Post on 10-Apr-2018
ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017
CE Name CE No. Licence Type Types of Regulated Activity
Asian Capital Limited AZF630 Licensed Corporation 6
Binnacle Capital Limited BKL384 Licensed Corporation 1, 6
Boill Fund Management (HK) Co., Limited BJL167 Licensed Corporation 4, 9
Dimensional Hong Kong Limited BJE760 Licensed Corporation 1
Eastmoney International Futures Limited BJP084 Licensed Corporation 2, 5
Forshine Asset Management Limited BIB570 Licensed Corporation 4, 9
Fort Hill Capital Limited BJT867 Licensed Corporation 9
Gold Dragon Worldwide Asset Management Limited BJU614 Licensed Corporation 4, 9
Goldenwise Capital Group Limited BJT470 Licensed Corporation 4, 9
Granville Financial Services Company Limited BJH949 Licensed Corporation 1, 2, 9
Hammer Capital Asset Management Limited BIT752 Licensed Corporation 9
HK Monkey Securities Limited BJV607 Licensed Corporation 1, 9
Howbuy Hong Kong Limited BJR948 Licensed Corporation 1, 4, 9
Livermore Holdings Limited BJN764 Licensed Corporation 1
MANAGED ACCOUNT PARTNERS LIMITED BIZ186 Licensed Corporation 9
Manulife General Account Investments (HK) Limited BJI349 Licensed Corporation 1, 2, 4, 9
Marketsense Asset Management Limited BIZ106 Licensed Corporation 9
MCM Investment Partners Limited BIH342 Licensed Corporation 9
New Prospect Capital Limited BJT614 Licensed Corporation 1, 4
Proliferation Asset Management Limited BKO803 Licensed Corporation 4, 9
Rasong Asset Management Limited BJS897 Licensed Corporation 4, 9
Sparkle Asset Management (Hong Kong) Limited BKQ734 Licensed Corporation 9
StellarS Capital (Hong Kong) Limited BJB228 Licensed Corporation 9
Techne Asset Management Limited BJT660 Licensed Corporation 9
Towering Securities Limited BIN085 Licensed Corporation 1, 4, 9
ADITYA BLF579 Licensed Representative 4, 9
AFONIN Artem BHA284 Licensed Representative 4
AN Chiwon BKX406 Licensed Representative 1, 6
AU Shun Hang BLA480 Licensed Representative 1, 6
BAETZ Thomas Jacques Jean Philippe BLF191 Licensed Representative 1, 6
BANG Keug Jae BLG379 Licensed Representative 6
BAR Guillaume, Arnaud, Adrien BLF073 Licensed Representative 1
BARNES Simon Andrew BKZ985 Licensed Representative 1
BEZVERKHNI Leon BKY299 Licensed Representative 1, 6
BIANCHI Laetitia Laurence Marie BLF826 Licensed Representative 1
BRENNAN Christopher Patrick BLE951 Licensed Representative 1, 4
BUTT Yuk Foon BLD574 Licensed Representative 1
CABAL Bill Kristoffer BJS895 Licensed Representative 1, 4, 6
CAI Mianmian BKY254 Licensed Representative 1, 4
CAI Miao BKH212 Licensed Representative 1, 6
CAO Chao BLE074 Licensed Representative 1, 2
CAO Dan BKZ053 Licensed Representative 1, 4
Page 1 of 27
ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017
CE Name CE No. Licence Type Types of Regulated Activity
CAO Sihui BLE062 Licensed Representative 1, 4, 6
CAO Yimeng BKG809 Licensed Representative 1, 2
CAO Yuting BLF629 Licensed Representative 1, 4, 9
CHAI Siu Hoi BLH838 Licensed Representative 1
CHAINANI Harry Lal BLC840 Licensed Representative 1, 4
CHAN Cheuk Wai BLJ862 Licensed Representative 1
CHAN Chi Ho BKZ007 Licensed Representative 10
CHAN Ching Kwan BLH243 Licensed Representative 1
CHAN Chun Lin, Johnny BFO992 Licensed Representative 1
CHAN Fai Shing AWU704 Licensed Representative 1
CHAN Joey Chun Yin BKY519 Licensed Representative 1
CHAN Ka Wai APP683 Licensed Representative 1, 2
CHAN Ka Wai BLF061 Licensed Representative 6
CHAN Ki Fung BLI064 Licensed Representative 1, 4
CHAN Kwok Hung BKW960 Licensed Representative 1
CHAN Ling Tung, Kristy BFT513 Licensed Representative 1, 2
CHAN Po Yan BKR693 Licensed Representative 1, 4, 6
CHAN Shu Chun BLG345 Licensed Representative 1, 4
CHAN So Han AOJ393 Licensed Representative 1, 4, 9
CHAN Tak Hei BLG386 Licensed Representative 10
CHAN Ting Yan BLK726 Licensed Representative 1, 2
CHAN Tsz Ying BLF852 Licensed Representative 1
CHAN Wing Ho BLI731 Licensed Representative 1
CHAN Yee Wah BLF238 Licensed Representative 1, 4, 9
CHAN Ying Kit BLC894 Licensed Representative 1
CHANG Yui Cheong Richards BKX171 Licensed Representative 6
CHANG Yung Ching AFF918 Licensed Representative 9
CHAU Chun Ho AQM117 Licensed Representative 1
CHAU Chun Yin BLF847 Licensed Representative 1, 2
CHAU Wing Ho BLH244 Licensed Representative 6
CHEN Biwei BKD538 Licensed Representative 1
CHEN Cheng BLC897 Licensed Representative 9
CHEN Emily BBN893 Licensed Representative 1, 4, 9
CHEN Feng BKW447 Licensed Representative 1, 6
CHEN Jianghui BLG365 Licensed Representative 4
CHEN Ke BLI895 Licensed Representative 10
