ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2016

CE Name CE No. Licence Type Types of Regulated Activity

Asia Climate Partners Hong Kong Limited BGY602 Licensed Corporation 1, 4

CASH Algo Finance Group Limited BFE162 Licensed Corporation 9

Composite Capital Management (HK) Limited BHG625 Licensed Corporation 9

Cornerstone Securities Limited BGK635 Licensed Corporation 1

Donghai International Asset Management (Hong Kong) Limited BGW874 Licensed Corporation 4, 9

Forwin Futures Group Limited BHB627 Licensed Corporation 2

Founder Futures (Hong Kong) Limited BGP636 Licensed Corporation 2

Fund Genesis Limited AXH284 Licensed Corporation 1, 4

Golden Slam Securities (Hong Kong) Limited BHF994 Licensed Corporation 1

Goldman Sachs Asset Management (Hong Kong) Limited BFK567 Licensed Corporation 1, 4, 9

Huarong International Capital Limited BGY986 Licensed Corporation 1, 6

iGoldenbeta Securities Company Limited BHB339 Licensed Corporation 1, 4

KEYSTONE CAPITAL LIMITED BGQ802 Licensed Corporation 4, 9

Korban Capital Limited BHG146 Licensed Corporation 9

Leader Financial Asset Management Limited BGV030 Licensed Corporation 4, 9

MTI Management (HK) Limited (trading as Megatrust Investment (HK)) BHG071 Licensed Corporation 9

