AUG887 Licensed Representative 1, 4JUNK Ka Ming APB508 Licensed Representative 1, 4KAO Chun-Bin ANW394 Licensed Representative 1, 4KELLY Michael John APQ407 Licensed Representative 1KIM Aki ATM633 Licensed Representative 1, 2KIM Bum Soo AHZ633 Licensed Representative 1, 2, 7

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityKIM Henry APH015 Licensed Representative 1, 2, 7KIM Moon Kyung AOX759 Licensed Representative 1, 4KO Ching Yuk AQG687 Licensed Representative 1, 4KO Ka Yin, Joyce AOT669 Licensed Representative 1KOGURE Yosuke APA370 Licensed Representative 1, 4KOH Sia Lin, Shirlly ARH183 Licensed Representative 1, 2, 9KONG Ngan Chi AKY942 Licensed Representative 1, 4KU Wei-Chiang AQD402 Licensed Representative 4, 9KUMAR Gautam AMM350 Licensed Representative 1, 2KWAI On Leung AOG284 Licensed Representative 1KWAN Pik Lin AUE413 Licensed Representative 1KWOK Ana AAB158 Licensed Representative 1, 2KWOK Hoi Shan AMS711 Licensed Representative 1, 2KWOK Kai Ho, Kelvin AWA312 Licensed Representative 1KWONG Kam Hung, Carinni ARB275 Licensed Representative 4LAFITTE Gregory Alfred AVJ138 Licensed Representative 1LAI Dick Ngar, Dehlia APQ177 Licensed Representative 1, 2LAI Fu Ming AVM520 Licensed Representative 1LAI Ming Wah AQI273 Licensed Representative 1, 4LAI Mo Ying AGL460 Licensed Representative 1LAI Pui Ling AED816 Licensed Representative 1, 5LAM Chi Ho AVK547 Licensed Representative 1LAM Cho King AVD910 Licensed Representative 1, 2LAM Chun Yue AMT662 Licensed Representative 1, 4LAM Lai Hung AGQ251 Licensed Representative 4LAM Lap Yan AUQ929 Licensed Representative 1, 2LAM Pek Kay, Elizabeth AML374 Licensed Representative 1, 2LAM Tat Shing AUV992 Licensed Representative 1, 2LAM Wai Nam AGE034 Licensed Representative 1LAM Wing Hong, Ivan AVH276 Licensed Representative 1, 2LAM Yiu Sum AOM664 Licensed Representative 1LAOSOMBOON Pramote AUL681 Licensed Representative 1, 4, 9LAU Hang, Henry AWJ860 Licensed Representative 1, 6LAU Hon Hing AUA750 Licensed Representative 1, 4, 9LAU Hui Yi, Fiona ARM891 Licensed Representative 1, 4LAU Kwok Wai AQJ443 Licensed Representative 1, 2

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityLAU Lai Ping, Pansy APJ173 Licensed Representative 1, 4LAU Pui Si AFO762 Licensed Representative 4LAU Tak Chi ARC003 Licensed Representative 4LAY Richard Donovan ALW485 Licensed Representative 1, 2LEE Ching-ju APW357 Licensed Representative 1, 4, 9LEE Chun Man AJE100 Licensed Representative 1, 4LEE Churk Kit APB477 Licensed Representative 1, 2LEE Emily APL964 Licensed Representative 4LEE Hyun Woo AUR839 Licensed Representative 1LEE Kin Fun APJ681 Licensed Representative 1, 2, 4, 5LEE Lap Ming ATN407 Licensed Representative 1, 2, 3LEE Mei Fong ABM223 Licensed Representative 1LEE Ning Tat AOQ707 Licensed Representative 1, 2, 3LEE Pak Hei Thomas ASJ712 Licensed Representative 1, 4LEE Siu Lun AMU113 Licensed Representative 1LEE Ting Ting AOD824 Licensed Representative 1LEE Wai Tak AAI283 Licensed Representative 1LEUNG Chit Chun ATH180 Licensed Representative 1LEUNG Chiu Chung ATW111 Licensed Representative 1, 4LEUNG Ho Cheong, Barry ALY163 Licensed Representative 1, 2, 4LEUNG Ho Yip AQJ033 Licensed Representative 1, 2LEUNG Lai Ping, Gloria ANK512 Licensed Representative 4LEUNG Lap Yan Silvana ARI172 Licensed Representative 1, 4LEUNG Man Fai ARA105 Licensed Representative 1, 4LEUNG Tsui Wah, Anne ARM301 Licensed Representative 1LEUNG Wai Kei, Gary ABN422 Licensed Representative 9LEUNG Yee Wan, Wandy ABZ837 Licensed Representative 2LI Chun Kit ARE345 Licensed Representative 4LI Haoting ATV659 Licensed Representative 2LI Jack Zheng AQM738 Licensed Representative 1, 2LI Ka Yu AUR693 Licensed Representative 1LI Wenshan ATJ233 Licensed Representative 1, 2, 3LI Wing Sum AJA296 Licensed Representative 1, 2LI Yuanjian ATH997 Licensed Representative 1, 6LIAO Hsuan-Cheng AOS672 Licensed Representative 1, 4, 6LIN Chia-Sheng AQQ622 Licensed Representative 6

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityLIN Huei-Jen AUI488 Licensed Representative 1LIN Jiemin APL747 Licensed Representative 1, 6LIN Jing Yuh AOX222 Licensed Representative 1, 2, 4, 9LIN Ying-Hua ALI215 Licensed Representative 1, 4LIU Taisheng AMO971 Licensed Representative 4LIU Xiaolu ANZ784 Licensed Representative 1, 4LIU Xinghe AQA947 Licensed Representative 1, 4, 6LO Chi Yuen, Boris ANT954 Licensed Representative 1, 2LO Cindy Hiu Wah AQP746 Licensed Representative 1, 6LO Man Chi AQU959 Licensed Representative 1, 4LO Margaret Hun Ming AQA665 Licensed Representative 1, 2LO Nga Lai ANJ163 Licensed Representative 1, 4LOW Yik Kee, Nicholas ARI658 Licensed Representative 1, 6LU Ruiyun AME939 Licensed Representative 1, 6LU Yumian ASM064 Licensed Representative 1LU Zheng ARD176 Licensed Representative 4LUI Shuk Kwan ARW229 Licensed Representative 1, 4LUI Si Wai, Alice ABH816 Licensed Representative 9LUK Ka Lam AVB830 Licensed Representative 1, 2LUO Jiayuan ARH233 Licensed Representative 1, 4, 6MA Hsiao-hung, Alisha ALZ814 Licensed Representative 4MAES Nicolas Georges Paul Francois APF037 Licensed Representative 1MAHAPATRA Satyakam ATO781 Licensed Representative 1, 2MAN Wai Lun AOC983 Licensed Representative 1MC GILL Charles Carlin Haynes AVO651 Licensed Representative 1MEHTA Puneet APB339 Licensed Representative 1, 2MENG Fay Chao AOT971 Licensed Representative 1, 2MOK Wai Hung AME503 Licensed Representative 1, 2, 9MUELLER Jason Thomas ASI343 Licensed Representative 4, 6MURER Tobias Juerg APR010 Licensed Representative 1, 4NG Chi Ming ABH286 Licensed Representative 1, 4, 6, 9NG Chor Yu AQD599 Licensed Representative 1, 2NG Chun Leung AUZ460 Licensed Representative 1NG Fan Ching ASM302 Licensed Representative 1, 4, 9NG Ka Pong AGJ944 Licensed Representative 1, 2NG Maria Wai-yan ANQ237 Licensed Representative 1, 6

