CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED ...

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CE Name: Venture Smart Asia Limited CE No.: BCO369 Licence Type: Licensed Corporation Condition Removed: For Type 1 regulated activity, the licensee shall only engage in underwriting, sub-underwriting and placing of securities. Condition Level: Type 1 Regulated Activity CE Name: Kiu Hung Capital Company Limited CE No.: BFK824 Licence Type: Licensed Corporation Condition Removed: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: China International Capital Corporation Hong Kong Securities Limited CE No.: AEN894 Licence Type: Licensed Corporation Condition Removed: For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients. Condition Level: Type 3 Regulated Activity CE Name: Southwest Securities (HK) Capital Limited CE No.: AIC042 Licence Type: Licensed Corporation Condition Removed: For Type 6 regulated activity, the licensee shall not act as sponsor in respect of an application for the listing on a recognized stock market of any securities apart from completing sponsor or compliance adviser work which it became contractually bound to complete prior to 16 December 2015. Condition Level: Type 6 Regulated Activity CE Name: Southwest Securities (HK) Capital Limited CE No.: AIC042 Licence Type: Licensed Corporation Condition Removed: For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition. Condition Level: Type 6 Regulated Activity
CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS DURING 05/2016
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CE Name: Enhanced Securities Limited CE No.: AWP684 Licence Type: Licensed Corporation Condition Added: For Type 6 regulated activity, the licensee/[person] shall not act as sponsor in respect of an application for the listing on a recognized stock market of any securities. Condition Level: Type 6 Regulated Activity CE Name: Enhanced Securities Limited CE No.: AWP684 Licence Type: Licensed Corporation Condition Added: For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission. Condition Level: Type 6 Regulated Activity CE Name: KGI Asset Management Limited CE No.: AEN441 Licence Type: Licensed Corporation Condition Removed: For Type 9 regulated activity, the licensee shall not conduct business involving the discretionary management of any collective investment scheme. The term "collective investment scheme" is as defined under the Securities and Futures Ordinance. Condition Level: Type 9 Regulated Activity CE Name: Halcyon Securities Limited CE No.: BAM857 Licence Type: Licensed Corporation Condition Added: For Type 9 regulated activity, the licensee shall not conduct business involving the discretionary management of any collective investment scheme. The term "collective investment scheme" is as defined under the Securities and Futures Ordinance. Condition Level: Type 9 Regulated Activity CE Name: Halcyon Securities Limited CE No.: BAM857 Licence Type: Licensed Corporation Condition Added: For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of futures contracts for another person. Condition Level: Type 9 Regulated Activity
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CE Name: Halcyon Securities Limited CE No.: BAM857 Licence Type: Licensed Corporation Condition Added: For Type 9 regulated activity, the licensee shall only provide services to professional investors. The term "professional investor" is as defined in the Securities and Futures Ordinance and its subsidiary legislation. Condition Level: Type 9 Regulated Activity CE Name: IDS Forex HK Limited CE No.: BDH481 Licence Type: Licensed Corporation Condition Added: For Type 9 regulated activity, the licensee shall not conduct business involving the discretionary management of any collective investment scheme. The term "collective investment scheme" is as defined under the Securities and Futures Ordinance. Condition Level: Type 9 Regulated Activity CE Name: Dragon Field Investment Limited CE No.: BFH453 Licence Type: Licensed Corporation Condition Removed: For Type 9 regulated activity, the licensee shall not conduct business involving the discretionary management of any collective investment scheme. The term "collective investment scheme" is as defined under the Securities and Futures Ordinance. Condition Level: Type 9 Regulated Activity CE Name: Dragon Field Investment Limited CE No.: BFH453 Licence Type: Licensed Corporation Condition Removed: For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of futures contracts for another person. Condition Level: Type 9 Regulated Activity CE Name: DSG Asset Management (HK) Company Limited CE No.: BFR037 Licence Type: Licensed Corporation Condition Removed: For Type 9 regulated activity, the licensee shall not conduct business involving the discretionary management of any collective investment scheme. The term "collective investment scheme" is as defined under the Securities and Futures Ordinance. Condition Level: Type 9 Regulated Activity
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CE Name: Anli Asset Management Limited CE No.: AEL743 Licence Type: Licensed Corporation Condition Added: The licensee shall only provide services to professional investors. The term "professional investor" is as defined in the Securities and Futures Ordinance and its subsidiary legislation. Condition Level: Licence CE Name: First Capital Asset Management Limited CE No.: BEA129 Licence Type: Licensed Corporation Condition Removed: The licensee shall not hold client assets. The terms "hold" and "client assets" are as defined under the Securities and Futures Ordinance. Condition Level: Licence CE Name: First Capital Asset Management Limited CE No.: BEA129 Licence Type: Licensed Corporation Condition Removed: The licensee shall only provide services to professional investors. The term "professional investor" is as defined in the Securities and Futures Ordinance and its subsidiary legislation. Condition Level: Licence CE Name: Forwin Securities Group Limited CE No.: BEI223 Licence Type: Licensed Corporation Condition Removed: The licensee shall only provide services to professional investors. The term "professional investor" is as defined in the Securities and Futures Ordinance and its subsidiary legislation. Condition Level: Licence CE Name: SPDB International Capital Limited CE No.: BFZ375 Licence Type: Licensed Corporation Condition Removed: The licensee shall not hold client assets. The terms "hold" and "client assets" are as defined under the Securities and Futures Ordinance. Condition Level: Licence CE Name: SPDB International Capital Limited CE No.: BFZ375 Licence Type: Licensed Corporation Condition Removed: The licensee shall only provide services to professional investors. The term "professional investor" is as defined in the Securities and Futures Ordinance and its subsidiary legislation.