NTF Asset Management Limited BGZ625 Licensed Corporation 9

Platina Capital Management Limited BHD382 Licensed Corporation 9

Qianhai Corporate Finance Limited BHD369 Licensed Corporation 6

Starex Global Asset Management Limited BHA064 Licensed Corporation 9

Wealth Link Securities Limited BGV434 Licensed Corporation 1

ABDALLAH Damien John BHO976 Licensed Representative 9

AGUIRRE Ramon Jose Escalona AYL130 Licensed Representative 4

AMIR Faridah BDJ450 Licensed Representative 1

AN An BHK900 Licensed Representative 1, 4, 9

ANDO Yusuke BAZ646 Licensed Representative 9

AU Cheuk Hei AVP020 Licensed Representative 1

BANERJEE Nilesh BHL908 Licensed Representative 9

BASTIN Michael Neal BHM679 Licensed Representative 9

BUSBY James Mcalpine BHD229 Licensed Representative 1, 2

CAO Yang BHN783 Licensed Representative 4

CARNOW Jacob Elliot AQE405 Licensed Representative 9

CHAE Seung Il BHJ802 Licensed Representative 2, 5

CHAI Wei Yen BHM089 Licensed Representative 1, 6

CHAN Chi Fan Eliza AEU531 Licensed Representative 1

CHAN Chi Hoi ANT218 Licensed Representative 1, 4

CHAN Chi Lai BHL210 Licensed Representative 4, 9

CHAN Chi Man AVA790 Licensed Representative 1, 4

CHAN Chin Yu BHM039 Licensed Representative 1

CHAN Cho Yin BAR088 Licensed Representative 4

CHAN Erving Wenhan BAP675 Licensed Representative 1, 4

CHAN Gerard Ga-hou BHO111 Licensed Representative 6

CHAN Hayes ANZ782 Licensed Representative 1, 2, 4, 5

CHAN Ka Cheong AWL330 Licensed Representative 1

CHAN Kelvin Kam-Pui BHL112 Licensed Representative 1

CHAN Kwai Mui ALB302 Licensed Representative 1

CHAN Man Kit Derek BHM348 Licensed Representative 1, 6

CHAN Ming Yee, Kay BHL504 Licensed Representative 1, 2

CHAN Pui Yi BHH658 Licensed Representative 6

CHAN Shui Yuen BHO815 Licensed Representative 1

CHAN Siu Chung BHM288 Licensed Representative 1

CHAN Vincent Wai Chong BHJ406 Licensed Representative 1, 4, 9

CHAN Wing Hong AZR588 Licensed Representative 1

CHAN Wing Tai, Jack AHN562 Licensed Representative 1, 2, 4

CHAN Yu Ho BHM561 Licensed Representative 1

Page 1 of 19

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2016

CE Name CE No. Licence Type Types of Regulated Activity

CHANG CHIEN Chieh Min BHL670 Licensed Representative 1, 4

CHANG Yu-Cheng BHL502 Licensed Representative 1, 4, 9

CHAU Kwok Fai ANX794 Licensed Representative 4

CHEN Baojun BHN824 Licensed Representative 2

CHEN Daqi BHN986 Licensed Representative 6

CHEN Ge BHO433 Licensed Representative 1, 2, 4, 5, 7

CHEN Qiang BHO455 Licensed Representative 1

CHEN Yikang BHL233 Licensed Representative 4

CHEN Yung Yiu BHH893 Licensed Representative 9

CHEN Zhuhong BHJ995 Licensed Representative 4, 9

CHEN Ziran AYP087 Licensed Representative 1

CHENG Chao BHL503 Licensed Representative 9

CHENG Cheuk Lam APB487 Licensed Representative 1, 2

CHENG Jazreel Yeun Yee AHT093 Licensed Representative 1, 4

CHENG Man Lei AUZ838 Licensed Representative 1, 4, 9

CHENG Mei Shan BHO011 Licensed Representative 1, 4

CHENG Tak Fai, Philip BHM812 Licensed Representative 1, 2

CHEUNG Brian BHL110 Licensed Representative 9

CHEUNG Ming Ming BHL200 Licensed Representative 1

CHEUNG Tak To BHM109 Licensed Representative 1

CHEUNG Yat Yam AII619 Licensed Representative 1, 4, 9

CHI Hui BHM403 Licensed Representative 1, 4, 6

CHI Wei BHL710 Licensed Representative 1, 4, 9

CHIA Jia Hao BHM583 Licensed Representative 1

CHIU King Leung AMP114 Licensed Representative 1, 9

CHIU Lok Kwan AVH029 Licensed Representative 4

CHIU Wen-Chen ARF372 Licensed Representative 1

CHOI Chak Man BGY410 Licensed Representative 4, 9

CHOI Ho Yan BHR891 Licensed Representative 9

CHOI Marcus BHP093 Licensed Representative 1

CHOI Wai Ming Albert ABO740 Licensed Representative 1

CHONG Kin Cheung BHO173 Licensed Representative 1

CHONG Shing Ho BBP101 Licensed Representative 1

CHOW Fung Yi BHM566 Licensed Representative 1

CHOY Man Tsung Simon BHJ689 Licensed Representative 1

CHU Ki Tat BBL825 Licensed Representative 1, 2

CHU Wai Lun ASX101 Licensed Representative 1, 4, 5, 9

CHUANG Johnny AFT893 Licensed Representative 1, 4, 9

CHUANG Ya Chun BHK739 Licensed Representative 1

CHUNG Cheuk Lam BHL816 Licensed Representative 3

CHUNG Ho Yee BHH748 Licensed Representative 1, 2, 4

CHUNG Jean Yong AGK970 Licensed Representative 9

CHUNG Kok Fook ASY849 Licensed Representative 1, 4

CHUNG Lung Kong AMY966 Licensed Representative 1

CLEMENT Theophile Thomas Jean-Pierre AAP310 Licensed Representative 1, 4

COEN Benjamin George ARM240 Licensed Representative 9

COLBERG Adrian Alexander BHL332 Licensed Representative 1, 9

CUI Shuo BHO187 Licensed Representative 4

CULLY Christopher Terence BHL341 Licensed Representative 3

DAO Derrick BHM203 Licensed Representative 1, 4, 6

DARLING Robert Joseph AXQ567 Licensed Representative 1, 7

DING Peng BHO461 Licensed Representative 1, 6

DING Xuechun BHL726 Licensed Representative 1

DMELLO Clifford John BHO320 Licensed Representative 1, 2, 4, 5, 7

DONG Licheng BHL698 Licensed Representative 6

Page 2 of 19

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2016

CE Name CE No. Licence Type Types of Regulated Activity

DORR Jeffrey Aaron AWW453 Licensed Representative 4

DU Josh Sheng AQO386 Licensed Representative 9

DU Ruo Wei BFC868 Licensed Representative 1

EVANS Joshua Webb AMH709 Licensed Representative 1, 9

FAN Hongtao BHO375 Licensed Representative 6

FANG Qixue BEQ296 Licensed Representative 4, 9

FEI Yunqing BFI959 Licensed Representative 4

FEIN Jonathan Daniel BHP714 Licensed Representative 1, 4

FONG Hi Man BHM953 Licensed Representative 1, 4

FONG Hoi Ying BHO844 Licensed Representative 1, 4

FONG Matthew Apechai BHM640 Licensed Representative 9

FONG Yuet Yu AFK622 Licensed Representative 1

FU Pingchuan BHL810 Licensed Representative 1, 4

FU Wai Ming BHL347 Licensed Representative 1, 6

FUJIWARA Sari AUV639 Licensed Representative 1, 2, 4, 5

FUNG Hau Yin AYT739 Licensed Representative 1, 2

FUNG Tsui Sum, Connie BHL380 Licensed Representative 1, 4

GADIT Mohsin BHL892 Licensed Representative 9

GAO Jingjin BHF782 Licensed Representative 1, 4, 6

GE Rui BHM822 Licensed Representative 2

GE Yang BHK745 Licensed Representative 1, 2

GIEUW Godfrey Harrison BHL111 Licensed Representative 1, 4, 9

GONG Jie BHK445 Licensed Representative 1, 2

GONG Shu BHN018 Licensed Representative 1, 6

GUESDE Fabrice BHG929 Licensed Representative 1, 4

GUO Linjun BHL543 Licensed Representative 9

GUO Ruogu BHL025 Licensed Representative 1, 4, 6

GUO Xiaoxuan AWK906 Licensed Representative 1

HASEGAWA Makoto BHK217 Licensed Representative 1

HE Xiaojuan BHK396 Licensed Representative 1, 2

HEUNG Siu Hing BHO363 Licensed Representative 6

HEW Ching Yee BHM724 Licensed Representative 1, 4

HILLS-INGYON James Stephen BHP422 Licensed Representative 2, 5

HO Chui Wa BHP761 Licensed Representative 6

HO Ho Ming AEE198 Licensed Representative 9

HO Ka Hang ANH116 Licensed Representative 1

HO Kai Man BHK594 Licensed Representative 1, 4

HO Kar Wing, Karen AQE832 Licensed Representative 1, 2

HO Kin Seng BHM451 Licensed Representative 1

HO Pui Yun Gloria BHL339 Licensed Representative 9

HO Tsz Ying BHL697 Licensed Representative 4

HONG I-Feng BEW800 Licensed Representative 1, 4, 9

HSU Andrew Tak Jun BHL349 Licensed Representative 9

HSU Hao Tsuan, Jonathan BHM064 Licensed Representative 1

HSU Valena BHN836 Licensed Representative 1, 4

HU Fangqing BHN800 Licensed Representative 1, 6

HU Xiao BHM641 Licensed Representative 1

HUA Longxing BCO561 Licensed Representative 4, 9

HUANG Chengyu BHJ591 Licensed Representative 1

HUANG Jun BHM829 Licensed Representative 1, 4

HUANG Sha BHJ425 Licensed Representative 1

HUANG Tianhua BHN674 Licensed Representative 1

HUI Kwai Ming AKX675 Licensed Representative 1, 2

HUI Nga Sze BHL199 Licensed Representative 1

HUI Shan BHK840 Licensed Representative 1

Page 3 of 19

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2016

CE Name CE No. Licence Type Types of Regulated Activity

HUNG Siu Woon, Pauline AJJ497 Licensed Representative 1

HUNG Wing Hong BHQ069 Licensed Representative 4

IP Joseph Zi Jun BHM170 Licensed Representative 1

IP Kin Ho AZL403 Licensed Representative 1

ITO Kazunori BHK944 Licensed Representative 4

IYER Bhasker BHF956 Licensed Representative 2, 5

JANG Euishik BHL123 Licensed Representative 1, 4

JI Wenjing BHN687 Licensed Representative 1, 4, 6

JIN Yan BHL022 Licensed Representative 1

JONES Lloyd Thomas Meldrum AXW556 Licensed Representative 1, 2, 4, 5

KAEGI Thomas BHG813 Licensed Representative 1, 4

KAM Fred AAY119 Licensed Representative 1

KAO Shih-Lin BHL695 Licensed Representative 4

KHANNA Deepankar Satyapal AMI880 Licensed Representative 2, 5

KIM Jung Min AYK789 Licensed Representative 9

KIM Sangwoo BHL893 Licensed Representative 1

KLEGER Martin Josef BHH829 Licensed Representative 1, 4, 9

KLYNHOUT Dale BHN935 Licensed Representative 1

KONG Shu Nam Morris BHL539 Licensed Representative 1

KONG Yuk Yu BHL237 Licensed Representative 6

KOO Tin Man BHQ337 Licensed Representative 6

KOON Siu Kin APO089 Licensed Representative 3

KOPITSIS Nicolas BHK145 Licensed Representative 1, 4

KOPLIKU Jurgen BHO306 Licensed Representative 1, 2

KOTHARI Aditya BHK842 Licensed Representative 1, 2

KUMAR Ashish BCH673 Licensed Representative 1, 2

KWAN Ka Yee, Anita ALN486 Licensed Representative 1

KWOK Yuk Ling BHL680 Licensed Representative 1

KWONG Chui Shan BHN704 Licensed Representative 1

KWONG Sing Cheong BHM218 Licensed Representative 1, 6

KWONG Siu Hang BHM642 Licensed Representative 1, 6

KWONG Tat Tak, Teddy BBM575 Licensed Representative 1, 4

LAI Jiayao BHL715 Licensed Representative 4, 9

LAI Ka Chung BFU181 Licensed Representative 1, 9

LAI Man Wa Eva BAU789 Licensed Representative 1, 6

LAI Tsz Lung APV204 Licensed Representative 1, 2, 9

LAI Yat Fai BHL337 Licensed Representative 1

LAI Yat-hei Gary AWQ072 Licensed Representative 1, 2

LAM Ching Mei ASL528 Licensed Representative 1