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityNG Yau Kan ANJ863 Licensed Representative 1NGAN Wai Ming ATE179 Licensed Representative 3NOEL-JOHNSON Dominic Christopher James AQM244 Licensed Representative 4O'HALLORAN Paul Desmond ATI406 Licensed Representative 1, 4, 9ONG Hock Soon ANE259 Licensed Representative 4PANG Peter Chun Ming AQT313 Licensed Representative 6PHUA Teck Wee APJ711 Licensed Representative 1, 2PONG Wai Lan AGK664 Licensed Representative 1, 4POON Yuen Fai ARS050 Licensed Representative 1, 4POPE Leavitt Joseph AOY694 Licensed Representative 1, 4QIAN Fan ALZ349 Licensed Representative 1, 4RACHIDY Fahd AVT507 Licensed Representative 1, 2RASTOGI Pratyush ASN530 Licensed Representative 1RENARD Jean-Guy, Raymond, Charles AGH585 Licensed Representative 1, 2, 7RENTON Mark ALR788 Licensed Representative 1, 6RUNQUIST Lori Rae ANU045 Licensed Representative 1RYAN Keith Maxwell AVL543 Licensed Representative 1, 2SEET Oon Hui, Eleanor ASZ666 Licensed Representative 1, 4, 9SHARRATT David Geoffrey AVS013 Licensed Representative 1, 2, 7SHCHELKANOVTSEVA Tatiana AUF143 Licensed Representative 1SHI Xuesong ARH500 Licensed Representative 1, 4SIMA Jiajia ASK756 Licensed Representative 1, 2, 3SINGH Manu ASL822 Licensed Representative 4SIRIKOLKARN Sanit ANU172 Licensed Representative 1SIU Hau Yep, Ivan ALW235 Licensed Representative 1, 4, 6SIU Ka Chun ATE884 Licensed Representative 1SMITH David Andrew AJM784 Licensed Representative 4, 5, 9SO Cheuk Yin ALL346 Licensed Representative 4SO Han Chun AVI013 Licensed Representative 1SO Ka Him AJE237 Licensed Representative 1, 2, 5SOHN Seung Hee AQR383 Licensed Representative 1SOUSSILANE Bacta Saketaram-Prabou APJ341 Licensed Representative 1, 2, 7STASKY Chad Christopher ANK547 Licensed Representative 1, 4, 7SU Kaijun AVI021 Licensed Representative 1SU Shan AOU240 Licensed Representative 1, 6SUEN Chak Chau AAH371 Licensed Representative 1

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityTAM Ka Heng, Carmen ARL253 Licensed Representative 1, 4, 6, 9TAM King Tin Ricky APZ794 Licensed Representative 1TAM Mi Yee AML339 Licensed Representative 2, 5TAM Ming Yan APH018 Licensed Representative 1, 2TAM Pui Sun AUA989 Licensed Representative 1TAM Sheung Yew, Augus AGF998 Licensed Representative 4, 6, 9TAM Wai Kit, Jonathan AWL263 Licensed Representative 1, 4, 6TAN Chi Wai AEE190 Licensed Representative 1, 2TAN Gee Meng AHK745 Licensed Representative 1TANG Sai Hung AUC184 Licensed Representative 1TANG Weiguo AUW905 Licensed Representative 1, 6TANG Wing Cheung AGE161 Licensed Representative 1TAO Tak Yan, Dennis AGI649 Licensed Representative 1, 4TEO Cher In ANT774 Licensed Representative 1, 2TESHIGAWARA Jun AIU519 Licensed Representative 1, 2, 4TIAN Tian AUE477 Licensed Representative 4TOMINAGA Satoshi ART770 Licensed Representative 1TSAI Yu-Yuan ARF660 Licensed Representative 4TSANG Chun Wai ATL969 Licensed Representative 1TSE Chun Wo AME440 Licensed Representative 1TSE Lai Ting, Pauline APR716 Licensed Representative 1, 1, 4TSEN Pei-yu ARB766 Licensed Representative 1, 2TSOI Hok Chi AVC349 Licensed Representative 1, 2TSUI Kwok Fan AIE447 Licensed Representative 1, 2, 3TYE Chung Lung APW668 Licensed Representative 1, 4ULRICH Jing ADI942 Licensed Representative 1, 4VAN DER GRAAF Roderik Cornelis APV504 Licensed Representative 1, 2VAN DER ZWAN Mark Leendert Winfield ARH152 Licensed Representative 1VONALT Peter James AOV457 Licensed Representative 1, 6WAI King Tze, Thomas AEJ792 Licensed Representative 1, 2WANG Daniel Nianzu AHY126 Licensed Representative 1, 4, 6WANG Feili AIR147 Licensed Representative 4WANG Kankan AUP532 Licensed Representative 1, 4WANG Richard Jen-Hwa AUA264 Licensed Representative 1, 4WATANABE Ai APW953 Licensed Representative 1, 6WEATHERILL Lucas Scott AMS328 Licensed Representative 4, 9