CHEN Ningxin BLF890 Licensed Representative 4, 9
CHEN Pengge BKZ959 Licensed Representative 1, 4, 6
CHEN SHENG BKH355 Licensed Representative 1, 6
CHEN Weiwei BKY635 Licensed Representative 1
CHEN Xiaoyue BLH895 Licensed Representative 1, 2, 4
CHEN Yidan BLG353 Licensed Representative 1, 4
Page 2 of 27
ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017
CE Name CE No. Licence Type Types of Regulated Activity
CHENG CHEN BKZ934 Licensed Representative 1, 6
CHENG Fuk Kam, David AUE238 Licensed Representative 3
CHENG Hung Tat AUA676 Licensed Representative 9
CHENG Jiyi BLI471 Licensed Representative 1, 4
CHENG John Chee-Wai BLB528 Licensed Representative 1, 4
CHENG LI BKY322 Licensed Representative 10
CHENG Ming Hai BLG126 Licensed Representative 1, 4, 9
CHENG Siu Fai BKB668 Licensed Representative 4, 6, 9
CHENG Yiu Chung BLI138 Licensed Representative 1, 2
CHENG Zi Heng BLI613 Licensed Representative 9
CHEUNG Chun BLF137 Licensed Representative 6
CHEUNG Chun Kit BLJ669 Licensed Representative 6
CHEUNG Chun Mei BLL105 Licensed Representative 1, 2
CHEUNG Fuk Lung BLI002 Licensed Representative 4
CHEUNG Ka Ki BLB525 Licensed Representative 1, 4
CHEUNG Lap Kuen, Preston BLI062 Licensed Representative 1, 2, 4
CHEUNG Shui Sum APB920 Licensed Representative 1, 4
CHEUNG Siu Fung AZC794 Licensed Representative 1, 4, 6
CHEUNG Wai Fan BLG134 Licensed Representative 1, 4, 9
CHEUNG Wai Ho BLI482 Licensed Representative 1
CHIEN Jui-Lin BLG339 Licensed Representative 1, 4
CHIEN Yu-Ping BJT518 Licensed Representative 1
CHING Hiu Fai AYK156 Licensed Representative 9
CHIU Man Chi Vivi BLG161 Licensed Representative 1, 6
CHIU Yuen Ying BAU743 Licensed Representative 1, 4, 9
CHO Seok Won BLI866 Licensed Representative 1
CHOE Jang Ho BLH460 Licensed Representative 4, 9
CHOI Franky Ming Chit APY708 Licensed Representative 1, 2
CHOI Kwun Hang BLC344 Licensed Representative 6
CHOI Yee Lam, Kenny BLH669 Licensed Representative 1
CHOI Yiet Yu BLC072 Licensed Representative 1, 2
CHOW Kam Ho BLC130 Licensed Representative 1, 6
CHOW Long Ching BLF108 Licensed Representative 4
CHOW Yun Chit Eugene BLB194 Licensed Representative 1, 2
CHU Chen Chung, Dominic BEW829 Licensed Representative 1, 6
CHU Lai Ching BCS756 Licensed Representative 1
CHU Li Yu BLC328 Licensed Representative 9
CHUI Yat Wa BLD478 Licensed Representative 1, 2
CHUNG Chieh-Hung BKL124 Licensed Representative 1, 2, 9
CHUNG Hiu Lam BLG285 Licensed Representative 1, 6
CHUNG Wing BLA947 Licensed Representative 1, 4, 9
CHUO Chung-Lin BKM227 Licensed Representative 1, 4, 6
Page 3 of 27
ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017
CE Name CE No. Licence Type Types of Regulated Activity
CLODE Richard Stephen BLH883 Licensed Representative 1, 4
CUI BOFENG BLF876 Licensed Representative 1, 4
CUI Wenqian BLD180 Licensed Representative 4, 9
CUI Yuting BHV550 Licensed Representative 9
DAWES Pinky BLC909 Licensed Representative 1, 4
DAY Joseph William Philip BLG354 Licensed Representative 1, 4, 9
DELAHODDE Thomas Geoffrey BLC702 Licensed Representative 1, 2, 7
DHADDA Vaibhav BLA433 Licensed Representative 1, 9
DING QI AWV316 Licensed Representative 9
DRYER Katharine Grace BDI393 Licensed Representative 1
FANG Yuan BLI961 Licensed Representative 1, 4, 6
FENG Shanchuan BLB687 Licensed Representative 4
FOK Sze Ting ANG611 Licensed Representative 1, 4, 9
FONG Chi Chuen, Ronnie BLF532 Licensed Representative 1
FONG Tin Cheung BLC075 Licensed Representative 1
FONG Wai Kit, Alvis BLF652 Licensed Representative 1, 4
FREYE Henrik Sebastian BLH173 Licensed Representative 9
FU Tianqi BKI877 Licensed Representative 1, 4
FUNG Yu Keung BLB503 Licensed Representative 1
GAO Qiao BLC830 Licensed Representative 4, 9
GE Xiaoyan BLC471 Licensed Representative 1
GEORGE Abraham Yohan BLA732 Licensed Representative 1, 4
GOH Hanli Jason BLF635 Licensed Representative 1
GONG Mengtan BLF870 Licensed Representative 9
GONG Rui BLF289 Licensed Representative 1, 4, 9
GONG Xiao BKA522 Licensed Representative 1, 6
GU Lei BLF077 Licensed Representative 1, 2
GUO Yanpei BLB500 Licensed Representative 1, 6
GUO Yifei BLG133 Licensed Representative 1, 4, 9
GUO Yuehua BKW494 Licensed Representative 1, 6
GUPTA Anup BJQ221 Licensed Representative 1
GUPTE Nishad Dileep BKY105 Licensed Representative 1, 2
GUSAK Victor Vladislav BKN511 Licensed Representative 1, 2
HAN Xinhao BLF871 Licensed Representative 1, 2
HANLEY Cathal Timothy BLD572 Licensed Representative 1, 2, 7
HAO Lili BKR340 Licensed Representative 1, 4, 9
HE Kai BLD346 Licensed Representative 1, 4