LAM Christopher Wei Ket BHL731 Licensed Representative 1, 6

LAM Chun Bun BHL101 Licensed Representative 1, 2

LAM Chun Ming Gordon BHK877 Licensed Representative 1, 4

LAM Wing Sze Winnie BHJ659 Licensed Representative 9

LAM Yee Ching, Sharon BHM003 Licensed Representative 1, 4

LAU Chi Yan BHL530 Licensed Representative 6

LAU Chu Kwok BHR198 Licensed Representative 1

LAU Chung ANE277 Licensed Representative 1, 2

LAU Fu Kuen BHM864 Licensed Representative 1, 2

LAU Ka Fung Adrian AXU722 Licensed Representative 4, 9

LAU Kar Shun Carson BHL310 Licensed Representative 1, 2

LAU Pik Chun Carria AKX519 Licensed Representative 1

LAU Pui Yam, Nikki BHK045 Licensed Representative 1

LAU Yuk Lim BHM105 Licensed Representative 1

LAW Bun BHN962 Licensed Representative 1, 2, 4

LAW Chong Kit, Leo BHM504 Licensed Representative 1

Page 4 of 19

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2016

CE Name CE No. Licence Type Types of Regulated Activity

LAW Hiu Fung Geoffrey BHH501 Licensed Representative 1, 6

LAW Man Fai BHL026 Licensed Representative 1

LAW Pui Tat BHO139 Licensed Representative 4

LAW Sau Man BHL048 Licensed Representative 1

LAW Tak Wai Natalie BHL925 Licensed Representative 1

LEE Eugene Yapp AEU882 Licensed Representative 9

LEE Eun Ju BHM518 Licensed Representative 4, 9

LEE Helmut Inn Man BHL036 Licensed Representative 6

LEE Hing Wa AOS227 Licensed Representative 1

LEE Ho BHN975 Licensed Representative 1, 2

LEE Ka Man AVA612 Licensed Representative 1

LEE Ki Cheong BHM253 Licensed Representative 1, 4

LEE Kin Pong BHL570 Licensed Representative 1, 4

LEE Lip Yee BHM087 Licensed Representative 1, 4

LEE Sze Ting BHN012 Licensed Representative 1

LEE Tin Ka BHL124 Licensed Representative 6

LEONG Daniel Yun-Foo BHL041 Licensed Representative 1, 4, 6

LEUNG Kai Chung BHL044 Licensed Representative 4, 9

LEUNG Ling Kam BHM849 Licensed Representative 9

LEUNG Man Him BHL807 Licensed Representative 1

LEUNG Shu Tung BHI004 Licensed Representative 1, 4, 6

LEUNG Wai Kwan, Sabrina AFU309 Licensed Representative 1

LI Berenger Julien BHL240 Licensed Representative 1, 4

LI Chao BGY363 Licensed Representative 1, 4, 9

LI Kam Fung BHN004 Licensed Representative 1

LI Luk BHM860 Licensed Representative 9

LI Lung Fung BHK939 Licensed Representative 1, 4

LI Mingze BHM292 Licensed Representative 1, 4

LI Qian BDY405 Licensed Representative 4

LI Rui BHP609 Licensed Representative 6

LI Ting Ting Iris BHL594 Licensed Representative 9

LI Wai BHL802 Licensed Representative 1, 6

LI Wei BHK250 Licensed Representative 1, 6

LI Xiaochen BHK044 Licensed Representative 1, 4, 6

LI Xiaoya BHM189 Licensed Representative 9

LI Xinwei BHK128 Licensed Representative 4

LI Xiyin BHN672 Licensed Representative 1, 2, 4, 5

LI Yi Lung ANU832 Licensed Representative 1

LI Ying BHI994 Licensed Representative 1

LI Zhenmeizi BHO279 Licensed Representative 1, 4

LI Zilin BHO626 Licensed Representative 1

LIAO Chien Chang BHM367 Licensed Representative 1

LIM Weineng BHM582 Licensed Representative 1

LIN Guoguo BHK400 Licensed Representative 1, 2

LING Weiye BHN807 Licensed Representative 1

LIU Changjia BHH379 Licensed Representative 1, 6

LIU Ching-wei BHL388 Licensed Representative 1

LIU Chun Lung BHN811 Licensed Representative 4, 9

LIU Kai Kin BHO251 Licensed Representative 1, 6

LIU Mingqing BHO330 Licensed Representative 4, 9

LIU Shuiyin BHK590 Licensed Representative 4, 9

LIU Shun Ha, Doris BHP072 Licensed Representative 1

LIU Wei ALG199 Licensed Representative 9

LIU Xing BHJ248 Licensed Representative 1, 2, 3, 4, 5, 9

LIU Yuzhan BHL719 Licensed Representative 1

Page 5 of 19

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2016

CE Name CE No. Licence Type Types of Regulated Activity

LO Hoi Yee ASE941 Licensed Representative 1, 4

LO Man Sum, Winnie BHM172 Licensed Representative 1, 2

LOCK Chun Wai BHN005 Licensed Representative 1

LOH Kin Chung Marcus BHM584 Licensed Representative 1

LU Chenshuo BHO721 Licensed Representative 4, 9

LU Priscilla Marilyn BHN998 Licensed Representative 1, 4, 9

LU Yunye AXE227 Licensed Representative 9

LUI June Yi Vivian BGD194 Licensed Representative 1

LUI Kun Ting Kevin BHK458 Licensed Representative 1

LUK Ming Tat BHR566 Licensed Representative 6

LUK Siu Yung BHJ490 Licensed Representative 1

LUO Jing ANK801 Licensed Representative 1, 4, 5, 9

LUO Wanqian BHK240 Licensed Representative 1

MA Lulu BHH546 Licensed Representative 1, 6

MAK Kwok Kei AWH798 Licensed Representative 1, 6

MAK Lap Fai BHM577 Licensed Representative 1

MAK Wing Leung BHQ088 Licensed Representative 1

MAO Xinkai BHO131 Licensed Representative 1, 4, 9

MEJIA URIBE Francisco Javier AVC915 Licensed Representative 1

MERCHANT Salman Akhtar BHK170 Licensed Representative 1, 2, 4, 5

MO Mengfei BHQ348 Licensed Representative 6

MOK Raymond BHJ465 Licensed Representative 1, 4, 9

MOK Wing Yan BHL172 Licensed Representative 1, 2

MUKAIDONO Kazuhiro BHL854 Licensed Representative 1

MULLIKKOTTU VEETIL Ramadasan ANT736 Licensed Representative 1, 4

MUNENAGA Masaki BGG422 Licensed Representative 9

NAKANE Yasuo BHM502 Licensed Representative 4

NAKANOMYO Masahiro BHL552 Licensed Representative 4

NANDWANI Rajiv Timothy BHM021 Licensed Representative 1, 2, 4

NAUGHTIN David Myles AYA222 Licensed Representative 9

NG Chi Kit BHL118 Licensed Representative 1, 2, 3

NG Tsang Kwong William BHM307 Licensed Representative 1, 4, 9

NG Wing Yung BHN810 Licensed Representative 1, 4

NG Yin Ling Elaine AYI178 Licensed Representative 1, 4, 6, 9

NGAI Ching AXV091 Licensed Representative 1, 2

NI Chien-Yi BHJ777 Licensed Representative 1, 2

NI Ming BHN013 Licensed Representative 9

NICOT Cynthia APJ348 Licensed Representative 1

NIE Zheng BAH325 Licensed Representative 1, 4, 9

OHASHI Hidetoshi BHL322 Licensed Representative 4

ORTMARK Ake Stefan BHL687 Licensed Representative 1

OUYANG Hui ARN668 Licensed Representative 4, 9

PAN Wen BHO403 Licensed Representative 1

PAN Xinglai BHM452 Licensed Representative 4, 9

PAN Xinran BHL207 Licensed Representative 1

PANG Jun Yi BHJ810 Licensed Representative 4, 5, 9

PANG Wai Yuen, Marvin AAI320 Licensed Representative 1, 6

PENG Ying BHL556 Licensed Representative 1, 6

PONG David Juyoung APW579 Licensed Representative 1, 4, 6

POOJARA Jiten Umesh BHM661 Licensed Representative 9

POON Wai Yan BHM656 Licensed Representative 1

PULLAIKODI Gopakumar BHL247 Licensed Representative 4

PUN Tze Wah BGY767 Licensed Representative 1

PUNSHI Sidharth AFL104 Licensed Representative 1, 4, 6

PURCELL Robert G BDV646 Licensed Representative 4

Page 6 of 19

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2016

CE Name CE No. Licence Type Types of Regulated Activity

QIAN Chen BHM199 Licensed Representative 1, 4, 6

QUAH Kung Beng, David BHL345 Licensed Representative 4, 9

QUAN MIRANDA Rodrigo BHL827 Licensed Representative 1, 6

QUEK Chui Ting Amy AUW833 Licensed Representative 1, 4

RAFEL Julien Charles Marie BHK954 Licensed Representative 1

RAGHUNATH Madhusudhan BHL507 Licensed Representative 1, 2

RAMSAY Ian Ross McGregor ABV403 Licensed Representative 1, 6

REEVES Melissa BHL204 Licensed Representative 1

ROBINSON Claire BHL326 Licensed Representative 1, 4

ROPER Ian David AVI752 Licensed Representative 4

SAITO Naoto BHN778 Licensed Representative 9

SCHOR Adam David BGT027 Licensed Representative 1, 4

SCULLIN Kevin BHI028 Licensed Representative 9

SETO Deborah Yuen Yi ADI185 Licensed Representative 1

SHAN Shuang BHJ763 Licensed Representative 1

SHENG Nan APL005 Licensed Representative 4, 9

SHUM Bun Chuen Banny AVJ022 Licensed Representative 1, 2

SHUM Wing Ki Stephanie BHP710 Licensed Representative 9

SHUM Yat Tung BCS471 Licensed Representative 3

SIDDLE Matthew Simon BHK354 Licensed Representative 1

SIH Wai Kin, Daniel ALI606 Licensed Representative 9

SIKKA Karan BHL708 Licensed Representative 4, 5, 9

SIRVINT Michael David BEO574 Licensed Representative 1

SIU Po Ling BHM512 Licensed Representative 6

SIU Wai Ching, Shirley ABP528 Licensed Representative 1, 4

SO Man Ting BHM659 Licensed Representative 1

SO Shin Yuk AJG154 Licensed Representative 1, 4

SONG Jiacheng BHL671 Licensed Representative 1, 4, 6

SONG Yuyun BHL834 Licensed Representative 1, 6

SUEHIRO Toru BHL321 Licensed Representative 4

SUN Min BHM881 Licensed Representative 4, 9

SUSKI Dominik John BHO573 Licensed Representative 1, 4, 9

SUTTIKULPANICH Yossavee BHN933 Licensed Representative 4

SZE Ming For AFD099 Licensed Representative 1, 4

TAKEMURA Atsuro BHM833 Licensed Representative 1

TAM Chi Yan BHN812 Licensed Representative 1

TAM LAU Chi San Tina AER306 Licensed Representative 1

TAN Ka Yin BHI168 Licensed Representative 4, 9

TAN Wei Hong Julian BHM581 Licensed Representative 1

TAN Xuan BHO549 Licensed Representative 4

TANG Chi Kin AGJ863 Licensed Representative 1

TANG Chi Wai ADG394 Licensed Representative 1

TANG Wai Kay AAY573 Licensed Representative 4, 9

TANG Xingnan BHH384 Licensed Representative 1, 6

TANIGUCHI Tsuyoshi BHL820 Licensed Representative 4, 9

THNG Jiyuan Jonathan BHL114 Licensed Representative 1, 4, 6

THOMAS Patricia Bee Kuen AER800 Licensed Representative 1

THOMAS Richard BDD358 Licensed Representative 1, 4

TO Ming Kan BHO110 Licensed Representative 4, 9

TSANG Chun Lam BHJ641 Licensed Representative 6

TSANG Hin Man BHM828 Licensed Representative 1, 2

TSANG Kin Leung AYJ300 Licensed Representative 1, 4, 9

TSANG Long ARQ674 Licensed Representative 4, 9

TSE Yiu Hing BHK446 Licensed Representative 1, 2

Page 7 of 19

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2016

CE Name CE No. Licence Type Types of Regulated Activity

TSE Yuk Yung BHJ474 Licensed Representative 1

TSOI Ka Hung BHJ439 Licensed Representative 4, 9

TSUI Chung Kwan BHL060 Licensed Representative 1

TSUI Ting Kwan Quentin BHL217 Licensed Representative 6

TSUI Yuen Sha BDA218 Licensed Representative 1, 4, 9

TU Weiying BHM709 Licensed Representative 1, 4