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityWILSON Scott AUX582 Licensed Representative 4, 9WOLAK John Richard AMZ905 Licensed Representative 1WONG Chi Ho AOE406 Licensed Representative 1, 4WONG Godfrey Hin Cheuk AGX723 Licensed Representative 1, 4WONG Harald ARO504 Licensed Representative 1, 4, 9WONG Ho Hon ATJ181 Licensed Representative 1WONG Hung Shing ASK154 Licensed Representative 3WONG Joana ARD371 Licensed Representative 1, 4WONG Ka Hoi ARD521 Licensed Representative 1WONG Kam Sau AMI027 Licensed Representative 4WONG King Wah, Jodie ANP439 Licensed Representative 1WONG Kwai Lam AAI686 Licensed Representative 1, 4, 6WONG Kwok Leung ASK759 Licensed Representative 1, 2, 3, 5WONG Man Kit AUS296 Licensed Representative 4WONG Man Yin ARD527 Licensed Representative 1, 1, 2, 2, 3WONG Nei Nar AFD756 Licensed Representative 1, 2, 4, 6WONG Ping Shing APN553 Licensed Representative 4WONG Pui Chun AAD766 Licensed Representative 1WONG Shun Wah, Cynthia APY315 Licensed Representative 1, 2WONG Teck Chit, Alfred AWF438 Licensed Representative 4, 5, 9WONG Tze Sun, Sunny AAF084 Licensed Representative 1WONG Vincent Wing Hong AIW025 Licensed Representative 4, 9WONG Wing Lok, Eponine AOO268 Licensed Representative 1, 4, 9WONG Yick Keung AJC146 Licensed Representative 1, 2, 3WONG Yin Ching ALU545 Licensed Representative 1, 2WONG Yin Ming AEV485 Licensed Representative 1WONG Yiu Man ASE092 Licensed Representative 1, 2, 4WU Ping Kong ASY272 Licensed Representative 3WU Sui Lin AED858 Licensed Representative 1WU Tai On ACW160 Licensed Representative 1WYER Michael John ATH336 Licensed Representative 4XIE Chengsi ATQ775 Licensed Representative 1XIONG Li AQE822 Licensed Representative 1, 4XU Naijie ATR686 Licensed Representative 4, 9YAN Yuk Mui AMX816 Licensed Representative 1, 4, 5, 9YANG Guang AOZ128 Licensed Representative 9

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityYE Lingyun AJK453 Licensed Representative 1, 4YEN Edward ATJ152 Licensed Representative 4YEN Ming-hsing AVS669 Licensed Representative 6YEUNG Cecilia Wan Sze AQW432 Licensed Representative 3YEUNG Chi On, Andy AOV705 Licensed Representative 1, 4YEUNG Pui Shan ATY822 Licensed Representative 1, 2YEUNG Siu Lin AGE163 Licensed Representative 1YEUNG Tsz Tik AUW143 Licensed Representative 9YEUNG Wing Yi AUM518 Licensed Representative 1YIM Chui Ling, Dora AQS437 Licensed Representative 4YIN Yuet Sheung ANY278 Licensed Representative 1, 4, 9YU Chi Wai AEZ995 Licensed Representative 1, 4YU Lin-Li ALI379 Licensed Representative 1YU Shek Lun ATQ882 Licensed Representative 1YU Yin ARN735 Licensed Representative 1, 2YUEN Fung Yi ARN632 Licensed Representative 1, 4YUEN Wing Tack AVQ685 Licensed Representative 1, 2YUEN Wing Yi AVM670 Licensed Representative 1, 2ZHAI Hai Tao AFU154 Licensed Representative 1, 6ZHAI Yiyun ARD539 Licensed Representative 2ZHANG Lingqing ARA627 Licensed Representative 1, 2ZHANG Na AVJ731 Licensed Representative 4ZHANG Yan AVA364 Licensed Representative 1, 2ZHANG Yongxin AUG265 Licensed Representative 4, 9ZHANG Yu APS745 Licensed Representative 1, 2, 7ZHENG Jingxin ASO967 Licensed Representative 1ZHOU Francis Bingrong AVJ543 Licensed Representative 9ZHOU Lu APR910 Licensed Representative 4ZHU Chen AOG232 Licensed Representative 1, 4, 4ZHU Xuan AQP748 Licensed Representative 4, 9ZIMMERMANN Rebecca Verena ASL333 Licensed Representative 1AU Chi On, Paul ALZ783 Licensed Representative - Responsible Officer 1, 4BAI Xiaoshu AED393 Licensed Representative - Responsible Officer 4, 6CHAN Cheung Wo ADX475 Licensed Representative - Responsible Officer 1CHANG Michael Ming-yuen AFQ014 Licensed Representative - Responsible Officer 1, 4, 6, 9CHARLOT Pascal Pierre AQD491 Licensed Representative - Responsible Officer 1, 9