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Condition Level: Licence CE Name: HILL Stephen Christopher CE No.: ACG751 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LI Ying Hung CE No.: ACP023 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: LI Ying Hung CE No.: ACP023 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CHAN Kwan Kit CE No.: ACQ850 Licence Type: Licensed Representative - Responsible Officer Condition Added:
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For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: NG Michael Chiu Ho CE No.: ADA727 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: DUAN Hong CE No.: ADE819 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: DUAN Hong CE No.: ADE819 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: WU Benjamin Wen Jing CE No.: AEM784 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity
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CE Name: HU Zhizhi CE No.: AFQ361 Licence Type: Licensed Representative Condition Removed: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: CHUNG Ho Tung CE No.: AGC693 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: CHUNG Ho Tung CE No.: AGC693 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: CHUNG Ho Tung CE No.: AGC693 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: WONG Kan Man CE No.: AGP718 Licence Type: Licensed Representative - Responsible Officer Condition Removed:
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For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: WONG Kan Man CE No.: AGP718 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CHNG Oon Jin CE No.: AIN851 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: HSIEH Ming-Hung CE No.: AIR925 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),
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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: HSIEH Ming-Hung CE No.: AIR925 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: WONG Hiu Pan CE No.: ALA793 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: WONG Hiu Pan CE No.: ALA793 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: IP Wang Hoi CE No.: ALN577 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect:
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(i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: IP Wang Hoi CE No.: ALN577 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: BAI Youge CE No.: ALP809 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: CHAN Chi Fung, Leo CE No.: ALS787 Licence Type: Licensed Representative Condition Removed: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: WONG Hung Wai CE No.: ALU971 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is:
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(a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: WONG Hung Wai CE No.: ALU971 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CHIU Simon Siu Hung CE No.: ALW291 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CHIU Simon Siu Hung CE No.: ALW291 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: SHEN Jen Der CE No.: ALY713 Licence Type: Licensed Representative - Responsible Officer
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Condition Added: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: WANG Sheng CE No.: AMI809 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LIU Dongmei, Amy CE No.: AMM436 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: LIU Dongmei, Amy CE No.: AMM436 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity
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CE Name: CHANG Chun Chung CE No.: AND527 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CHANG Chun Chung CE No.: AND527 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: CHENG Kong Wai CE No.: ANM032 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: CHENG Kong Wai CE No.: ANM032 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),
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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: SOULEYMAN Jan CE No.: ANM874 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: SOULEYMAN Jan CE No.: ANM874 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: SUN Xiaomin CE No.: AOD522 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: KWOK Chi Yeung CE No.: AOV745 Licence Type: Licensed Representative - Responsible Officer Condition Removed:
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For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: KWOK Chi Yeung CE No.: AOV745 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: ZHANG Chenghong CE No.: AOX827 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: WONG Alan Wan Lung CE No.: AOY210 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),
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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: NG Ting Ho CE No.: AQM058 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: CHAN Lai Wah, Patricia CE No.: AQN141 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: BI Weiwei CE No.: AQQ490 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LU Jie CE No.: AQV758 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect:
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(i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: WONG Cheuk Lam CE No.: ASX897 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: SINGH Gauravjit CE No.: ATJ285 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: JEULIN Francois Thierry CE No.: ATJ464 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition.