TUAN Yu Hao BHJ409 Licensed Representative 1

TYE Beng Lee AEJ269 Licensed Representative 1, 4

UEKI Hideo BEJ774 Licensed Representative 1, 4

UENO Yasunari BHL325 Licensed Representative 4

VALADAO Mark Paul ALZ929 Licensed Representative 1, 4, 5

VESELOVA Yulia BHL808 Licensed Representative 1, 4

WADEL Vincent Nicolas Roger Jean BHL501 Licensed Representative 1, 2, 7

WALKER Angus Campbell BHO970 Licensed Representative 9

WANG Anqi BHO181 Licensed Representative 1, 6

WANG Bin AZI719 Licensed Representative 2, 5

WANG Chao-Min BHN702 Licensed Representative 4, 9

WANG Chuan BHF645 Licensed Representative 1

WANG Chun-Hsiung BHM954 Licensed Representative 9

WANG Gan BHL578 Licensed Representative 6

WANG Jian AQD161 Licensed Representative 1, 6

WANG Junqi BHJ011 Licensed Representative 1, 2

WANG Min-Li BHM503 Licensed Representative 4

WANG Sofia Xiaobi BHK235 Licensed Representative 4, 9

WANG Tron Roland BHL029 Licensed Representative 9

WANG Xiaobin ARG381 Licensed Representative 1, 4, 6

WANG Yaqiao BHM958 Licensed Representative 10

WANG Yi BHO329 Licensed Representative 4, 9

WANG Yufei BAA531 Licensed Representative 1, 4, 9

WANG Zi BHM358 Licensed Representative 1, 2

WARE Christopher Eugene BGK637 Licensed Representative 9

WASILEWICZ Maciej Karol BHO636 Licensed Representative 4, 5, 9

WHIGHT Christopher John BHO276 Licensed Representative 2

WO Feng AQH492 Licensed Representative 2

WONG Anthony Ming Hon BHO427 Licensed Representative 2, 5

WONG Chi Hang, William AQE971 Licensed Representative 1

WONG Chiu BHL931 Licensed Representative 1, 4

WONG Chui Hong BHO132 Licensed Representative 1, 4

WONG Ka Wai ADG410 Licensed Representative 1

WONG Kam Suen David AFN655 Licensed Representative 1, 4

WONG Lai Ping BHI947 Licensed Representative 1

WONG Siu Hung AQE760 Licensed Representative 6

WONG Sze Sze AQR527 Licensed Representative 1, 4

WONG Ting Yu BHN902 Licensed Representative 2

WONG Tzu Qun BHP119 Licensed Representative 1

WONG Wai Shan AUA951 Licensed Representative 1, 6

WONG Wai Yeung BHL518 Licensed Representative 9

WONG Yu Pui Konny ALR985 Licensed Representative 1

WU Hao BGM187 Licensed Representative 1, 4, 6

WU Ming Yan BHK413 Licensed Representative 9

WU Nanzi ARE546 Licensed Representative 1, 2

WU Shu-Fang AMB390 Licensed Representative 1

WU Yunling BHO767 Licensed Representative 1, 6

XI Yangyang BHK455 Licensed Representative 1

XIA Dongfei BHM026 Licensed Representative 1, 4, 6

Page 8 of 19

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2016

CE Name CE No. Licence Type Types of Regulated Activity

XIA Xiaoting BHO438 Licensed Representative 2

XIONG Ying BFX045 Licensed Representative 4, 9

XU Jiahao BHL696 Licensed Representative 4, 9

XU Shaobo BHK027 Licensed Representative 1, 6

XU Wenyan BHL202 Licensed Representative 1, 6

XU Yingxin BHH504 Licensed Representative 1

XUE Boyuan BHK589 Licensed Representative 6

YAM Ching Wai BHL930 Licensed Representative 2

YAM Yin Chuk BHL705 Licensed Representative 1, 4

YANG Liu BHN755 Licensed Representative 1, 4, 9

YANG Xiaodong BHM967 Licensed Representative 1, 6

YANG Zhiqi BFX329 Licensed Representative 1

YAU Sau Ngor, Sinnie AAK127 Licensed Representative 1, 2, 3

YAU Tung Shing BHP483 Licensed Representative 6

YE Jianrong BHK406 Licensed Representative 1, 2

YEO Jiyoon BHN843 Licensed Representative 2

YEUNG Bik Ling BHM949 Licensed Representative 1, 4

YEUNG Po Yi BHK902 Licensed Representative 1, 4, 9

YEUNG Ting Hin BHO979 Licensed Representative 9

YEUNG Tsun Hung, Jacky BGS904 Licensed Representative 9

YEUNG Wun Ki BHN961 Licensed Representative 6

YIM Chi Ki BHK688 Licensed Representative 1

YIN Rui BHI097 Licensed Representative 4

YIP Hiu Har BHM178 Licensed Representative 1

YIP Kam Pang AES448 Licensed Representative 1

YIP Kam Yan BHN604 Licensed Representative 1

YIP Mei Mei Mi BHM016 Licensed Representative 6

YONG Sai Long BHJ221 Licensed Representative 2, 5

YU Man Tao BHP107 Licensed Representative 1, 2

YU Xikang BHN703 Licensed Representative 1

YU Zijun BHH819 Licensed Representative 1

YUE Xiaowei AVZ069 Licensed Representative 4, 9

YUE Yi BHK601 Licensed Representative 1, 2, 9

ZALANE Michael BHO622 Licensed Representative 1, 2

ZENG Yushu BHL684 Licensed Representative 4

ZHA Wenxi BGZ730 Licensed Representative 1, 6

ZHANG Fan ALA702 Licensed Representative 1, 6

ZHANG Jin BHM689 Licensed Representative 1, 4

ZHANG Jinmai BHL027 Licensed Representative 1, 4, 6

ZHANG Licong BHH175 Licensed Representative 4

ZHANG Xiao Yi BHN551 Licensed Representative 4

ZHANG Yichuan BHK037 Licensed Representative 1, 4, 6

ZHANG Yiwei AQH375 Licensed Representative 1, 2

ZHANG Zhisheng BHL390 Licensed Representative 1, 2

ZHAO Dongchen BHL500 Licensed Representative 4

ZHAO Yang BHM855 Licensed Representative 1, 2, 7

ZHAO Yunchao BGO804 Licensed Representative 9

ZHENG Hongjian BCS478 Licensed Representative 1

ZHENG Xiaoqiu BHH563 Licensed Representative 1, 4, 6

ZHENG Zhenqiu BHO446 Licensed Representative 1, 4

ZHOU Jiaqi BHH397 Licensed Representative 1, 6

ZHOU Jingyu BHO397 Licensed Representative 4

ZHU Kai BHO665 Licensed Representative 1

ADAM Frederic Cyrille G. BHK606 Licensed Representative - Responsible Officer 9

CHAN Ding Bong, Andrew AGL865 Licensed Representative - Responsible Officer 9

Page 9 of 19

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2016

CE Name CE No. Licence Type Types of Regulated Activity

CHAN Hon Ming ABN595 Licensed Representative - Responsible Officer 9

CHEUNG Wai On, Simon AJK782 Licensed Representative - Responsible Officer 6

CHIU Sung Biu Bill Lawrence ANJ016 Licensed Representative - Responsible Officer 1, 2

CHOW Ka Man AAY115 Licensed Representative - Responsible Officer 1

DENG Shengjun BGX204 Licensed Representative - Responsible Officer 4, 9

FENG Siguo APO467 Licensed Representative - Responsible Officer 1, 4

FEURER Simon Dominic BGV756 Licensed Representative - Responsible Officer 9

GO Yoshinori ADG400 Licensed Representative - Responsible Officer 1, 2, 4

GOTHARD Christopher Neil Averill AVU837 Licensed Representative - Responsible Officer 3

HO Pui Yun Gloria BHL339 Licensed Representative - Responsible Officer 4

HOLDENER Steve BHH536 Licensed Representative - Responsible Officer 9

HUANG Qian BGZ717 Licensed Representative - Responsible Officer 9

HUH Yong Hak AGP073 Licensed Representative - Responsible Officer 1, 4, 9

HUI Tin Kay AFS483 Licensed Representative - Responsible Officer 1

KAVVATHAS Dimitrios ASN702 Licensed Representative - Responsible Officer 1, 9

KIM Min Soo AEP532 Licensed Representative - Responsible Officer 4, 9

KWOK Man Chun, Felix AWS974 Licensed Representative - Responsible Officer 9

LAU Chun Fai ANH622 Licensed Representative - Responsible Officer 4, 9

LI Yuk Keung, Brian AEC983 Licensed Representative - Responsible Officer 1

LO Ka Yip AFP566 Licensed Representative - Responsible Officer 1

MA David Y AWF910 Licensed Representative - Responsible Officer 9

MAN Chi Wai BBH998 Licensed Representative - Responsible Officer 9

PLUMBRIDGE Glen Douglas ARW888 Licensed Representative - Responsible Officer 6

SAHU Vikram Prem Kumar BHB674 Licensed Representative - Responsible Officer 1, 4

TAN Jun BHD621 Licensed Representative - Responsible Officer 6

TANIYA Mamoru AKS912 Licensed Representative - Responsible Officer 9

TOCHE Patrick BGV097 Licensed Representative - Responsible Officer 4, 9

TSE Raymond ABF543 Licensed Representative - Responsible Officer 4, 9

VACEK Karel ANG964 Licensed Representative - Responsible Officer 1, 4

VACEK Tomas BHG106 Licensed Representative - Responsible Officer 1, 4

WANG Piau Voon BHJ603 Licensed Representative - Responsible Officer 1, 4, 9

WANG Qi ALB737 Licensed Representative - Responsible Officer 9

WANG Yan APX217 Licensed Representative - Responsible Officer 1

WONG Chung Man Mandy BHM869 Licensed Representative - Responsible Officer 1

WU Peimin BGZ718 Licensed Representative - Responsible Officer 9

YIH Susanna Suk Chi BHF979 Licensed Representative - Responsible Officer 1, 2

ABDALLAH Damien John BHO976 Licensed Representative (Provisional Licence) 9

AI Yu BHO463 Licensed Representative (Provisional Licence) 1, 6

AU Cheuk Hei AVP020 Licensed Representative (Provisional Licence) 1

AVANIAN Alexandre ARV353 Licensed Representative (Provisional Licence) 9

BADIGAR Devanjan BHQ459 Licensed Representative (Provisional Licence) 1, 4

BASU Bhaskar Narayan AOQ964 Licensed Representative (Provisional Licence) 4

BAUM Brandon Michael BHQ349 Licensed Representative (Provisional Licence) 1, 6

BOUSQUET Emmanuel, Franz, Roger BHP249 Licensed Representative (Provisional Licence) 1, 2

BRADY Mark Joseph ARQ480 Licensed Representative (Provisional Licence) 1

BREEDON Mark Herbert ALP835 Licensed Representative (Provisional Licence) 1, 4, 9

CAO Chaoyu BHQ071 Licensed Representative (Provisional Licence) 1, 4, 6

CHAE Seung Il BHJ802 Licensed Representative (Provisional Licence) 2, 5

CHAN Aif BHQ300 Licensed Representative (Provisional Licence) 1

CHAN Candace BHS151 Licensed Representative (Provisional Licence) 1, 2

CHAN Chau kam BHP654 Licensed Representative (Provisional Licence) 4

CHAN Cho Yin BAR088 Licensed Representative (Provisional Licence) 4

CHAN Ka Kin BHS185 Licensed Representative (Provisional Licence) 1, 2

CHAN Ka Yi, Amy BFS091 Licensed Representative (Provisional Licence) 1, 6

CHAN Kwok Kay ATI426 Licensed Representative (Provisional Licence) 1, 2

Page 10 of 19

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2016

CE Name CE No. Licence Type Types of Regulated Activity

CHAN Lap Chi BHP718 Licensed Representative (Provisional Licence) 1, 2

CHAN Ming Hong BHP912 Licensed Representative (Provisional Licence) 1, 4

CHAN Sun Hing Josephine Shirley ADR225 Licensed Representative (Provisional Licence) 1, 4, 9

CHAN Yi APG474 Licensed Representative (Provisional Licence) 1, 4

CHANG Cheun Chun Michael AOH904 Licensed Representative (Provisional Licence) 1, 2, 7