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityCHEUNG Pui Yin, Edwina ACF145 Licensed Representative - Responsible Officer 4, 6, 9FEAGIN Douglas Lehman ALA672 Licensed Representative - Responsible Officer 1, 6FORBES Cindy Lou AMS019 Licensed Representative - Responsible Officer 1, 4, 9FREEDMAN Daniel Keith AVD962 Licensed Representative - Responsible Officer 1, 4, 9GUO Baoxin ATO640 Licensed Representative - Responsible Officer 9KWONG Chun Chuan AAA857 Licensed Representative - Responsible Officer 1, 4, 9LANDAU Alan Jeffrey AQC823 Licensed Representative - Responsible Officer 4, 9LIM Yew Seng AUE782 Licensed Representative - Responsible Officer 4, 9LIU Gar Lon ATJ435 Licensed Representative - Responsible Officer 4LU Yanxiang AQX954 Licensed Representative - Responsible Officer 9MACDOUGALL Brian Alexander AHA824 Licensed Representative - Responsible Officer 4, 9RYDER Raymond Peter AQE676 Licensed Representative - Responsible Officer 4, 9SANDS Brendan Thomas APD507 Licensed Representative - Responsible Officer 1SHEN Michael Koping AEE687 Licensed Representative - Responsible Officer 4, 9SHINOHARA Minoru AJJ327 Licensed Representative - Responsible Officer 1, 2, 4, 5, 6, 7SIN Pik Hung AEE540 Licensed Representative - Responsible Officer 1, 4, 9STERN Adam Bryan ARJ084 Licensed Representative - Responsible Officer 9SUEN Chun Man ABT497 Licensed Representative - Responsible Officer 1SUZUKI Eiichi AAG407 Licensed Representative - Responsible Officer 4, 9TAGAMI Akihiro AIU520 Licensed Representative - Responsible Officer 1, 2, 4TANG Yu Lap ABU658 Licensed Representative - Responsible Officer 4, 5, 9TILLY Joel AQZ636 Licensed Representative - Responsible Officer 9TSANG Kin Hung AFT414 Licensed Representative - Responsible Officer 6WANG Hao Jen AUM441 Licensed Representative - Responsible Officer 6WONG Mee Heung, Cecilia ABZ113 Licensed Representative - Responsible Officer 9YUE Zhiming AFA385 Licensed Representative - Responsible Officer 1, 4, 6ZHANG Meiling AQZ893 Licensed Representative - Responsible Officer 9ACKERMAN Assaf AWP517 Licensed Representative (Provisional Licence) 1AKAN Gokhan AWT176 Licensed Representative (Provisional Licence) 9ALLEN Julia Marie AWQ438 Licensed Representative (Provisional Licence) 1, 2, 7ANDREWS Scott Carter ASH792 Licensed Representative (Provisional Licence) 1, 4ANDROSIUK Carl Matthew AWS219 Licensed Representative (Provisional Licence) 1ARAKI Tetsuo AWQ684 Licensed Representative (Provisional Licence) 1ASPINALL Steven Andrew AWP804 Licensed Representative (Provisional Licence) 1, 2AU-YEUNG Ka Wai, Vicky AWN090 Licensed Representative (Provisional Licence) 1, 4BARATTE Nicolas Guy Gabriel AWN751 Licensed Representative (Provisional Licence) 1, 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityBASS Peter Andrew AWM024 Licensed Representative (Provisional Licence) 1, 2BAUMEISTER Andrea Carla AWQ257 Licensed Representative (Provisional Licence) 1, 2BECCHETTI James Patrick AWQ678 Licensed Representative (Provisional Licence) 1, 2BRODA Roland Thomas AWO960 Licensed Representative (Provisional Licence) 1, 2BROOKS Philip Andrew ALJ927 Licensed Representative (Provisional Licence) 1, 4BROWN Neil Arthur AWT174 Licensed Representative (Provisional Licence) 1, 6BYUN Kara Kyung Wha APJ708 Licensed Representative (Provisional Licence) 1CALDER Kieran John APF162 Licensed Representative (Provisional Licence) 4CAP Birgitta Maria AWS782 Licensed Representative (Provisional Licence) 4CHAN Chun Wai AWO082 Licensed Representative (Provisional Licence) 4CHAN King Cheung AWS947 Licensed Representative (Provisional Licence) 1CHAN Shun Man AWP249 Licensed Representative (Provisional Licence) 1, 4CHAN Sze Chung AWQ116 Licensed Representative (Provisional Licence) 1CHAN Sze Chung AWS037 Licensed Representative (Provisional Licence) 3CHAN Tiffany Ting AWP283 Licensed Representative (Provisional Licence) 1CHAN Wai ADW197 Licensed Representative (Provisional Licence) 1, 2CHAN Wan Fay, Catherine AWR691 Licensed Representative (Provisional Licence) 1, 2CHAN Yun Man, Ray AWS898 Licensed Representative (Provisional Licence) 1, 2CHANG Hui AWS290 Licensed Representative (Provisional Licence) 4CHANG Kuang Hsian AWS584 Licensed Representative (Provisional Licence) 4, 9CHANG Shian Ming, James ADG054 Licensed Representative (Provisional Licence) 9CHANG Tsun Wah, Terence AWP241 Licensed Representative (Provisional Licence) 4CHAPMAN Leo AWP232 Licensed Representative (Provisional Licence) 1, 3CHAU Kwok Yip AWP928 Licensed Representative (Provisional Licence) 1, 2CHEAH Sin Ying AQU254 Licensed Representative (Provisional Licence) 1CHEE Shui Chu AWP584 Licensed Representative (Provisional Licence) 1CHEGWIN Timothy Paul AWN318 Licensed Representative (Provisional Licence) 1CHELLAPPA Govindarajan AUX265 Licensed Representative (Provisional Licence) 4CHEN Bingjian AWQ432 Licensed Representative (Provisional Licence) 4CHEN Cheng Jorge AWP643 Licensed Representative (Provisional Licence) 1CHEN Dongquan AHX016 Licensed Representative (Provisional Licence) 1CHEN Fanny Lu Hong AWQ391 Licensed Representative (Provisional Licence) 1, 6CHEN Hsiao Ju AWS022 Licensed Representative (Provisional Licence) 1CHEN Shi AWQ302 Licensed Representative (Provisional Licence) 4, 9CHEN Xinwei APJ308 Licensed Representative (Provisional Licence) 1, 4, 6CHEN Xueqian AWP698 Licensed Representative (Provisional Licence) 4, 9

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityCHEN Yi AWP386 Licensed Representative (Provisional Licence) 4CHEN Zeen AWR548 Licensed Representative (Provisional Licence) 1, 6CHEN Zhen Hai AWM874 Licensed Representative (Provisional Licence) 1, 2CHENG Yu Hin, Timmons APB931 Licensed Representative (Provisional Licence) 1, 2CHEUNG Ching Fai, Daniel ANC002 Licensed Representative (Provisional Licence) 1CHEUNG Cho Chi AWQ260 Licensed Representative (Provisional Licence) 1, 2CHEUNG Kwan Siu AWR853 Licensed Representative (Provisional Licence) 1, 2CHEUNG Wai Kit ANY303 Licensed Representative (Provisional Licence) 4CHEUNG Wai Yip AWO073 Licensed Representative (Provisional Licence) 1, 4, 9CHIANG Lai Kit AWS781 Licensed Representative (Provisional Licence) 1CHILD Adam David AWS710 Licensed Representative (Provisional Licence) 4, 9CHIU Siu Po, Steve AAJ831 Licensed Representative (Provisional Licence) 4, 9CHIU Yiu Wing, Charles AEE312 Licensed Representative (Provisional Licence) 1, 4CHIU Yuen AVI626 Licensed Representative (Provisional Licence) 1, 6CHOI Kai Hang AWP243 Licensed Representative (Provisional Licence) 1, 2CHOPRA Vikramjeet Singh AWQ370 Licensed Representative (Provisional Licence) 4CHOW Wing To AWP278 Licensed Representative (Provisional Licence) 1, 4CHU Hung AIH454 Licensed Representative (Provisional Licence) 1, 4CHU Melissa ARJ507 Licensed Representative (Provisional Licence) 1, 2CHU Moon Lin AWP233 Licensed Representative (Provisional Licence) 1CHU Sing Yung AQJ223 Licensed Representative (Provisional Licence) 1, 2CHU Wan Yin AWS031 Licensed Representative (Provisional Licence) 1, 4CHUANG Ker-Yu AVW335 Licensed Representative (Provisional Licence) 9CHUN Julian Howe AOB660 Licensed Representative (Provisional Licence) 1CHUNG Wai Tong ARF932 Licensed Representative (Provisional Licence) 1CLERC Alexis, Serge, Cyril AWP271 Licensed Representative (Provisional Licence) 1, 2, 7COOK Wai Ming, Adrian AWQ522 Licensed Representative (Provisional Licence) 1, 2CORRIGAN Peter Antony AWP893 Licensed Representative (Provisional Licence) 1, 2CUI Yi AWR695 Licensed Representative (Provisional Licence) 1, 6CURTIL Laurianne Marie AWT328 Licensed Representative (Provisional Licence) 1, 2DAVIDGE-PITTS Mark Nicholas AJL230 Licensed Representative (Provisional Licence) 1, 2DORAMUS William Edward AWP319 Licensed Representative (Provisional Licence) 1, 2, 7DURANTEZ Marc AWP887 Licensed Representative (Provisional Licence) 1, 2FEINBERG Alexander Eugene AWO415 Licensed Representative (Provisional Licence) 9FLAMAIN Celine Anne Nathalie AWS884 Licensed Representative (Provisional Licence) 4, 9FUNG Koon Yan AWS896 Licensed Representative (Provisional Licence) 1