HE Ningqian BLF666 Licensed Representative 9
HENG Georgette Marie ABP318 Licensed Representative 1, 4, 9
HO Kam To BLA401 Licensed Representative 1, 4
HO Long Shan, Leonard AOD111 Licensed Representative 1, 4, 5, 9
HO Perdo Wang Kei AVN057 Licensed Representative 1
Page 4 of 27
ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017
CE Name CE No. Licence Type Types of Regulated Activity
HO TACK WEI BKI538 Licensed Representative 1, 6
HON Ka Ho BKI875 Licensed Representative 1, 4, 9
HOU Min BLH840 Licensed Representative 1, 4
HSIAO Tiffany Jihsheng AQC825 Licensed Representative 1
HSU Chih Chia BLB397 Licensed Representative 1
HSU Hsiu Ping AYJ219 Licensed Representative 9
HU Jiabin BKU255 Licensed Representative 4, 9
HU Jiachen BKV101 Licensed Representative 1
HUANG Jianhua BLE736 Licensed Representative 1
HUANG Miaomiao BKY919 Licensed Representative 4, 9
HUANG Mingmin AYR511 Licensed Representative 1, 4, 6
HUANG Tiger BLF626 Licensed Representative 1, 6
HUANG Yang BLA722 Licensed Representative 4, 9
HUANG Yanqing ANG755 Licensed Representative 4, 9
HUANG Yuzhi BLD480 Licensed Representative 1, 2
HUI Chi Kit BEX235 Licensed Representative 1, 4, 9
HUI Kin Ho BKY134 Licensed Representative 1, 2
HUI Wai Lung BLE911 Licensed Representative 1, 2
HUNG Tsun Hay BGU300 Licensed Representative 1, 4
INGVAR Andrea Mary Jeanette BLC460 Licensed Representative 1
JACKSON Nicholas Mark BLC914 Licensed Representative 1, 4
JASUJA Radhika AID481 Licensed Representative 1, 4
JIANG Fang BKR675 Licensed Representative 1, 2
JIANG Mingyu BLA801 Licensed Representative 1, 6
JIANG Tong BKU847 Licensed Representative 4
JIANG Yilin BLD329 Licensed Representative 1, 2
JIN Jianren BLH272 Licensed Representative 1, 4
JIN Jing BKY934 Licensed Representative 1
KAN Chiu Man, Vivian AFR075 Licensed Representative 1, 4
KAO Yu Lin BLE983 Licensed Representative 1, 4, 9
KENNEDY Peter Joseph BLK164 Licensed Representative 1
KEUNG Yuen Yuen BLJ660 Licensed Representative 1
KHADERIA Nirmal Kumar BLD569 Licensed Representative 1, 4, 6
KHUONG Chun Yu, Kenny ANH532 Licensed Representative 4, 9
KIM Junghun BLH422 Licensed Representative 9
KITOV Alex Nikolaev BKY265 Licensed Representative 1, 9
KIYOZUKA Megumi BLK150 Licensed Representative 1
KONG PAK YONG ANDY BLI106 Licensed Representative 1
KONG Yan BLI478 Licensed Representative 1, 4, 9
KU Yun BLK454 Licensed Representative 4, 9
KUNG Chin Pang ATB596 Licensed Representative 1, 2
KUNG Yiu Shing BLH249 Licensed Representative 1
Page 5 of 27
ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017
CE Name CE No. Licence Type Types of Regulated Activity
KUWAKI Shota BLK037 Licensed Representative 1
KWAI Wai BDY940 Licensed Representative 1
KWOK Kwai Ming Natalie BLD320 Licensed Representative 1
KWOK Suen Ni BFL004 Licensed Representative 1, 6
KWONG Maggie Pauly BLB531 Licensed Representative 1
LAI Chun Kit BLI494 Licensed Representative 6
LAI Kwok Keung BLK712 Licensed Representative 1
LAI Ophelia BLI863 Licensed Representative 9
LAI Shuk Fan BLB021 Licensed Representative 1
LAI Yik Man BLF867 Licensed Representative 4, 9
LAM Ambrose Kin Shek BKY630 Licensed Representative 1
LAM Ka Ching BLB365 Licensed Representative 1, 2
LAM Ka Wing BLI061 Licensed Representative 1, 4
LAM Shun Ka BJW925 Licensed Representative 1
LAM Sze Wing, Apple Ayumi BKP017 Licensed Representative 1, 4
LAM Tsz Kit BJE766 Licensed Representative 6
LAM Wan Yee, Cynthia AHV111 Licensed Representative 1
LAU Cham Yu BLF585 Licensed Representative 1, 4
LAU Cho Fung BLI767 Licensed Representative 1
LAU Raymond AJK499 Licensed Representative 9
LAU Yuen Shing AXZ950 Licensed Representative 1, 4, 6
LAUNGANI Neel Vishnu ADQ008 Licensed Representative 6
LAW Cho Kwan Derek BLI067 Licensed Representative 6
LAW Giggs AGA256 Licensed Representative 1
LAW KA KIU VICTOR BLF268 Licensed Representative 4, 9
LAW Man Chiu AQF556 Licensed Representative 1, 4
LE MAGNAN Sandra Liu ANM095 Licensed Representative 4
LEE Jiwon BLH266 Licensed Representative 1, 2, 4, 5
LEE Ming Keung ADJ352 Licensed Representative 9
LEE Ming Sum Mason BLI900 Licensed Representative 1, 2, 4
LEE Shao-Tang BLA303 Licensed Representative 4
LEE Yoke Ching BKS585 Licensed Representative 1
LEI Lei BKK648 Licensed Representative 1, 6
LENG Xuan BKY229 Licensed Representative 6
LEUNG Chun Hin BLC854 Licensed Representative 1
LEUNG Fung Sin ACI559 Licensed Representative 1, 4
LEUNG Ka Yiu BLE442 Licensed Representative 1, 4, 9
LEUNG Siu Kwan BLI874 Licensed Representative 1, 2, 7
LEUNG Siulun Gary BLE481 Licensed Representative 1, 4, 9