CHAU Chi Han BHP540 Licensed Representative (Provisional Licence) 1, 2, 4

CHAU Yiu Fai, Adrian BHP096 Licensed Representative (Provisional Licence) 1

CHEN Crystal Linlon BHS213 Licensed Representative (Provisional Licence) 1

CHEN Ge BHO433 Licensed Representative (Provisional Licence) 1, 2, 4, 5, 7

CHEN Jianping BHQ444 Licensed Representative (Provisional Licence) 1, 4, 9

CHEN Qiang BHO455 Licensed Representative (Provisional Licence) 1

CHEN Yao BHR401 Licensed Representative (Provisional Licence) 1, 4, 9

CHEN Yunhui BHQ058 Licensed Representative (Provisional Licence) 6

CHENG Kot Shan AWW484 Licensed Representative (Provisional Licence) 1

CHESHIER Scott Colin BHP094 Licensed Representative (Provisional Licence) 1

CHEUNG Hoi Fung BCD348 Licensed Representative (Provisional Licence) 1, 2

CHEUNG King Wai Annie ABT017 Licensed Representative (Provisional Licence) 1, 4

CHEUNG Lap Wai BHS392 Licensed Representative (Provisional Licence) 1

CHEUNG Po Kuen, Michael AGX308 Licensed Representative (Provisional Licence) 1, 4, 6

CHIK Wai Kuen BHP309 Licensed Representative (Provisional Licence) 1, 4

CHIM Ho Yan BHP663 Licensed Representative (Provisional Licence) 1, 4, 9

CHING Hiu Wan BHO593 Licensed Representative (Provisional Licence) 6

CHIU Lok Kwan AVH029 Licensed Representative (Provisional Licence) 4

CHIU Sik Wai BHQ325 Licensed Representative (Provisional Licence) 1

CHOI Chun Hung BHS146 Licensed Representative (Provisional Licence) 1

CHOI Eunsuk BHO958 Licensed Representative (Provisional Licence) 1, 4

CHOI Hang Tak BHR754 Licensed Representative (Provisional Licence) 1

CHOI Soyun AYI864 Licensed Representative (Provisional Licence) 1, 4

CHONG Kin Cheung BHO173 Licensed Representative (Provisional Licence) 1

CHOW Chi Kit, Michael BHP742 Licensed Representative (Provisional Licence) 3

CHOW Hermes Ho Chai BHO997 Licensed Representative (Provisional Licence) 6

CHOW Kai Man Clement BHR435 Licensed Representative (Provisional Licence) 1, 2

CHOW King Yue Vision BHQ122 Licensed Representative (Provisional Licence) 1, 6

CHOW Sum Yin BHR368 Licensed Representative (Provisional Licence) 1, 4

CHOW Yee Ping Patrick BHS489 Licensed Representative (Provisional Licence) 1, 6

CHU Jian-Yu BHR322 Licensed Representative (Provisional Licence) 1, 2

CORNELISSEN Johan Marianus Cecil BHP841 Licensed Representative (Provisional Licence) 9

DAI Letian BHP288 Licensed Representative (Provisional Licence) 1, 6

DHIR Poonam AVH305 Licensed Representative (Provisional Licence) 4, 5, 9

DING Peng BHO461 Licensed Representative (Provisional Licence) 1, 6

DING Yihua AQQ496 Licensed Representative (Provisional Licence) 4

DIXIT Neelabh BHO993 Licensed Representative (Provisional Licence) 1, 2

DMELLO Clifford John BHO320 Licensed Representative (Provisional Licence) 1, 2, 4, 5, 7

DONG Na BHR878 Licensed Representative (Provisional Licence) 1, 4

DU Shuozhong BHS007 Licensed Representative (Provisional Licence) 1

DU Ximing BHR661 Licensed Representative (Provisional Licence) 1, 6

FAN Hongtao BHO375 Licensed Representative (Provisional Licence) 6

FANG Yalan BHO744 Licensed Representative (Provisional Licence) 1, 2

FANG Yuzhou BHQ073 Licensed Representative (Provisional Licence) 9

FOGARTY Alan BHQ216 Licensed Representative (Provisional Licence) 1, 2

FOK Wai Kit AZR335 Licensed Representative (Provisional Licence) 9

FONG Hoi Ying BHO844 Licensed Representative (Provisional Licence) 1, 4

FU Yuen Yim, Joey BHS380 Licensed Representative (Provisional Licence) 1

FUNG Mei Shan BHQ087 Licensed Representative (Provisional Licence) 1

FUNG Wai Sum BHR489 Licensed Representative (Provisional Licence) 1

Page 11 of 19

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2016

CE Name CE No. Licence Type Types of Regulated Activity

GAO Wen BHR562 Licensed Representative (Provisional Licence) 6

GAO Wengan BHR960 Licensed Representative (Provisional Licence) 1

GENG Wei BHP708 Licensed Representative (Provisional Licence) 1

GOH Seng Peow APA438 Licensed Representative (Provisional Licence) 1

GORGA Sebastian BHP410 Licensed Representative (Provisional Licence) 9

GU Vera BHO766 Licensed Representative (Provisional Licence) 1, 4, 9

GU Yili BHP161 Licensed Representative (Provisional Licence) 1, 6

GUO Rongrong BHO452 Licensed Representative (Provisional Licence) 1, 6

GUO Yuze BHP162 Licensed Representative (Provisional Licence) 1, 6

GUPTA Manish AVU992 Licensed Representative (Provisional Licence) 1

HAN Seungjun BHO137 Licensed Representative (Provisional Licence) 1

HAN Xuan BHQ227 Licensed Representative (Provisional Licence) 1, 4

HILLS-INGYON James Stephen BHP422 Licensed Representative (Provisional Licence) 2, 5

HO Cheuk Lim BHS197 Licensed Representative (Provisional Licence) 1, 2

HO Sin Hung BHP299 Licensed Representative (Provisional Licence) 1, 4

HO Ting Fung BHS033 Licensed Representative (Provisional Licence) 1, 4, 9

HO Wai Hung BHR337 Licensed Representative (Provisional Licence) 3

HO Wai Hung Joannes ABT745 Licensed Representative (Provisional Licence) 1, 4

HORIGUCHI Muneyoshi BHP720 Licensed Representative (Provisional Licence) 1, 2, 4

HSIEH Tsung-Yu BHQ123 Licensed Representative (Provisional Licence) 1, 2

HSU Valena BHN836 Licensed Representative (Provisional Licence) 1, 4

HUA Wei BHQ464 Licensed Representative (Provisional Licence) 1

HUANG Cunchen BHQ218 Licensed Representative (Provisional Licence) 4

HUANG Guoliang Nicholas BHP915 Licensed Representative (Provisional Licence) 1, 2, 7

HUANG Jiaqi BDQ027 Licensed Representative (Provisional Licence) 1, 6

HUI Sai Kit BHQ315 Licensed Representative (Provisional Licence) 1, 2

HUNG Ka Man, Carmen BHP746 Licensed Representative (Provisional Licence) 3

HUNG Wing Hong BHQ069 Licensed Representative (Provisional Licence) 4

ISO Yukari BHP716 Licensed Representative (Provisional Licence) 1, 4

JAYARAMAN Sreenivas AUG804 Licensed Representative (Provisional Licence) 2, 5

JEON Seung Myung BHQ213 Licensed Representative (Provisional Licence) 1

JI Wenjing BHN687 Licensed Representative (Provisional Licence) 1, 4, 6

JIANG Feng BHQ334 Licensed Representative (Provisional Licence) 1, 7

JIANG Jiang AUW635 Licensed Representative (Provisional Licence) 9

KERVEN Daniel Robert BFX177 Licensed Representative (Provisional Licence) 1, 4

KIM Ji Joong BHO550 Licensed Representative (Provisional Licence) 1

KING Betty ADJ204 Licensed Representative (Provisional Licence) 1, 4

KOLASA Tomasz Krzysztof BHR457 Licensed Representative (Provisional Licence) 1, 4, 7

KOO Dajun Edlyn BHQ243 Licensed Representative (Provisional Licence) 1, 2, 9

KOPLIKU Jurgen BHO306 Licensed Representative (Provisional Licence) 1, 2

KRISMER Peter Markus AWD489 Licensed Representative (Provisional Licence) 4, 9

KU Carmen Ka Man BHO839 Licensed Representative (Provisional Licence) 9

KUMAR Runit BHO719 Licensed Representative (Provisional Licence) 4, 9

KWAN Chi Hang, Thomas BHR777 Licensed Representative (Provisional Licence) 1

KWOK Hing Paai BHO374 Licensed Representative (Provisional Licence) 6

KWOK Yui Fai AWP669 Licensed Representative (Provisional Licence) 1

KWON Ji Eun AYR570 Licensed Representative (Provisional Licence) 1, 4

KWONG Siu Chung AOC759 Licensed Representative (Provisional Licence) 1

LAM Chun Lung BHQ081 Licensed Representative (Provisional Licence) 2, 5

LAM King Man BHP088 Licensed Representative (Provisional Licence) 1, 4, 9

LAM Pui Chung BHQ261 Licensed Representative (Provisional Licence) 3

LAU Kai Man Peter ASS696 Licensed Representative (Provisional Licence) 1, 4

LAU Kwan Ming BHP848 Licensed Representative (Provisional Licence) 1, 2, 4

LAU Sau Ling BHS092 Licensed Representative (Provisional Licence) 1, 4, 9

Page 12 of 19

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2016

CE Name CE No. Licence Type Types of Regulated Activity

LAW Bun BHN962 Licensed Representative (Provisional Licence) 1, 2, 4

LAWRENCE Lee Ronnie Nicky BHP787 Licensed Representative (Provisional Licence) 1, 2