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityGANDHI Sonia AWR811 Licensed Representative (Provisional Licence) 1GIKANDI Samuel Nderitu AWQ786 Licensed Representative (Provisional Licence) 1, 2, 7GOH Kwang Yi, Angeline AWQ429 Licensed Representative (Provisional Licence) 1, 4GONG Yueyue AVK929 Licensed Representative (Provisional Licence) 4GREENE Scott Garel AWP822 Licensed Representative (Provisional Licence) 1, 6GUAN Ying AWQ675 Licensed Representative (Provisional Licence) 1GUPTA Ashish AWJ087 Licensed Representative (Provisional Licence) 4GVOZDEN Alexander Robin ADR449 Licensed Representative (Provisional Licence) 9HADIWIDJAJA Theodorus S. AWS530 Licensed Representative (Provisional Licence) 4, 5, 9HE Xin AWN877 Licensed Representative (Provisional Licence) 1, 6HE Zhengwei AWQ292 Licensed Representative (Provisional Licence) 1HENZE Frank AWQ625 Licensed Representative (Provisional Licence) 1, 4HILAN Matthew John AWQ105 Licensed Representative (Provisional Licence) 4HO Ching Yee AWP275 Licensed Representative (Provisional Licence) 1, 4HO Derek AEO600 Licensed Representative (Provisional Licence) 4HO Kar Ying AWQ467 Licensed Representative (Provisional Licence) 1, 4HO Sai Man AWQ108 Licensed Representative (Provisional Licence) 9HOLTON Jason Benbrook AWS349 Licensed Representative (Provisional Licence) 1, 6HONARI Pedram Peter ATB630 Licensed Representative (Provisional Licence) 1, 4, 7HSU Chun-Ming AWS371 Licensed Representative (Provisional Licence) 4HSU Chung-Wei APR573 Licensed Representative (Provisional Licence) 1HSUEH Yun-chi AWP703 Licensed Representative (Provisional Licence) 1HU Jie AWQ290 Licensed Representative (Provisional Licence) 4HU Weijun AWS043 Licensed Representative (Provisional Licence) 1, 4HUANG Kai AOB359 Licensed Representative (Provisional Licence) 4, 9HUANG Kin Hing AWS038 Licensed Representative (Provisional Licence) 3HUANG Liang AWQ795 Licensed Representative (Provisional Licence) 1, 6HUANG Lini AWR867 Licensed Representative (Provisional Licence) 1, 6HUANG Shiau-Ling AWM151 Licensed Representative (Provisional Licence) 4HUANG Xiaoxiang AWP888 Licensed Representative (Provisional Licence) 1, 6HUANG Yiran AWS789 Licensed Representative (Provisional Licence) 1HUANG Yuhua AWR982 Licensed Representative (Provisional Licence) 2HUI Chun AWQ526 Licensed Representative (Provisional Licence) 1, 2, 3HUI Kin Sing AWR738 Licensed Representative (Provisional Licence) 1, 2HUI King Leuk AWT449 Licensed Representative (Provisional Licence) 1, 6HUI Ting Siu AWP885 Licensed Representative (Provisional Licence) 1, 2, 3

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityHUYNH Yu-ching AWP034 Licensed Representative (Provisional Licence) 1HWANG Seung-hoon AWR623 Licensed Representative (Provisional Licence) 1JAIN Pankaj AWN126 Licensed Representative (Provisional Licence) 1, 2JARJOURA Kristofer Hamid AWS861 Licensed Representative (Provisional Licence) 1JIA Jian AWP432 Licensed Representative (Provisional Licence) 9JIANG Chao AWP310 Licensed Representative (Provisional Licence) 2JIN Tianyin AWP268 Licensed Representative (Provisional Licence) 4JIN Ziyin AWQ069 Licensed Representative (Provisional Licence) 1, 7JUNG Chungkoo Eugene AWP250 Licensed Representative (Provisional Licence) 4KAO Margaret Ju-Han AQD029 Licensed Representative (Provisional Licence) 1, 4KEOGH Shane AWS870 Licensed Representative (Provisional Licence) 1, 2KIM Michael Sang Eun AWP824 Licensed Representative (Provisional Licence) 1, 2KNIGHT Clifford Justin AUZ508 Licensed Representative (Provisional Licence) 4KO Tsz Ngong AWH115 Licensed Representative (Provisional Licence) 1, 2KONG Kathleen AWS260 Licensed Representative (Provisional Licence) 4KOO Man Chi, Michael AWS283 Licensed Representative (Provisional Licence) 1KOO Mary Tin Yee AWR535 Licensed Representative (Provisional Licence) 1, 6KRASNOZHENOV Boris AWS984 Licensed Representative (Provisional Licence) 4KWAN Kin Kei ACU638 Licensed Representative (Provisional Licence) 1, 2, 4KWEK Kon Chao AWQ621 Licensed Representative (Provisional Licence) 1KWOK Chi Wang ACX686 Licensed Representative (Provisional Licence) 2, 3KWONG Kin Hung, Ricky AQR307 Licensed Representative (Provisional Licence) 1LAHAR Rebecca Anne AWS697 Licensed Representative (Provisional Licence) 1, 4LAI Chi Wang, Alen AWQ674 Licensed Representative (Provisional Licence) 1LAM Cheuk Wain, Wayne AWQ258 Licensed Representative (Provisional Licence) 4, 5, 9LAM Chui Wah AMM393 Licensed Representative (Provisional Licence) 1LAM Ho Yin AWR864 Licensed Representative (Provisional Licence) 1, 2LAM Hoi Kin, Jacky AWO901 Licensed Representative (Provisional Licence) 1LAM Kwong Yu AFD849 Licensed Representative (Provisional Licence) 1, 4LAM Pui San AWR815 Licensed Representative (Provisional Licence) 1LAM Shu Hon AWP285 Licensed Representative (Provisional Licence) 1, 2LAM Suk Yee Martha AWS703 Licensed Representative (Provisional Licence) 1, 6LAM Wai On AWQ111 Licensed Representative (Provisional Licence) 1, 2LAM Wai Sing AWT165 Licensed Representative (Provisional Licence) 1, 2LARSEN Steffen Kolbe AWP884 Licensed Representative (Provisional Licence) 1LAU Tik Sze AWS532 Licensed Representative (Provisional Licence) 1