LEUNG Yee Hang BLF568 Licensed Representative 1, 4, 9
LEUNG Yui Ki BLK477 Licensed Representative 1, 2
LI Aiwei BLH896 Licensed Representative 4
Page 6 of 27
ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017
CE Name CE No. Licence Type Types of Regulated Activity
LI Bai BLA188 Licensed Representative 4
LI Chi Hang BGE846 Licensed Representative 1
LI Chuheng BLB153 Licensed Representative 1
LI Cong BKV453 Licensed Representative 1, 6
LI Hoi Ying Stefanie BLF088 Licensed Representative 1, 6
LI Junhui BKT337 Licensed Representative 1, 4, 9
LI Keyue BKW500 Licensed Representative 1, 4
LI Man BKX346 Licensed Representative 1, 4, 9
LI YEE KI BKF279 Licensed Representative 4, 9
LI Yihong BLG130 Licensed Representative 1, 6
LI Yijun AMF468 Licensed Representative 1, 4, 9
LI Yuk Ming Richard BLC336 Licensed Representative 9
LIANG Heng BLJ233 Licensed Representative 1
LIM Hock Leong Rapheal Ames BKW509 Licensed Representative 2
LIN Chi-Jung BFA198 Licensed Representative 1, 4
LIN Jiaxin AVH077 Licensed Representative 1, 4
LIU Chang BLF877 Licensed Representative 1
LIU Chung Tong AUK189 Licensed Representative 1
LIU En-Ting BLI963 Licensed Representative 1, 4, 9
LIU Gladys BLA853 Licensed Representative 1, 4
LIU Han BJM089 Licensed Representative 4, 9
LIU Jiaji BLC129 Licensed Representative 4
LIU Jingwei BKS235 Licensed Representative 1, 6
LIU Ruiyin BLG369 Licensed Representative 1, 4, 6
LIU shihuijun BLH483 Licensed Representative 1, 6
LIU Shiyan BLK641 Licensed Representative 4
LIU Sifan BLI069 Licensed Representative 1, 4
LIU Weiyi BLG350 Licensed Representative 1, 4, 6
LIU Ye BKS183 Licensed Representative 4
LIU You BLC125 Licensed Representative 1
LIU Zhao BLI522 Licensed Representative 9
LO Tsz Kit, Harry AGM850 Licensed Representative 6
LO Yu Jie BLF222 Licensed Representative 1, 4
LOGAN Anura BLE134 Licensed Representative 1
LOHCHAB Varun BLE441 Licensed Representative 4
LU Jingyang BLG357 Licensed Representative 1
LUI Ho Ting BLK723 Licensed Representative 1
LUI Wan Hong AYN585 Licensed Representative 1, 4, 6
LUK Wai Kit AJL679 Licensed Representative 9
LUO Xuan AQS758 Licensed Representative 1, 2
LUO Yue BLD589 Licensed Representative 1, 4, 6
MA Chi Ho BLD605 Licensed Representative 1, 4
Page 7 of 27
ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017
CE Name CE No. Licence Type Types of Regulated Activity
MA Danwei BLD382 Licensed Representative 1, 4
MA Man Lok, Ivan BLE910 Licensed Representative 1
MACLENNAN Dale Peter BKZ643 Licensed Representative 1
MAK Chloe BLA736 Licensed Representative 1, 2
MALIK Juhi BLJ228 Licensed Representative 1, 4
MALLIK UPASANA BLC104 Licensed Representative 4
MALOUF Michelle Maria BLH578 Licensed Representative 1
MAN Hoi Ting BLD963 Licensed Representative 1, 2
MAO Xinyu BKU176 Licensed Representative 1, 6
MASHRU Namrata Sudhir BAF822 Licensed Representative 1, 2
MASSON Benjamin Rene Remi BLD364 Licensed Representative 1, 4
MATHUR Puneet BLE907 Licensed Representative 2, 5
MAYER John Raymond BKX376 Licensed Representative 1, 2
MCDONAGH Simon Joseph BLC034 Licensed Representative 1
MENG Zhe BLG291 Licensed Representative 1, 4, 6
MIN Peter Jae Sun BLJ520 Licensed Representative 1
MIYAMOTO Go BIN850 Licensed Representative 4
MOK Wing Ho BLH458 Licensed Representative 1
MORINAGA Kumiko BLC343 Licensed Representative 9
NEO Shu Jean BLH786 Licensed Representative 1
NG Ho Yin BLJ668 Licensed Representative 1
NG Ka Wai BLB476 Licensed Representative 1, 6
NG Lai Fun BLE471 Licensed Representative 1, 4
NG Pui Hung BLE543 Licensed Representative 1, 4
NGAI Cho Lap BLF241 Licensed Representative 1, 4
NING Yanyue BLG363 Licensed Representative 1, 2, 4
NIU Huoqing BJT516 Licensed Representative 4, 9
NIU Shihao BLI959 Licensed Representative 1, 6
NUTTON James Michael BKD201 Licensed Representative 1
ONG Charlie Yveline Jeanne BLG082 Licensed Representative 1
ONG Payton Pei-de ARA392 Licensed Representative 9
OR Yu Yeung BLI759 Licensed Representative 1
OTTEN Frans Alexander BJW529 Licensed Representative 9
PAI Anna Hsin Ping BLA849 Licensed Representative 1, 4
PAN Hailin BHC186 Licensed Representative 1, 4
PANG Chak Hung BLE952 Licensed Representative 4, 9
PANG Nan BLI006 Licensed Representative 9
PANG Shing Cheung Gary BKB852 Licensed Representative 1, 9
PARK Henry Jooyong AEP794 Licensed Representative 9
PERFETTINI Alice Mary Mathilde BLF889 Licensed Representative 1, 4
PERRIN Mark Richard BLF186 Licensed Representative 4, 5, 9
POON Chi Kit BLK412 Licensed Representative 1
Page 8 of 27
ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017