LEE Chak Man Edward BHO953 Licensed Representative (Provisional Licence) 1, 4

LEE Eugene Yapp AEU882 Licensed Representative (Provisional Licence) 9

LEE Hong Nam BHQ295 Licensed Representative (Provisional Licence) 9

LEE Hou-Min ANH739 Licensed Representative (Provisional Licence) 1

LEE Jae Ho BHO393 Licensed Representative (Provisional Licence) 1, 4, 9

LEE Tsz Yan BCK322 Licensed Representative (Provisional Licence) 1, 2

LEUNG Chun Man BHP770 Licensed Representative (Provisional Licence) 1

LEUNG David Lut Yan BHR662 Licensed Representative (Provisional Licence) 4, 9

LEUNG Karen Beig Hung BHP458 Licensed Representative (Provisional Licence) 1

LEUNG Siu Man BHQ260 Licensed Representative (Provisional Licence) 3

LEUNG Tik Wai ASM047 Licensed Representative (Provisional Licence) 1, 2, 3, 4, 5

LEUNG Tsz Kin BHQ306 Licensed Representative (Provisional Licence) 1

LEUNG Wai Ling BET292 Licensed Representative (Provisional Licence) 1, 9

LI Bojue BHS553 Licensed Representative (Provisional Licence) 1, 4

LI Jianqiu BHS005 Licensed Representative (Provisional Licence) 1, 6

LI Rui BHP609 Licensed Representative (Provisional Licence) 6

LI Shuwan BDK082 Licensed Representative (Provisional Licence) 1, 4, 6

LI Wing Leung AAF400 Licensed Representative (Provisional Licence) 1, 2, 3

LI Xiaoli BHP763 Licensed Representative (Provisional Licence) 1

LI Xinyi BHO437 Licensed Representative (Provisional Licence) 1, 4

LI Xiyin BHN672 Licensed Representative (Provisional Licence) 1, 2, 4, 5

LI Yipan BHR193 Licensed Representative (Provisional Licence) 1, 4

LI Zilin BHO626 Licensed Representative (Provisional Licence) 1

LIN Jieping BHP326 Licensed Representative (Provisional Licence) 1, 2

LIN Yuying BHS517 Licensed Representative (Provisional Licence) 4

LIU Liu BHO104 Licensed Representative (Provisional Licence) 9

LIU Nuo BHQ070 Licensed Representative (Provisional Licence) 4, 9

LIU Yik Yu BHR466 Licensed Representative (Provisional Licence) 10

LO Chin Yu BCU285 Licensed Representative (Provisional Licence) 1, 4

LO Jeng-yin Brendan BHS201 Licensed Representative (Provisional Licence) 2

LO Kar Lay Gloria BHP135 Licensed Representative (Provisional Licence) 1

LO Lok See BHP752 Licensed Representative (Provisional Licence) 3

LO Man Hin BHO812 Licensed Representative (Provisional Licence) 1, 6

LO Shuk Man, Charmaine ANT856 Licensed Representative (Provisional Licence) 9

LO Wan Ching BHP736 Licensed Representative (Provisional Licence) 9

LU Yunye AXE227 Licensed Representative (Provisional Licence) 9

LUI Siu Kwan BHR257 Licensed Representative (Provisional Licence) 1

LUI Yim Yin ADA685 Licensed Representative (Provisional Licence) 1, 4

MAEKITA Hideaki BEN026 Licensed Representative (Provisional Licence) 1, 2

MAK Calista Chung Yan BHP902 Licensed Representative (Provisional Licence) 1

MAK Sai Hung BHP749 Licensed Representative (Provisional Licence) 3

MAK Tin Chak BHP830 Licensed Representative (Provisional Licence) 1, 6

MAK Wing Leung BHQ088 Licensed Representative (Provisional Licence) 1

MAK Winnie ADK738 Licensed Representative (Provisional Licence) 9

MAN Tak Wing BHP760 Licensed Representative (Provisional Licence) 3

MAO Xinkai BHO131 Licensed Representative (Provisional Licence) 1, 4, 9

MARTADI Elizabeth Nur Ayanti BHM999 Licensed Representative (Provisional Licence) 1

MCCLURE David Robert BHP885 Licensed Representative (Provisional Licence) 1, 4

MEHTA Devang Lalit BHR475 Licensed Representative (Provisional Licence) 1

MENG Wei BHP638 Licensed Representative (Provisional Licence) 1, 4

MULLIKKOTTU VEETIL Ramadasan ANT736 Licensed Representative (Provisional Licence) 1, 4

NAKAMURA Weston Kaisei BHQ366 Licensed Representative (Provisional Licence) 1

NAKANE Yasuo BHM502 Licensed Representative (Provisional Licence) 4

Page 13 of 19

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2016

CE Name CE No. Licence Type Types of Regulated Activity

NAKANOMYO Masahiro BHL552 Licensed Representative (Provisional Licence) 4

NAUGHTIN David Myles AYA222 Licensed Representative (Provisional Licence) 9

NEO Charles Hiang Kiat BHR336 Licensed Representative (Provisional Licence) 6

NEO Chee Wee Eugene BHP150 Licensed Representative (Provisional Licence) 1

NG Tan Hung Charlotte AGH833 Licensed Representative (Provisional Licence) 1, 6

NG Wing Yung BHN810 Licensed Representative (Provisional Licence) 1, 4

NIE Zheng BAH325 Licensed Representative (Provisional Licence) 1, 4, 9

OHASHI Hidetoshi BHL322 Licensed Representative (Provisional Licence) 4

OR Wing Fai BHS205 Licensed Representative (Provisional Licence) 2

PAIK Seung Hwan BHS143 Licensed Representative (Provisional Licence) 1, 2

PAN Hao BHR983 Licensed Representative (Provisional Licence) 9

PAN Wen BHO403 Licensed Representative (Provisional Licence) 1

PAN Xiaoliang BHQ309 Licensed Representative (Provisional Licence) 2

PARK Juyoung BHF451 Licensed Representative (Provisional Licence) 1

PENG Dandan BHP163 Licensed Representative (Provisional Licence) 1, 6

PRIEUR DE LA COMBLE Armand Stefan Gaston BHS242 Licensed Representative (Provisional Licence) 1, 2, 4, 5

PUNSHI Sidharth AFL104 Licensed Representative (Provisional Licence) 1, 4, 6

PUTLER Oliver Geoffrey John BHR558 Licensed Representative (Provisional Licence) 1, 2

QIAN Xun BHO184 Licensed Representative (Provisional Licence) 1, 2

REN Dongyang BHS243 Licensed Representative (Provisional Licence) 1

SAIGAL Dhruv Kumar BHP335 Licensed Representative (Provisional Licence) 1, 6

SAMBRANI Sagar BHP070 Licensed Representative (Provisional Licence) 1, 2

SCHMIDT Michael BHS484 Licensed Representative (Provisional Licence) 4

SHEN Kai BHQ083 Licensed Representative (Provisional Licence) 1, 2

SHEN Leung ALF003 Licensed Representative (Provisional Licence) 1, 4, 9

SHEUNG Wing Chit BBU295 Licensed Representative (Provisional Licence) 1, 4

SHIRAISHI Koki BHP300 Licensed Representative (Provisional Licence) 9

SHUEN Pik Ying BHP835 Licensed Representative (Provisional Licence) 1, 2

SINGH Manav Preet BHP339 Licensed Representative (Provisional Licence) 1, 2

SINGH Saurabh Devendra AVO929 Licensed Representative (Provisional Licence) 1

SINHA Amit BHR474 Licensed Representative (Provisional Licence) 4

SIRVINT Michael David BEO574 Licensed Representative (Provisional Licence) 1

SO Man Ying BHR648 Licensed Representative (Provisional Licence) 1, 6

SO Wing Tung BHQ263 Licensed Representative (Provisional Licence) 3

SONG Yaning BHP342 Licensed Representative (Provisional Licence) 1, 6

SOUSI Cedric Lucien Simon ALK235 Licensed Representative (Provisional Licence) 1, 2