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityLAU Tin Lung AWQ115 Licensed Representative (Provisional Licence) 1, 4LAU Wai Ting AWQ077 Licensed Representative (Provisional Licence) 1LAU Wing Shan AFE210 Licensed Representative (Provisional Licence) 1LAURENT-BELLUE Edouard Marie Pierre AWR814 Licensed Representative (Provisional Licence) 1, 2LAW Andrew Corbet ACX031 Licensed Representative (Provisional Licence) 1LAW Kai Chung AWT048 Licensed Representative (Provisional Licence) 4, 9LAW On Yee AWQ303 Licensed Representative (Provisional Licence) 1, 4LEE David Hyung-Tek AOV740 Licensed Representative (Provisional Licence) 1, 4LEE Jinsoo AWP417 Licensed Representative (Provisional Licence) 1, 2LEE Kong Faat AWS550 Licensed Representative (Provisional Licence) 1, 2LEE Kun Ho AWQ423 Licensed Representative (Provisional Licence) 1, 2, 7LEE Pui Kwan APU612 Licensed Representative (Provisional Licence) 1LER Li Ling AWQ787 Licensed Representative (Provisional Licence) 1, 2LEUNG Alexander Tsang Ho AWS284 Licensed Representative (Provisional Licence) 1LEUNG Chi Hang AWQ289 Licensed Representative (Provisional Licence) 1LEUNG Johnson Hoi Yung AWR747 Licensed Representative (Provisional Licence) 1, 2LEUNG Ka Woon AWO653 Licensed Representative (Provisional Licence) 1LEUNG Kwok Kuen AVQ692 Licensed Representative (Provisional Licence) 1, 2LEUNG Patricia, Yuk Yee AWP012 Licensed Representative (Provisional Licence) 1, 4LI Gary AWP284 Licensed Representative (Provisional Licence) 1LI Jia AWQ113 Licensed Representative (Provisional Licence) 1, 2LI Jianyang AWS028 Licensed Representative (Provisional Licence) 1, 6LI Junfeng AWP671 Licensed Representative (Provisional Licence) 1, 4LI King Him AWS455 Licensed Representative (Provisional Licence) 3LI Ko Wing, George AWR727 Licensed Representative (Provisional Licence) 1, 4LI Po Yi AWQ112 Licensed Representative (Provisional Licence) 1, 2LIANG Man Wei, Jonathan AFR655 Licensed Representative (Provisional Licence) 1, 4LIANG Shui Foon ADV772 Licensed Representative (Provisional Licence) 1, 4LIAO Meng-jung AWP686 Licensed Representative (Provisional Licence) 1, 4LIAO Shifan AWO654 Licensed Representative (Provisional Licence) 4LIM Jin Yin Elaine AWQ436 Licensed Representative (Provisional Licence) 1, 2LIM You Jie, Benedict AWP718 Licensed Representative (Provisional Licence) 1, 4, 6LIN Yang AWR728 Licensed Representative (Provisional Licence) 1, 2LIN Yonghan, Lionel AVK959 Licensed Representative (Provisional Licence) 4LIN Yu Chih AWQ528 Licensed Representative (Provisional Licence) 1LIU Boyong AWO657 Licensed Representative (Provisional Licence) 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityLIU Ming Lung AWS393 Licensed Representative (Provisional Licence) 4LIU Shuai AWS026 Licensed Representative (Provisional Licence) 1, 6LIU Xuanhua AWR729 Licensed Representative (Provisional Licence) 1, 2LIU Xueying AWP685 Licensed Representative (Provisional Licence) 1, 6LIU Yusheng AWQ090 Licensed Representative (Provisional Licence) 4LO Ching Hin AQD470 Licensed Representative (Provisional Licence) 1, 2LU Hongliang AWO608 Licensed Representative (Provisional Licence) 4LU Shuangge AWR531 Licensed Representative (Provisional Licence) 4LU Yi AWI935 Licensed Representative (Provisional Licence) 1, 6LU Zhuo AWQ378 Licensed Representative (Provisional Licence) 1, 6LUCAS Ken Lawrence AVM645 Licensed Representative (Provisional Licence) 1, 4, 7LUO Juan AWQ261 Licensed Representative (Provisional Licence) 1LYONNET Boris Nicolas AOD135 Licensed Representative (Provisional Licence) 1, 2, 4, 5MA David AWP273 Licensed Representative (Provisional Licence) 1MACKINSON Christopher Donald AWT177 Licensed Representative (Provisional Licence) 9MAN Ka Lai AWP883 Licensed Representative (Provisional Licence) 1, 2MAN Tak Yiu AWQ431 Licensed Representative (Provisional Licence) 1MENG Bingyu AWS029 Licensed Representative (Provisional Licence) 1, 2MILLAR C Mackenzie Stevens AWS911 Licensed Representative (Provisional Licence) 1, 2, 7MILLION David Brian AWQ114 Licensed Representative (Provisional Licence) 1, 2MISHRA Neelkanth ALW780 Licensed Representative (Provisional Licence) 4MITTAL Poonit AWS023 Licensed Representative (Provisional Licence) 1, 2MO Yifan AWP607 Licensed Representative (Provisional Licence) 1, 6MONG Ka Ho AWS551 Licensed Representative (Provisional Licence) 1, 2MU Xiao AWS429 Licensed Representative (Provisional Licence) 1, 2NAGASAWA Yo AWQ106 Licensed Representative (Provisional Licence) 4NAIR Srijith Surendranathan AWQ525 Licensed Representative (Provisional Licence) 1, 6NANDANWAR Ajay Sudhanwa AWR812 Licensed Representative (Provisional Licence) 4NERUDA Keith Francis ANH021 Licensed Representative (Provisional Licence) 4NG Bun Ngai, Penelope AWP287 Licensed Representative (Provisional Licence) 1NG Wai Kwong AWP695 Licensed Representative (Provisional Licence) 1, 2OKADA Masakatsu AWP882 Licensed Representative (Provisional Licence) 4ONG Beng Yong ANT433 Licensed Representative (Provisional Licence) 1OUNG Park Un Brian AWT087 Licensed Representative (Provisional Licence) 1, 2PAGLIARINI Alberto APH107 Licensed Representative (Provisional Licence) 1, 6PAIN Matthew Henry AWS453 Licensed Representative (Provisional Licence) 1