CE Name CE No. Licence Type Types of Regulated Activity
POON Wing Kwong BLC825 Licensed Representative 1, 4
POON Wing Suet BLC031 Licensed Representative 1, 6
PUTHENVEEDU SAINUDEEN Anoop BLC767 Licensed Representative 1
QIAO Yahong BKS805 Licensed Representative 1, 4
RENARD Jean Noel, Charles BLD169 Licensed Representative 1, 4
RIOU Clement Vincent Jean BLG084 Licensed Representative 1, 4, 6
RUHEE Doorvasha BKR701 Licensed Representative 1, 9
SANTOS MORO Clement Michel BLH886 Licensed Representative 1, 2
SAWADA Shogo BII582 Licensed Representative 1, 2
SCHWARZ Florian BKY307 Licensed Representative 1, 4, 6
SEOW Chi Yip BJS157 Licensed Representative 1, 4, 6
SHAH Ankit Dipak BKL203 Licensed Representative 1, 9
SHAH Rajan Hemendra BLC790 Licensed Representative 1, 4
SHEK Ho Kwong Herbert BLC365 Licensed Representative 6
SHI Lei BLE460 Licensed Representative 6
SHIMIZU Yasunori BJF243 Licensed Representative 1, 2
SHU Han BKY918 Licensed Representative 1, 4, 9
SHU Tingfei BKR355 Licensed Representative 4, 9
SHU Yue BLI072 Licensed Representative 1
SIU Wing Sum BLD185 Licensed Representative 1, 4
SLOMAN Scott BKM190 Licensed Representative 1, 2
SMITH BRENT BLC113 Licensed Representative 1
SO Hin Long BLE915 Licensed Representative 9
SOERENSEN Morten BLC449 Licensed Representative 1, 7
SONG Wanling BLJ694 Licensed Representative 1
SUN Jie BBY954 Licensed Representative 1, 4
SUN Sheung Hei BLH246 Licensed Representative 1, 2, 9
SUN Wen BLD500 Licensed Representative 1, 4
TAI Ka Yan AQU175 Licensed Representative 4, 9
TAM Chung Yin ARD541 Licensed Representative 4, 9
TAM Wai Han BLJ546 Licensed Representative 1, 4
TAM Yui Fai BLB623 Licensed Representative 1
TAN Keng Siong David BLC295 Licensed Representative 1
TAN Li BKV411 Licensed Representative 1, 2
TAN Yawei BLD974 Licensed Representative 1, 2, 4, 5
TANG Shan BLH582 Licensed Representative 4
TANG Xinpei BLN463 Licensed Representative 4
TEO Pau Ying BLI958 Licensed Representative 1, 4, 6
TEOH Chia Wen AMR406 Licensed Representative 1, 6
TIAN Dan BKY217 Licensed Representative 1, 4
TING NICHOLAS BLD323 Licensed Representative 4
TOH Kah Yong, Jeremy BDW971 Licensed Representative 1, 4, 6
Page 9 of 27
ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017
CE Name CE No. Licence Type Types of Regulated Activity
TONG Cheuk Fu Jeffery BLD317 Licensed Representative 1, 4, 9
TONG Chiu Man BLC340 Licensed Representative 9
TONG KIN YIP BLH252 Licensed Representative 4, 9
TONG Kit Ling, Michelle ACB541 Licensed Representative 1
TONG Pui Yin BLE755 Licensed Representative 1
TRABAUD Eva BLH215 Licensed Representative 1
TSANG Hon Chiu BBD724 Licensed Representative 10
TSANG Kwok Wai, Gordon BLI479 Licensed Representative 1
TSANG Wing Ki BLL844 Licensed Representative 1, 4
TSE Lai Wai AIZ709 Licensed Representative 1, 4, 9
TSUI Chuk BLB678 Licensed Representative 1
TSUI Tsan Yiu, David BLG104 Licensed Representative 9
UCHIYAMA Hirotaka BLJ537 Licensed Representative 1
Vaibhav-Singh BLG103 Licensed Representative 9
VALLY Loic Patrick Frederic BLI480 Licensed Representative 1
VUILLEMIN Pierre Michel Cesar BLF081 Licensed Representative 1, 2
WAH Anthony Ming Chit ACM458 Licensed Representative 1
WAI Man Shan, Ada ADB779 Licensed Representative 1, 4, 9
WAN Koon Ping BJP586 Licensed Representative 1
WAN Kwok Chu BLE912 Licensed Representative 1, 4
WANG Cuina BLL620 Licensed Representative 1, 2
WANG Jing BLB402 Licensed Representative 1, 4, 6
WANG Kan BKQ411 Licensed Representative 1, 4
WANG Kenneth Chuan AHU775 Licensed Representative 9
WANG Long BKZ913 Licensed Representative 4, 9
WANG Mengting AWJ513 Licensed Representative 1, 6
WANG Pei BLJ395 Licensed Representative 1, 2
WANG Shihong BLK735 Licensed Representative 1, 4
WANG SONG BLE051 Licensed Representative 1, 4
WANG Will Way BLH658 Licensed Representative 1, 4
WANG Xuan BKT409 Licensed Representative 1, 6
WANG Yi BKX008 Licensed Representative 4, 9
WANG Yiqiu BKH331 Licensed Representative 1, 6
WANG Yiwei BLB121 Licensed Representative 1, 4, 9
WANG Youyu BLC448 Licensed Representative 1, 4, 6
WANG Yuen Sum Ada BLF644 Licensed Representative 1, 2
WANG Yuzhe BLB507 Licensed Representative 4
WEI YIJING BLC321 Licensed Representative 4
WEI Yumou BLJ441 Licensed Representative 9
WEI Yun BKZ835 Licensed Representative 1
WEN Quan BKS173 Licensed Representative 4, 9
WONG Chin Wai Raymond BLE917 Licensed Representative 1
Page 10 of 27
ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017
CE Name CE No. Licence Type Types of Regulated Activity
WONG Choi Chak AKT433 Licensed Representative 1