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Condition Level: Type 1 Regulated Activity CE Name: JEULIN Francois Thierry CE No.: ATJ464 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: YANG Peng CE No.: AUG860 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: YANG Peng CE No.: AUG860 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: YANG Peng CE No.: AUG860 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),
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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: NEWTON Christopher John CE No.: AVJ280 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LIM Julian Frederick Yu CE No.: AVW353 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 15 September 2016 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 1 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: NAGAE Joseph Kurian CE No.: AVZ283 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity
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CE Name: LU Feng CE No.: AXG995 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LEE Hoi Yan CE No.: AXZ043 Licence Type: Licensed Representative Condition Removed: For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance. Condition Level: Type 1 Regulated Activity CE Name: NG Chit Hei Stephenson CE No.: AYB205 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: NG Chit Hei Stephenson CE No.: AYB205 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity
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CE Name: NAVLAKHA Nilesh CE No.: AYI936 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: WONG Theodore Todd CE No.: AYQ349 Licence Type: Licensed Representative Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: CHAN Kin Wah, Kenneth CE No.: BAL896 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CHAN Kin Wah, Kenneth CE No.: BAL896 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is:
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(a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: XIAO Lina CE No.: BAZ749 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: XIAO Lina CE No.: BAZ749 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: XIAO Lina CE No.: BAZ749 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: XIAO Lina CE No.: BAZ749 Licence Type: Licensed Representative - Responsible Officer
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Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: WEI Shanwei CE No.: BBS871 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CHOI Da Eun CE No.: BCZ340 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: CHOI Da Eun CE No.: BCZ340 Licence Type: Licensed Representative - Responsible Officer Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity
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CE Name: WU Yue CE No.: BDI411 Licence Type: Licensed Representative Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 13/11/2016 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 1 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LIAO Mingbing CE No.: BDO970 Licence Type: Licensed Representative Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 13/11/2016 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 1 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LIAO Mingbing CE No.: BDO970 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 13/11/2016 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 1 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: SHI Chengbo CE No.: BEB246 Licence Type: Licensed Representative Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
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(ii) 20/11/2016 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 1 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: UGAYAMA Kazuya CE No.: BEC906 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LU Ruochen CE No.: BEE828 Licence Type: Licensed Representative Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 20/11/2016 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 1 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: WANG Yufei CE No.: BEE831 Licence Type: Licensed Representative Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 13/11/2016 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 1 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity
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CE Name: ZHAO Liping CE No.: BEH709 Licence Type: Licensed Representative Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 13/11/2016 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 1 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LOKUR Vikram Madhav CE No.: BFI967 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: PIOVARCSY Karol CE No.: BFT767 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: SHAN Su CE No.: BFT937 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
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(ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: PEI Xiaohui CE No.: BGB709 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: TAW Gregory Michael CE No.: BGH190 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: AGNEW Nathan Daniel CE No.: BGH427 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),
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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: YANG Ruoyi CE No.: BGH897 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: YU Jinghong CE No.: BGH937 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: YU Wing Hei Sharon CE No.: BGI041 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity
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CE Name: FUNG Kwai Lun CE No.: BGI456 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: FRANCOIS-PONCET Pauline Marie Marguerite CE No.: BGI611 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LI Zhige CE No.: BGI744 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: KIM Jun Sub CE No.: BGI784 Licence Type: Licensed Representative Condition Removed:
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This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CHENG Ke-Li CE No.: BGI916 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: MCCOURT Ryan James CE No.: BGJ363 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: SU Junjie CE No.: BGJ390 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
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(ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LIN Qinghua CE No.: BGJ400 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CAO Ying CE No.: BGJ409 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: PAN Jialing CE No.: BGJ469 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),
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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: SHEKERDEMIAN James Yervant CE No.: BGK431 Licence Type: Licensed Representative - Responsible Officer Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: SHEKERDEMIAN James Yervant CE No.: BGK431 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: (a) accredited to the principal concerned of the licensee in respect of the activity; and (b) not subject to this condition. Condition Level: Type 1 Regulated Activity CE Name: LIN Tian CE No.: BGK496 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity
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CE Name: YIP Lam Lam CE No.: BGK791 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: SUM Ka Hoe Eric CE No.: BGK890 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: LI Siyu CE No.: BGK941 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CHUNG Wilson Kai Hang CE No.: BGL219 Licence Type: Licensed Representative Condition Removed:
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This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: ZHAO Xiaozheng CE No.: BGL502 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: TAN Teng Hui Nicholas CE No.: BGL570 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: WU Jian CE No.: BGL628 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
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(ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CHEN Kun CE No.: BGL674 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: SALLES Antoine Paul Benjamin CE No.: BGL771 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: KHOO Xin Ping, Inez CE No.: BGL795 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing),
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whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CHEN Long CE No.: BGM032 Licence Type: Licensed Representative Condition Added: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 13/11/2016 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 1 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: HSIEH Jiaru CE No.: BGM144 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: DUAN Qiufeng CE No.: BGM189 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity
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CE Name: CHOI-LEE Nora CE No.: BGM249 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: PANDOV Alexandre CE No.: BGM581 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: CHO Yunhee CE No.: BGM624 Licence Type: Licensed Representative Condition Removed: This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or (ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. Condition Level: Type 1 Regulated Activity CE Name: MANDALA Rohan CE No.: BGM922 Licence Type: Licensed Representative Condition Removed:
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This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: (i)

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