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityPANG Sui Ting ATB914 Licensed Representative (Provisional Licence) 1PARK Cheon Woong ALF574 Licensed Representative (Provisional Licence) 1, 4, 9PATEL Rushi Chandragupta AWQ620 Licensed Representative (Provisional Licence) 1, 2, 7PAYNE Nicholas ATM942 Licensed Representative (Provisional Licence) 1PERRETON Jean-Francois Georges AWN092 Licensed Representative (Provisional Licence) 1, 2POON Tse King AWP815 Licensed Representative (Provisional Licence) 1, 2POOPOKSAKUL Salinee AWQ670 Licensed Representative (Provisional Licence) 4PUN Kar Kiu, Jose AWR716 Licensed Representative (Provisional Licence) 4QIAO Sharon Ding AWR739 Licensed Representative (Provisional Licence) 1, 6QIN Ai Hua AWS555 Licensed Representative (Provisional Licence) 4RAKE Brendan Thomas AJD854 Licensed Representative (Provisional Licence) 1REN Hui AOC886 Licensed Representative (Provisional Licence) 1, 4ROBERTSON Charles Struan Davey AWS599 Licensed Representative (Provisional Licence) 4ROBINSON Louise Catherine AWP244 Licensed Representative (Provisional Licence) 1, 2ROSADO VELASCO Sixto Fernando AWJ387 Licensed Representative (Provisional Licence) 1, 4ROWOLD Niklas Roman AWP694 Licensed Representative (Provisional Licence) 1SABHARWAL Rajat AWP818 Licensed Representative (Provisional Licence) 4SAKAMOTO Tomiyuki AWO027 Licensed Representative (Provisional Licence) 1, 4SANDEMAN Stuart Charles AWS470 Licensed Representative (Provisional Licence) 1, 2SARKAR Mainak AWQ521 Licensed Representative (Provisional Licence) 1, 2SCHOLEY Richard Brendan AWP282 Licensed Representative (Provisional Licence) 4SCHUETZ Arthur Josef Hermann AWS902 Licensed Representative (Provisional Licence) 1, 6SE THO Mun Kit AWS554 Licensed Representative (Provisional Licence) 4, 9SEET Wei Wen, Jordan AWQ103 Licensed Representative (Provisional Licence) 1SHABAHAT Sayeed AWQ278 Licensed Representative (Provisional Licence) 4SHAW Natalie Ann AGB890 Licensed Representative (Provisional Licence) 1, 7SHI Yun-Fu ANM243 Licensed Representative (Provisional Licence) 2, 5SHUI Wai Miu AWP036 Licensed Representative (Provisional Licence) 1SINGER David Antony AWS936 Licensed Representative (Provisional Licence) 1STARR Michael Lewis AWP051 Licensed Representative (Provisional Licence) 1STERNBY Bjoern Petter Waldemar AWS041 Licensed Representative (Provisional Licence) 1, 4, 6STILES Andrew Guy ABE303 Licensed Representative (Provisional Licence) 1SU Yanyu AWQ093 Licensed Representative (Provisional Licence) 4, 9SUN Jianyun AWR720 Licensed Representative (Provisional Licence) 1, 6SUN Lijun AWO659 Licensed Representative (Provisional Licence) 4SUN Yu AWS600 Licensed Representative (Provisional Licence) 6

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivitySY Daniel Chua AWQ447 Licensed Representative (Provisional Licence) 1, 2SZE Cho Man, Colin AAE164 Licensed Representative (Provisional Licence) 1, 2, 4, 6, 9TAI Jennifer AWS020 Licensed Representative (Provisional Licence) 9TAM Chit Wa APQ493 Licensed Representative (Provisional Licence) 1, 4, 6TAM Tsz Yan AWT888 Licensed Representative (Provisional Licence) 1TAM Yee Hang AUT514 Licensed Representative (Provisional Licence) 1, 4TAN Johny AWP899 Licensed Representative (Provisional Licence) 4TAN Perry Michael AWP889 Licensed Representative (Provisional Licence) 4, 9TANAKA Maki AWT166 Licensed Representative (Provisional Licence) 1TANG Chunhua AWP783 Licensed Representative (Provisional Licence) 9TANG Kai Kwong AWP840 Licensed Representative (Provisional Licence) 1, 6TANG Minyi AWS939 Licensed Representative (Provisional Licence) 1, 2TANG Yik Hang AWQ107 Licensed Representative (Provisional Licence) 6TIEN Chung Yu, Osmund ABX352 Licensed Representative (Provisional Licence) 1, 4TIMM Roman Sebastian AWS454 Licensed Representative (Provisional Licence) 1, 2, 4TRAN Fon Francis AWR700 Licensed Representative (Provisional Licence) 1, 2TREACY Shaun Reginald AWO648 Licensed Representative (Provisional Licence) 1, 4, 6TSAI Yat Kwan AVR644 Licensed Representative (Provisional Licence) 1, 2TSANG Wai Hang, Wayne AOB854 Licensed Representative (Provisional Licence) 1, 2, 7TSE Wai Biu AQQ123 Licensed Representative (Provisional Licence) 4, 9TSE Wing Sze AWO578 Licensed Representative (Provisional Licence) 1TSUI Ka Lun AWP641 Licensed Representative (Provisional Licence) 1USHIRO Hideaki AFY323 Licensed Representative (Provisional Licence) 4, 6VAN OIJEN Sebastiaan Francois AWL695 Licensed Representative (Provisional Licence) 1, 2VANDERZEIL Robert Alan Spencer AWS935 Licensed Representative (Provisional Licence) 1VENTOURAS Panagiotis AWP816 Licensed Representative (Provisional Licence) 1, 6WAH Sai Kit ANJ563 Licensed Representative (Provisional Licence) 1, 2WAI Kwai Fong AWQ619 Licensed Representative (Provisional Licence) 6WANG Chih-Lin AWP681 Licensed Representative (Provisional Licence) 4WANG Dawei AWT175 Licensed Representative (Provisional Licence) 9WANG Qian AWO583 Licensed Representative (Provisional Licence) 4WANG Qin AWP856 Licensed Representative (Provisional Licence) 2WANG Yu AWT003 Licensed Representative (Provisional Licence) 1, 6WANG Zhuojun AWS992 Licensed Representative (Provisional Licence) 4, 9WELLS Peter John AWO080 Licensed Representative (Provisional Licence) 1, 2, 4, 5WELLS Steven Peter AWS034 Licensed Representative (Provisional Licence) 1, 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityWEN Kuo-Hui APB222 Licensed Representative (Provisional Licence) 1WERRMANN Alf AWQ445 Licensed Representative (Provisional Licence) 1, 2WHEELER Daniel Raymond AHP526 Licensed Representative (Provisional Licence) 1, 2WINSLEY David Benjamin AWS593 Licensed Representative (Provisional Licence) 1, 2WITTET Mark James Oakley AWR862 Licensed Representative (Provisional Licence) 1, 2WONG Chun Ming AEZ885 Licensed Representative (Provisional Licence) 1WONG Desmond Chun Man AVR148 Licensed Representative (Provisional Licence) 1, 2WONG Jinrong, Andy ANX808 Licensed Representative (Provisional Licence) 1, 2WONG Ka Ming AWP779 Licensed Representative (Provisional Licence) 1, 2WONG Ka Wai, Evelyn AFJ223 Licensed Representative (Provisional Licence) 1, 2WONG Kam Fa AWQ374 Licensed Representative (Provisional Licence) 1, 2WONG Lok Yat ALQ123 Licensed Representative (Provisional Licence) 1WONG Matthew Chi Ho AVN200 Licensed Representative (Provisional Licence) 9WONG Sum Yin AWO457 Licensed Representative (Provisional Licence) 1, 4, 9WONG Tsz Mei AWQ797 Licensed Representative (Provisional Licence) 1WONG Wai Hin AWS039 Licensed Representative (Provisional Licence) 4WONG Wai Ki, Carlos AFG799 Licensed Representative (Provisional Licence) 1, 2WONG Wai Lun ASO648 Licensed Representative (Provisional Licence) 2, 3WONG Wing AWP719 Licensed Representative (Provisional Licence) 1, 6XIAO Kai AVM758 Licensed Representative (Provisional Licence) 1XIE Sha AWS983 Licensed Representative (Provisional Licence) 6XIONG Li AWQ251 Licensed Representative (Provisional Licence) 1, 2XU Juan AWP286 Licensed Representative (Provisional Licence) 1, 4XU Nan AWN527 Licensed Representative (Provisional Licence) 4, 9YANG Jing AWP387 Licensed Representative (Provisional Licence) 4YANG Shiau-ju AWQ672 Licensed Representative (Provisional Licence) 1YAU Siu Yeung, Shari AWP697 Licensed Representative (Provisional Licence) 1, 4YE Qing AWS033 Licensed Representative (Provisional Licence) 4YEUNG Tsz Kong AWP540 Licensed Representative (Provisional Licence) 1, 6YEUNG Wing Ling AWR506 Licensed Representative (Provisional Licence) 1, 2YIM Christopher Seeching AWP270 Licensed Representative (Provisional Licence) 4YIP Kam Kwan AVM926 Licensed Representative (Provisional Licence) 1YIP Teen Hang AWQ104 Licensed Representative (Provisional Licence) 1, 2, 4, 5YOO Hyek AWP700 Licensed Representative (Provisional Licence) 1, 2YOON Suyeon AWQ430 Licensed Representative (Provisional Licence) 1, 6YOSHIDA Kyonosuke AWO227 Licensed Representative (Provisional Licence) 1