WONG Chun Hei BLG341 Licensed Representative 1
WONG Chung Kwan AOD823 Licensed Representative 1
WONG Hok Piu AQD094 Licensed Representative 4, 9
WONG Hon Tin BLB504 Licensed Representative 1, 2
WONG Ka Ho BLF594 Licensed Representative 1
WONG Ka Yu BLC844 Licensed Representative 10
WONG Kai Yuen, Clement BLF209 Licensed Representative 6
WONG Kwan Leung BLG367 Licensed Representative 9
WONG Kwok Kei BLG362 Licensed Representative 1, 4
WONG Kwok Keung BLA451 Licensed Representative 1
WONG Lai Kan BLG344 Licensed Representative 1, 4
WONG Lai Sum BCN837 Licensed Representative 9
WONG Ming Li BLB632 Licensed Representative 4, 9
WONG Po Ching AUD880 Licensed Representative 1
WONG Sui Ching BLI455 Licensed Representative 1, 4
WONG Sz Wun BLH222 Licensed Representative 1
WONG Wai Yin ALZ710 Licensed Representative 9
WONG Wing Keung ATL879 Licensed Representative 1
WONG Yiu Ming, Simon BJC392 Licensed Representative 1, 6
WOO Ka Lai, Kelly AFB315 Licensed Representative 9
WOODCOCK Charles Maxwell Howieson AYD171 Licensed Representative 9
WU Hua-Chang BLI964 Licensed Representative 1, 4, 9
WU Jingjing BKU663 Licensed Representative 1, 4, 6
WU Liangying BLI001 Licensed Representative 2, 5
WU Sidao BLI073 Licensed Representative 1
WU Siyu BLB631 Licensed Representative 1, 6
WU Wai Ho BLH213 Licensed Representative 1, 2
WU William Chen-Xi BKW322 Licensed Representative 1, 4
WU Yawen BLD319 Licensed Representative 1, 6
WU Yuesi BLD922 Licensed Representative 1, 2
WU Yuning BKU057 Licensed Representative 1, 2
XIA Xiaodong BLA385 Licensed Representative 1, 4
XIAO Lu BKZ055 Licensed Representative 1
XIE Jian BGU456 Licensed Representative 1, 2, 4, 6, 9
XIE Ting BLF221 Licensed Representative 2
XIE Xianming BKH367 Licensed Representative 1, 6
XIE Yi BKZ932 Licensed Representative 1, 6
XU Qing BLI950 Licensed Representative 1, 6
XU Wan Wan BLC901 Licensed Representative 1, 4
XU Yifei BKZ936 Licensed Representative 1, 6
XU Yuzhao BKW515 Licensed Representative 1, 4, 6
Page 11 of 27
ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017
CE Name CE No. Licence Type Types of Regulated Activity
XU Zhengguang BLB008 Licensed Representative 4, 9
XUE Jiao BJP974 Licensed Representative 4
YAN Yan BLJ524 Licensed Representative 1
YANG Chia Ying BLG368 Licensed Representative 1
YANG Jae Hoon BLB163 Licensed Representative 1, 2
YANG Jeonghoon BLJ187 Licensed Representative 4
YANG Shiyu BDL544 Licensed Representative 1, 4
YANG Susu BLI005 Licensed Representative 6
YANG Yang BLB385 Licensed Representative 1
YAO Yuanchao BKF432 Licensed Representative 1, 4
YAU Chun Hei BLF190 Licensed Representative 1, 4, 9
YE Qingwen BLD559 Licensed Representative 1, 4, 9
YEUNG Ho Chun BAR653 Licensed Representative 9
YEUNG Ka Man BLC368 Licensed Representative 1
YIN Hang BKX400 Licensed Representative 1, 6
YIN PEI BLC078 Licensed Representative 1, 4
YIP Shui Key ACS410 Licensed Representative 2, 5
YIU Pui Yee ACY334 Licensed Representative 1
YOU Wensi BLD314 Licensed Representative 1, 7
YU Boyang BLE425 Licensed Representative 1, 4, 6
YU Man Ho BLF892 Licensed Representative 6
YU Qian BLB398 Licensed Representative 4
YU STEINER Lingzhu AZK192 Licensed Representative 1, 2, 4
YU Xi BLF174 Licensed Representative 1
YU Xiaoxia BLH691 Licensed Representative 1, 4, 9
YUE Zhihao BGG949 Licensed Representative 1, 6
YUEN Ka Fung BLK135 Licensed Representative 1, 4
YUEN Mau Sang BLG348 Licensed Representative 1
YUNG Hung Wa ACQ237 Licensed Representative 1, 4
YUNG Ming Hong BLH229 Licensed Representative 1
ZHANG HANG BKY342 Licensed Representative 10
ZHANG HAO BKR853 Licensed Representative 1, 4
ZHANG Honghong BKF469 Licensed Representative 1, 6
ZHANG Linlin BLD576 Licensed Representative 1
ZHANG Ruiming BLG388 Licensed Representative 6
ZHANG Shengsu AZI961 Licensed Representative 4, 9
ZHANG Shuo BKX402 Licensed Representative 1, 6
ZHANG Tong BLG089 Licensed Representative 1, 2
ZHANG Yanni BLE444 Licensed Representative 1, 4, 9
ZHANG Yi BLH577 Licensed Representative 6
ZHANG Yici BKX433 Licensed Representative 2, 5
ZHANG Yiyun BLI903 Licensed Representative 4, 9
Page 12 of 27
ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017
CE Name CE No. Licence Type Types of Regulated Activity
ZHANG Zheng BLA617 Licensed Representative 1, 4, 9
ZHAO BaoHeng BLA405 Licensed Representative 1, 2
ZHAO Junao BLF624 Licensed Representative 1, 4, 6
ZHAO Ruiwen BLD341 Licensed Representative 1
ZHENG Emily Jiashin BLG385 Licensed Representative 6
ZHENG Kai BLI960 Licensed Representative 1, 4, 6
ZHENG TIANYI BLE950 Licensed Representative 1, 7