STEVENSON Nigel James BHS328 Licensed Representative (Provisional Licence) 4

STILLER James Michael BHP146 Licensed Representative (Provisional Licence) 1, 2

SU Xu Juan AXF780 Licensed Representative (Provisional Licence) 6

SUEHIRO Toru BHL321 Licensed Representative (Provisional Licence) 4

SUKUMAR Nimalesh BHS180 Licensed Representative (Provisional Licence) 1

SUN Jinping BHP242 Licensed Representative (Provisional Licence) 1, 4

SUN Xin BHS412 Licensed Representative (Provisional Licence) 1, 4

SUN Ziyi BHQ132 Licensed Representative (Provisional Licence) 1, 6

SUSKI Dominik John BHO573 Licensed Representative (Provisional Licence) 1, 4, 9

SUTTIKULPANICH Yossavee BHN933 Licensed Representative (Provisional Licence) 4

TAM Hoi Man BHR249 Licensed Representative (Provisional Licence) 1

TAM Ka Yiu BHO166 Licensed Representative (Provisional Licence) 1, 2, 9

TAM Wing Sze, Vincy BHQ262 Licensed Representative (Provisional Licence) 3

TAM Yin Yu BHP535 Licensed Representative (Provisional Licence) 1

TAN Xuan BHO549 Licensed Representative (Provisional Licence) 4

TANG Tsz Kwan BHP729 Licensed Representative (Provisional Licence) 3

TANG Wing Sze Winnie AGF374 Licensed Representative (Provisional Licence) 1, 4

TAPADIA Alok Vimalkishore BHP071 Licensed Representative (Provisional Licence) 1

TAY Kairong, Leon BHR968 Licensed Representative (Provisional Licence) 1, 4

Page 14 of 19

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2016

CE Name CE No. Licence Type Types of Regulated Activity

TI Lian-Haan BHQ057 Licensed Representative (Provisional Licence) 1

TIAN Yajing BHQ343 Licensed Representative (Provisional Licence) 1, 4, 9

TING Pong Ming AIG767 Licensed Representative (Provisional Licence) 6

TO Derek Kai Chung BHP485 Licensed Representative (Provisional Licence) 1, 2

TO Ka Yan BHP839 Licensed Representative (Provisional Licence) 1, 6

TO Man Man Judy BHP914 Licensed Representative (Provisional Licence) 1, 4, 9

TONG Jenny AIR580 Licensed Representative (Provisional Licence) 1, 4

TONG Kai Tak BHQ333 Licensed Representative (Provisional Licence) 1, 6

TONG U Shan, Arita BHR199 Licensed Representative (Provisional Licence) 1, 4

TONG Ying Kit, Robin AVO633 Licensed Representative (Provisional Licence) 3

TRAFFORD James John BHO846 Licensed Representative (Provisional Licence) 4, 9

TSAI Meng Ting BHP132 Licensed Representative (Provisional Licence) 1, 4

TSANG Chui Ying BHS093 Licensed Representative (Provisional Licence) 3

TSANG Kin Leung AYJ300 Licensed Representative (Provisional Licence) 1, 4, 9

TSE Ka Yin BEE409 Licensed Representative (Provisional Licence) 2, 5

TSE Wai Yee, May ARN403 Licensed Representative (Provisional Licence) 1, 2, 4

TSEUNG Yin Fai BHP404 Licensed Representative (Provisional Licence) 1, 2

TSUI Wai Lun BHO716 Licensed Representative (Provisional Licence) 1, 2

TSUI Chu Hung BHP152 Licensed Representative (Provisional Licence) 1

TSUI Kam Hee ARO573 Licensed Representative (Provisional Licence) 1

UENO Yasunari BHL325 Licensed Representative (Provisional Licence) 4

UTSUMI Soichi BHQ370 Licensed Representative (Provisional Licence) 4, 5, 9

WALKER Angus Campbell BHO970 Licensed Representative (Provisional Licence) 9

WANG Alan Boyu BHP411 Licensed Representative (Provisional Licence) 6

WANG Anqi BHO181 Licensed Representative (Provisional Licence) 1, 6

WANG Chenfei BCW928 Licensed Representative (Provisional Licence) 1, 6

WANG Chenyi BHO294 Licensed Representative (Provisional Licence) 1, 4

WANG Dong BHR911 Licensed Representative (Provisional Licence) 1, 6

WANG James Jingdong BCX177 Licensed Representative (Provisional Licence) 9

WANG Mingcheng BHP709 Licensed Representative (Provisional Licence) 1

WANG Peiyue BHO570 Licensed Representative (Provisional Licence) 1

WANG Shuo BHP870 Licensed Representative (Provisional Licence) 4, 9

WANG Wei-Yi BHP328 Licensed Representative (Provisional Licence) 1, 2

WANG Yi BHO329 Licensed Representative (Provisional Licence) 4, 9

WASILEWICZ Maciej Karol BHO636 Licensed Representative (Provisional Licence) 4, 5, 9

WEI Ran BHQ210 Licensed Representative (Provisional Licence) 3

WEI Shiyu BHO460 Licensed Representative (Provisional Licence) 1, 6

WENG Tian BHN791 Licensed Representative (Provisional Licence) 4

WHIGHT Christopher John BHO276 Licensed Representative (Provisional Licence) 2

WONG Kai Chung Roger BHR969 Licensed Representative (Provisional Licence) 1, 6

WONG Anthony Ming Hon BHO427 Licensed Representative (Provisional Licence) 2, 5

WONG Chun Kit BHO974 Licensed Representative (Provisional Licence) 1, 4

WONG Ka Ming BHP754 Licensed Representative (Provisional Licence) 1

WONG Kam Suen David AFN655 Licensed Representative (Provisional Licence) 1, 4

WONG Kin Sun BHS010 Licensed Representative (Provisional Licence) 1, 4, 9

WONG Kin Wai BHQ336 Licensed Representative (Provisional Licence) 1

WONG Kit Shuen Molisa AEM349 Licensed Representative (Provisional Licence) 1, 4

WONG Ming Wai BHQ215 Licensed Representative (Provisional Licence) 1, 4, 9

WONG Pui Fai BHQ211 Licensed Representative (Provisional Licence) 1, 2

WONG Tzu Qun BHP119 Licensed Representative (Provisional Licence) 1

WONG Wai Shan AUA951 Licensed Representative (Provisional Licence) 1, 6

WOO Lai Ming, Raymond AUS410 Licensed Representative (Provisional Licence) 1, 6

WRIGHT David Antony BHP250 Licensed Representative (Provisional Licence) 1, 4

Page 15 of 19

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2016

CE Name CE No. Licence Type Types of Regulated Activity

WU Hao BHP492 Licensed Representative (Provisional Licence) 1, 4, 9

WU Jiayi BHR350 Licensed Representative (Provisional Licence) 1, 4

WU Mei Yen BHP424 Licensed Representative (Provisional Licence) 1, 4, 9

WU Shu-Fang AMB390 Licensed Representative (Provisional Licence) 1

WU Tsung Hsien BHP400 Licensed Representative (Provisional Licence) 1, 2

WU Weijia BHR850 Licensed Representative (Provisional Licence) 4

WU Yunling BHO767 Licensed Representative (Provisional Licence) 1, 6

XIA Xiaoting BHO438 Licensed Representative (Provisional Licence) 2

XIAO Mingyi BHO183 Licensed Representative (Provisional Licence) 1, 2

XIAO Yang BHS174 Licensed Representative (Provisional Licence) 9

XIAO Yuanqing BHP471 Licensed Representative (Provisional Licence) 1, 6

XIE Xiaotian BHP635 Licensed Representative (Provisional Licence) 4, 9

XU Sichao BHO462 Licensed Representative (Provisional Licence) 1, 6

YAM Chung Man Joseph BHR865 Licensed Representative (Provisional Licence) 1, 6

YAN Jinghua BHO972 Licensed Representative (Provisional Licence) 9

YAP Sze Sze BAI297 Licensed Representative (Provisional Licence) 1, 4, 9

YAU Sau Ngor, Sinnie AAK127 Licensed Representative (Provisional Licence) 1, 2, 3

YEUNG Pik Ha BHP726 Licensed Representative (Provisional Licence) 3

YEUNG Tsun Hung, Jacky BGS904 Licensed Representative (Provisional Licence) 9

YI Jian BHO439 Licensed Representative (Provisional Licence) 4

YIP Kam Pang AES448 Licensed Representative (Provisional Licence) 1

YU Man Tao BHP107 Licensed Representative (Provisional Licence) 1, 2

YU Wai Chiu AXI616 Licensed Representative (Provisional Licence) 1

YUE Xiaowei AVZ069 Licensed Representative (Provisional Licence) 4, 9

YUEN Ching Yiu BHQ072 Licensed Representative (Provisional Licence) 1, 6

YUN Chun Kit ABG005 Licensed Representative (Provisional Licence) 1, 4

ZALANE Michael BHO622 Licensed Representative (Provisional Licence) 1, 2

ZANONI Raphael BHS141 Licensed Representative (Provisional Licence) 1, 4, 9

ZHANG Yundi BHO980 Licensed Representative (Provisional Licence) 4

ZHANG Hairong AXL545 Licensed Representative (Provisional Licence) 1

ZHANG Jinhong BHR791 Licensed Representative (Provisional Licence) 9

ZHANG Shaoqing BHR967 Licensed Representative (Provisional Licence) 4, 9

ZHANG Shuaishuai BHQ055 Licensed Representative (Provisional Licence) 1, 4

ZHANG Ting BHR323 Licensed Representative (Provisional Licence) 1

ZHANG Yiming BHQ351 Licensed Representative (Provisional Licence) 1

ZHANG Yiran BHP832 Licensed Representative (Provisional Licence) 1

ZHANG Zhoubo BHR997 Licensed Representative (Provisional Licence) 1, 4

ZHAO Tong BHR770 Licensed Representative (Provisional Licence) 1, 4, 9

ZHAO Yang BHR796 Licensed Representative (Provisional Licence) 1, 4

ZHENG Hanxia BBG316 Licensed Representative (Provisional Licence) 2, 5

ZHENG Sidan BHP324 Licensed Representative (Provisional Licence) 1, 2

ZHENG Zhenqiu BHO446 Licensed Representative (Provisional Licence) 1, 4

ZHONG Yang BHQ208 Licensed Representative (Provisional Licence) 6

ZHOU Jingyu BHO397 Licensed Representative (Provisional Licence) 4

ZHOU Kehui BHR437 Licensed Representative (Provisional Licence) 4

ZHOU Lina BAY312 Licensed Representative (Provisional Licence) 1, 4

ZHOU Zhou BHR853 Licensed Representative (Provisional Licence) 9

ZHU He BHP157 Licensed Representative (Provisional Licence) 4

ZHU Hui AYB024 Licensed Representative (Provisional Licence) 1, 2, 4

ZOU Liyi BHO982 Licensed Representative (Provisional Licence) 2

ABED Joseph Khalid BHQ347 Licensed Representative (Temporary Licence) 1, 4

ADEWALE Amanda Patricia BBO925 Licensed Representative (Temporary Licence) 1

AHUJA Vivek Manohar ARI512 Licensed Representative (Temporary Licence) 1

Page 16 of 19

ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2016

CE Name CE No. Licence Type Types of Regulated Activity

ANSOINE Arnaud Yves BHO829 Licensed Representative (Temporary Licence) 2

AOKI Hidehiko BAI638 Licensed Representative (Temporary Licence) 1, 4

BALASUBRAMANIAM Venkatesh BDT263 Licensed Representative (Temporary Licence) 4

BALTAS Akindynos Nikolaos BHQ102 Licensed Representative (Temporary Licence) 4

BARRY James Timothy BHR373 Licensed Representative (Temporary Licence) 1, 4

BLANNING Geoffrey Stephen BHM637 Licensed Representative (Temporary Licence) 1

BRADSHAW Michael Kenneth BHO809 Licensed Representative (Temporary Licence) 1, 4

BYERS Martin John AXA009 Licensed Representative (Temporary Licence) 4

CHAN Simon BCT212 Licensed Representative (Temporary Licence) 1, 4

CHEETHAM Philip BFA324 Licensed Representative (Temporary Licence) 4

CHEN Qing BDK816 Licensed Representative (Temporary Licence) 1, 2

CHEN Shou-Hui BFO656 Licensed Representative (Temporary Licence) 1

CHEN Si BHS317 Licensed Representative (Temporary Licence) 1, 2

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

CHIANG Randy ATV645 Licensed Representative (Temporary Licence) 1, 2

CHONG Wen Bin Melvin BFZ492 Licensed Representative (Temporary Licence) 1, 2

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

CHUA Kah Meng, Adrian AWD992 Licensed Representative (Temporary Licence) 4

COE Nigel Edward BDO199 Licensed Representative (Temporary Licence) 1

CURTIS Jonathan Tourtellotte BHP706 Licensed Representative (Temporary Licence) 1