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityYU Ming Hui AWP642 Licensed Representative (Provisional Licence) 1YU Xiaohan AWR725 Licensed Representative (Provisional Licence) 9YU Yue AWS030 Licensed Representative (Provisional Licence) 1, 2YUEN Ka Lok, David ALW487 Licensed Representative (Provisional Licence) 1, 4YUNG Mei Chun, Jessie AEK437 Licensed Representative (Provisional Licence) 1ZENG Xiankui AWP778 Licensed Representative (Provisional Licence) 1ZHANG Jingshao AWS796 Licensed Representative (Provisional Licence) 3ZHANG Senyan AWK695 Licensed Representative (Provisional Licence) 4ZHAO Ruochuan AWR979 Licensed Representative (Provisional Licence) 1, 6ZHOU Gang AWP701 Licensed Representative (Provisional Licence) 1, 2ZHOU Guannan AWT002 Licensed Representative (Provisional Licence) 2, 5ZHOU Yu AWT457 Licensed Representative (Provisional Licence) 9ZUO Si AWR730 Licensed Representative (Provisional Licence) 1, 2BAO Richard APY712 Licensed Representative (Temporary Licence) 1BARDELLA Rafael Palmeira AWU133 Licensed Representative (Temporary Licence) 4BASS Matthew David AWT777 Licensed Representative (Temporary Licence) 4BRISCOE Hayden Daniel AVV090 Licensed Representative (Temporary Licence) 4BRISTOWE Michael Gerald AWC663 Licensed Representative (Temporary Licence) 4CALICH Claudia AOY027 Licensed Representative (Temporary Licence) 1CHEN Jack APL609 Licensed Representative (Temporary Licence) 2CHO Heejoon AWN534 Licensed Representative (Temporary Licence) 1COUNTRYMAN David Andrew AVQ063 Licensed Representative (Temporary Licence) 1, 6COX Ashley James AQS487 Licensed Representative (Temporary Licence) 1ELLIS James William Edward AWP670 Licensed Representative (Temporary Licence) 4FUKUSHIMA Daisuke ASJ764 Licensed Representative (Temporary Licence) 4GEORGE Bradley John AQF002 Licensed Representative (Temporary Licence) 4GRIFFITHS Graeme Derek Victor AOA583 Licensed Representative (Temporary Licence) 4GROTZINGER Adam W AVI257 Licensed Representative (Temporary Licence) 1HAMURO Masayo AVW066 Licensed Representative (Temporary Licence) 1HARRINGTON JR Thomas James AWA209 Licensed Representative (Temporary Licence) 1HAYASHI Koji AVL891 Licensed Representative (Temporary Licence) 1HOSHI Naoki AWP716 Licensed Representative (Temporary Licence) 1KONO Takaomi AVL920 Licensed Representative (Temporary Licence) 4KONTANI Masaru AUW611 Licensed Representative (Temporary Licence) 1LEE Terry Tai-Suk AMY783 Licensed Representative (Temporary Licence) 1LIPPENS Bruno Andre Joseph ARP187 Licensed Representative (Temporary Licence) 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 02/2011CE Name CE No. Licence Type Types of Regulated ActivityLORD Nicholas Peter ANB704 Licensed Representative (Temporary Licence) 1MA Jie AVD108 Licensed Representative (Temporary Licence) 4MCTAGGART Paul Joseph AUW886 Licensed Representative (Temporary Licence) 4NG Ngee Cheng ALT810 Licensed Representative (Temporary Licence) 4PETRONIKOLOS Athanasios AWQ219 Licensed Representative (Temporary Licence) 1, 4PHLEGAR Jeffrey Scott AMJ997 Licensed Representative (Temporary Licence) 4RICHARDSON Peter George Lister AUD567 Licensed Representative (Temporary Licence) 1ROTH IV Christian Gordon ATC470 Licensed Representative (Temporary Licence) 1SAKAI Hidetsugu AWQ788 Licensed Representative (Temporary Licence) 1SHAO Jiamin AVD115 Licensed Representative (Temporary Licence) 4SHODA Masafumi ANE306 Licensed Representative (Temporary Licence) 4SHOJI Yu AWE654 Licensed Representative (Temporary Licence) 1SUMMERFIELD David Angus AEP603 Licensed Representative (Temporary Licence) 1TAN Chee Yong AWE472 Licensed Representative (Temporary Licence) 1, 4TAY Teck Seng AHO443 Licensed Representative (Temporary Licence) 4UCHIKAWA Shunsuke AWS797 Licensed Representative (Temporary Licence) 1, 6UGURTAS Ecehan APV617 Licensed Representative (Temporary Licence) 1, 4YOKOYAMA Kyoichiro AJJ625 Licensed Representative (Temporary Licence) 4YUKI Eduardo Tatsumi AWU134 Licensed Representative (Temporary Licence) 4

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