ZHENG Yuanyuan BLB635 Licensed Representative 1, 2
ZHONG Liang BCK493 Licensed Representative 10
ZHONG Ying BLB650 Licensed Representative 1, 2
ZHOU Bei ASZ105 Licensed Representative 1, 4, 9
ZHOU Geng BKZ925 Licensed Representative 4, 9
ZHOU Guanyu BKV927 Licensed Representative 1, 6
ZHOU Runnan BKX021 Licensed Representative 4, 9
ZHOU Yirun BLE930 Licensed Representative 9
ZHU Jiayi BLC455 Licensed Representative 1, 2, 3
ZHU Yuan BIT556 Licensed Representative 9
ZHU Yuxiu BLF263 Licensed Representative 1
ZOOK Jeremy Leaman BKZ118 Licensed Representative 10
BOTLO Michael BGY996 Licensed Representative - Responsible Officer 9
CHANG Jack P AKR038 Licensed Representative - Responsible Officer 4, 5, 9
CHEN Edward Shi ADR552 Licensed Representative - Responsible Officer 9
CHEN Peng BJG349 Licensed Representative - Responsible Officer 1
CHEN Xiaofang ARG412 Licensed Representative - Responsible Officer 1
CHU Wen-Hsien AOY184 Licensed Representative - Responsible Officer 9
COUCH Gordon BFD480 Licensed Representative - Responsible Officer 9
COYAULT Frederik Jean Lucien BIZ603 Licensed Representative - Responsible Officer 1, 4
DENG Xiaoli ASP700 Licensed Representative - Responsible Officer 9
DING Huakun BJT908 Licensed Representative - Responsible Officer 4, 9
FONKENELL Guillaume Henri Andre AVJ702 Licensed Representative - Responsible Officer 9
FUNADA Masahiro BKC290 Licensed Representative - Responsible Officer 3
GUO Lei BJT965 Licensed Representative - Responsible Officer 9
HARPER Anthony Joseph BAQ704 Licensed Representative - Responsible Officer 9
HOPKINS Paul Stephen BJB374 Licensed Representative - Responsible Officer 9
HUI Chiu Kwan ABN641 Licensed Representative - Responsible Officer 1
JEN Chun-Hsing BHD721 Licensed Representative - Responsible Officer 2, 5
KHOO Geok Choo Celestine BJU937 Licensed Representative - Responsible Officer 4
KOUBINI Mohamed BJY142 Licensed Representative - Responsible Officer 1, 4
LAM Shui Chuen AAH552 Licensed Representative - Responsible Officer 2, 5
LAU Ming Yeung, Lambert AGP157 Licensed Representative - Responsible Officer 1, 2
LEE Wah Kin AAI124 Licensed Representative - Responsible Officer 2
LI Yuk Keung, Brian AEC983 Licensed Representative - Responsible Officer 1
Page 13 of 27
ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017
CE Name CE No. Licence Type Types of Regulated Activity
LIU Luk Por, Desmond AAE569 Licensed Representative - Responsible Officer 1, 4, 9
LIU Yuen Shan ADC177 Licensed Representative - Responsible Officer 1, 9
LIU Zishu BJT906 Licensed Representative - Responsible Officer 4, 9
LUO Meng BJT449 Licensed Representative - Responsible Officer 9
MA Yue ALB800 Licensed Representative - Responsible Officer 4, 9
MACFARLANE Henry William BJV940 Licensed Representative - Responsible Officer 4, 9
MAK Wai Chun Anthony BCB788 Licensed Representative - Responsible Officer 1
MIZUTANI Tatsumi ACL455 Licensed Representative - Responsible Officer 1, 4, 6
OKAMOTO Keiji BIM685 Licensed Representative - Responsible Officer 1, 2
SHANG Jing AYF871 Licensed Representative - Responsible Officer 1
SHEN Ka Yip, Timothy ADZ410 Licensed Representative - Responsible Officer 1, 4, 9
SIEW Wai Yin Yvonne BKE833 Licensed Representative - Responsible Officer 1, 4
SIN Pun To ACI993 Licensed Representative - Responsible Officer 1, 2, 3, 4, 9
SOO Sk Sean AFD468 Licensed Representative - Responsible Officer 1, 4, 9
TAYLOR Andrew Jonathan Mark BJU122 Licensed Representative - Responsible Officer 1, 4, 9
TSAI Wan-Yu ALH788 Licensed Representative - Responsible Officer 9
TSENG Heng Wen BJT421 Licensed Representative - Responsible Officer 1, 4, 9
TSUI Luen On AIB800 Licensed Representative - Responsible Officer 1
VENES Carolus Franciscus Arnoldus ANH724 Licensed Representative - Responsible Officer 1
WAI Chung BJR215 Licensed Representative - Responsible Officer 4, 9
WANG Hui BJU212 Licensed Representative - Responsible Officer 1, 4
WANG Xinbo BHT653 Licensed Representative - Responsible Officer 1, 4
WANG Yuanhang BJT948 Licensed Representative - Responsible Officer 9
YANG Bin BKA584 Licensed Representative - Responsible Officer 1, 4, 9
YANG Xing Jie BJZ537 Licensed Representative - Responsible Officer 9
YE Song BJT450 Licensed Representative - Responsible Officer 1, 4
YU Alice ABM853 Licensed Representative - Responsible Officer 9
ZAKI Adam Anwar AJK665 Licensed Representative - Responsible Officer 1, 4, 7
ZHANG Diefeng BJZ532 Licensed Representative - Responsible Officer 9
ZHANG Mao BJZ526 Licensed Representative - Responsible Officer 9