DAI Min BHQ112 Licensed Representative (Temporary Licence) 1

DARK Adrian John BFA326 Licensed Representative (Temporary Licence) 4

DE LA PORTE DU THEIL Xavier Pierre Marie BHQ099 Licensed Representative (Temporary Licence) 1

DESHMUKH Prasad Gulabrao BAR266 Licensed Representative (Temporary Licence) 1, 4

DIDELOT Nicolas Mathieu BHO975 Licensed Representative (Temporary Licence) 1

DRAY Deane Michael BHP930 Licensed Representative (Temporary Licence) 1, 4

DWYER Daniel Joseph AKJ234 Licensed Representative (Temporary Licence) 1, 2

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

FUKUMOTO Chika BHO937 Licensed Representative (Temporary Licence) 4

GARRE Venugopal AML716 Licensed Representative (Temporary Licence) 4

GASQUERES Eric Yuya Francis ATI745 Licensed Representative (Temporary Licence) 1, 2

GILL Barry John BHP725 Licensed Representative (Temporary Licence) 1, 4

GLEESON David Luke BDL878 Licensed Representative (Temporary Licence) 1, 4

GOH Si Xian BFO633 Licensed Representative (Temporary Licence) 4

GOTTELIER Simon David AXP495 Licensed Representative (Temporary Licence) 4

GRIJNS Andrew Arnold BAM236 Licensed Representative (Temporary Licence) 4

HILL Andrew Duncan BCK617 Licensed Representative (Temporary Licence) 1, 4

HIRAKAWA Shoji AOR316 Licensed Representative (Temporary Licence) 4

HOLDER Mark Andrew BHQ350 Licensed Representative (Temporary Licence) 1

HSIAO Hui-chung BHN003 Licensed Representative (Temporary Licence) 1, 4

HUNDLEY William Gen BHC221 Licensed Representative (Temporary Licence) 1

HWANG Jennifer Nicole AXG088 Licensed Representative (Temporary Licence) 1

JACKSON Ian Robert BGQ060 Licensed Representative (Temporary Licence) 1, 2

JUENGER Todd Michael BHM363 Licensed Representative (Temporary Licence) 4

JUSCHKE Felix BHR619 Licensed Representative (Temporary Licence) 1

KAMEDA Eri BHS140 Licensed Representative (Temporary Licence) 1

KEATING Edward Peter BHQ307 Licensed Representative (Temporary Licence) 1, 4

KIM Hyeong Kyun BFF354 Licensed Representative (Temporary Licence) 1

KIM Hyo Jun AOH894 Licensed Representative (Temporary Licence) 4

KIM Minkyu BEO107 Licensed Representative (Temporary Licence) 1

KIM Nara BHO992 Licensed Representative (Temporary Licence) 1

KIM Tae-Woon BCO962 Licensed Representative (Temporary Licence) 1

KOESTERICH Russell Jared BHP721 Licensed Representative (Temporary Licence) 1, 4

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2016

CE Name CE No. Licence Type Types of Regulated Activity

KOOIJ Reijer Jan BBQ185 Licensed Representative (Temporary Licence) 1, 4

KUBOTA Masashi BBA891 Licensed Representative (Temporary Licence) 1, 4

KURZ Peter Michael ACN979 Licensed Representative (Temporary Licence) 4

LEE Ming-Hsun BAO744 Licensed Representative (Temporary Licence) 1, 4

LI Jing AOV618 Licensed Representative (Temporary Licence) 1, 2

LINGARD Stephen Russel BHQ067 Licensed Representative (Temporary Licence) 1

LITTLE Joseph Edward George BHR324 Licensed Representative (Temporary Licence) 1

LIU Zhijing AWW251 Licensed Representative (Temporary Licence) 4

LOEWY Daniel Jay BEC626 Licensed Representative (Temporary Licence) 4

MACDONALD Alistair John AVW485 Licensed Representative (Temporary Licence) 1

MANSELL Steven Robert BEI891 Licensed Representative (Temporary Licence) 4

MATHUR Aditya BEO279 Licensed Representative (Temporary Licence) 4

MCDONALD Graeme Antony ALA712 Licensed Representative (Temporary Licence) 4

MILLER Brian Matthew BHP647 Licensed Representative (Temporary Licence) 1, 4

MITCHELL Scot Preston BHP608 Licensed Representative (Temporary Licence) 1, 4, 6

MIURA Nobuyoshi BDU297 Licensed Representative (Temporary Licence) 4

MIURA Takuya BHP322 Licensed Representative (Temporary Licence) 1, 4

MORIMOTO Tatsuya BDW746 Licensed Representative (Temporary Licence) 1, 2

MORIYAMA Keisuke AQP609 Licensed Representative (Temporary Licence) 4

MOULDER Anthony Bruce BFB113 Licensed Representative (Temporary Licence) 4

MURAKAMI Yusuke BHQ207 Licensed Representative (Temporary Licence) 1

NAKADA Leo BHO425 Licensed Representative (Temporary Licence) 4

NELSON Thomas Michael BEG498 Licensed Representative (Temporary Licence) 4

NICHOLAS James Everett BHN911 Licensed Representative (Temporary Licence) 1, 4

NOLAN Michael Timothy BDZ929 Licensed Representative (Temporary Licence) 1

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

OH Sung Hwan ARO583 Licensed Representative (Temporary Licence) 1, 4

OXGAARD Jonas Ingemar BHQ318 Licensed Representative (Temporary Licence) 4

PARK Jun Ho AXZ060 Licensed Representative (Temporary Licence) 1

PARK William BHG768 Licensed Representative (Temporary Licence) 1, 4

PETROVA Joana Anguelova BHR581 Licensed Representative (Temporary Licence) 1, 2

PETROVCIK Kevin Patrick AZL215 Licensed Representative (Temporary Licence) 1, 4

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

PRANOTO Henry Sulistyo BHO644 Licensed Representative (Temporary Licence) 1

REDFERN James BGX417 Licensed Representative (Temporary Licence) 1, 4

REISZ Paul William BHQ136 Licensed Representative (Temporary Licence) 1, 4

RICE IV Albert William BHR263 Licensed Representative (Temporary Licence) 4

ROMANEIRO Eduardo Alexandre Victorino AXV642 Licensed Representative (Temporary Licence) 1

SAIZ NICOLAS Jose Maria BHQ100 Licensed Representative (Temporary Licence) 4

SAKAMOTO Gosuke BBQ740 Licensed Representative (Temporary Licence) 1

SATHAWORAWONG Pimolrat BEM318 Licensed Representative (Temporary Licence) 4

SCHEMM Martin Peter BHP723 Licensed Representative (Temporary Licence) 1

SCHENKER Andrew Marc BHQ342 Licensed Representative (Temporary Licence) 1

SCHOFIELD David John BHP581 Licensed Representative (Temporary Licence) 1, 4

SETH Neeraj AYB919 Licensed Representative (Temporary Licence) 1, 4

SHAH Amish Chandrakant AUW978 Licensed Representative (Temporary Licence) 1, 4

SHIBANO Masahiro BFN431 Licensed Representative (Temporary Licence) 4

SIMMONDS Stuart Duncan BCP839 Licensed Representative (Temporary Licence) 1, 4

SKOGLUND Jeffrey Scott AYY641 Licensed Representative (Temporary Licence) 4

SPENCER Joshua Kaj BHQ222 Licensed Representative (Temporary Licence) 4

STALLARD Robert Alan BHP931 Licensed Representative (Temporary Licence) 1, 4

STEEL Shawn Robert BAH356 Licensed Representative (Temporary Licence) 1, 4

STOCK Michael William Anderton BHR752 Licensed Representative (Temporary Licence) 1, 4, 6

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ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2016

CE Name CE No. Licence Type Types of Regulated Activity

SUNDRAM Rohan Jason AXW579 Licensed Representative (Temporary Licence) 4

TIWARI Atul Kumar BDT253 Licensed Representative (Temporary Licence) 4

TOH Shikai BFI045 Licensed Representative (Temporary Licence) 1, 2

TOMLIN Owen ALI374 Licensed Representative (Temporary Licence) 1

TOURCHOT TRAISSAC Nicolas Raphel BHO576 Licensed Representative (Temporary Licence) 1, 2

VARMA Rajeev BAN052 Licensed Representative (Temporary Licence) 1, 4

VINCENT Etienne Jean Achille BAO330 Licensed Representative (Temporary Licence) 4

VON RIEKHOFF Andre Christopher BHO553 Licensed Representative (Temporary Licence) 1, 2

WANG Shiyan BDP424 Licensed Representative (Temporary Licence) 4

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

WILLIAMS Matthew James BCV078 Licensed Representative (Temporary Licence) 1, 4

WON Wee Yih BHR599 Licensed Representative (Temporary Licence) 4

WONG Clinton James Luke AXI819 Licensed Representative (Temporary Licence) 1

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

WONG Kwong Wui AMK297 Licensed Representative (Temporary Licence) 1, 4

WOUTERS Anton Hendrik AXG009 Licensed Representative (Temporary Licence) 4

YEN Edward ATJ152 Licensed Representative (Temporary Licence) 4

YOSHIDA Mitsuhiro BHR650 Licensed Representative (Temporary Licence) 1

Page 19 of 19