AGGARWAL Srishti Pravin BLL297 Licensed Representative (Provisional Licence) 1
ALGHATAM Mohamed Thabet Rashed Jaber Rashed BLM022 Licensed Representative (Provisional Licence) 2, 5
ANDREWS Stephen John ATC362 Licensed Representative (Provisional Licence) 1, 4, 9
ARAI Naoki BLM026 Licensed Representative (Provisional Licence) 1
BAILEY Brandi Lyn BLL632 Licensed Representative (Provisional Licence) 1, 2, 7
BHATTEE Hashim BLL816 Licensed Representative (Provisional Licence) 1, 4, 9
BLOOM Nicholas Roy ART997 Licensed Representative (Provisional Licence) 9
BLUME Valerie Ingrid BLH182 Licensed Representative (Provisional Licence) 9
BOJAN Kimberley BLM910 Licensed Representative (Provisional Licence) 1, 7
BOSELLI John A BLJ662 Licensed Representative (Provisional Licence) 1, 4
BOWERS GEOFFREY SCOTT BLL043 Licensed Representative (Provisional Licence) 1, 4, 9
BURNS Duncan Andrew BLN670 Licensed Representative (Provisional Licence) 9
Page 14 of 27
ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017
CE Name CE No. Licence Type Types of Regulated Activity
CAO Jin BLK138 Licensed Representative (Provisional Licence) 1, 4, 9
CARMEN Michael Tyler BIW774 Licensed Representative (Provisional Licence) 1, 4
CARTER Damon BEO225 Licensed Representative (Provisional Licence) 1, 2
CHAN Cheuk Wai BLJ862 Licensed Representative (Provisional Licence) 1
CHAN Cheuk Yin BLI898 Licensed Representative (Provisional Licence) 1, 4
CHAN Chui Ping AKV332 Licensed Representative (Provisional Licence) 1, 2
CHAN Chun Yin BLL039 Licensed Representative (Provisional Licence) 1, 6
CHAN Ka Kiu BLN915 Licensed Representative (Provisional Licence) 9
CHAN Kai Chung ATN127 Licensed Representative (Provisional Licence) 1
CHAN Kwok Lung BEK821 Licensed Representative (Provisional Licence) 3
CHAN Lee Quan BLJ949 Licensed Representative (Provisional Licence) 1, 2
CHAN Man Kit BLN631 Licensed Representative (Provisional Licence) 1, 2
CHAN Sai Yuen BEM794 Licensed Representative (Provisional Licence) 9
CHAN Tai Ching Michael AXD994 Licensed Representative (Provisional Licence) 1
CHAN Ting Yan BLK726 Licensed Representative (Provisional Licence) 1, 2
CHAN Tsz Chun BLL176 Licensed Representative (Provisional Licence) 1, 4
CHAN Wai Hung AGS190 Licensed Representative (Provisional Licence) 1
CHAN Wai Sing AWJ805 Licensed Representative (Provisional Licence) 1, 2
CHAN Wing Ki BLN652 Licensed Representative (Provisional Licence) 1, 6
CHAN Wing Lim BLG083 Licensed Representative (Provisional Licence) 1
CHAU Siu Man BLO134 Licensed Representative (Provisional Licence) 5
CHAU Wai Yan BLI739 Licensed Representative (Provisional Licence) 1, 2
CHEN Alan Bing AEH768 Licensed Representative (Provisional Licence) 1
CHEN Hong-Wen AYU641 Licensed Representative (Provisional Licence) 9
CHEN Junfeng BLH604 Licensed Representative (Provisional Licence) 6
CHEN Junsheng BLL852 Licensed Representative (Provisional Licence) 4
CHEN Lufeier BLM083 Licensed Representative (Provisional Licence) 1, 4, 9
CHEN Sixiao BLQ491 Licensed Representative (Provisional Licence) 1, 4
CHEN Tingting BLK154 Licensed Representative (Provisional Licence) 4
CHEN Xin BLO515 Licensed Representative (Provisional Licence) 4
CHEN Yi Chin ATQ774 Licensed Representative (Provisional Licence) 1, 2, 4, 5
CHEN Yixiang BLN678 Licensed Representative (Provisional Licence) 4, 9
CHEN Yizhou BLK647 Licensed Representative (Provisional Licence) 1
CHEN Yu BLN446 Licensed Representative (Provisional Licence) 1, 2
CHEN Yuh Kuen BLN129 Licensed Representative (Provisional Licence) 1
CHEN Yuxi BHC860 Licensed Representative (Provisional Licence) 1, 6
CHEN Zhu BLO224 Licensed Representative (Provisional Licence) 4
CHENAUX Valentin Maxime BLK874 Licensed Representative (Provisional Licence) 1, 4, 9
CHENG Chak Yan BJA024 Licensed Representative (Provisional Licence) 1, 4
CHENG Chao BHL503 Licensed Representative (Provisional Licence) 9
CHENG Liulingzi BFS139 Licensed Representative (Provisional Licence) 1, 6
CHENG Nga Man Jacqueline BLM903 Licensed Representative (Provisional Licence) 1, 2, 9
Page 15 of 27
ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017
CE Name CE No. Licence Type Types of Regulated Activity
CHENG Xi BLL288 Licensed Representative (Provisional Licence) 10
CHENG Yaman BLO117 Licensed Representative (Provisional Licence) 4
CHEUNG Chun Chun Vivian BLL579 Licensed Representative (Provisional Licence) 1, 4
CHEUNG Chun Mei BLL105 Licensed Representative (Provisional Licence) 1, 2
CHEUNG Chung Eu, Cindy AJE681 Licensed Representative (Provisional Licence) 9
CHEUNG Hoi Kit Justin BLN926 Licensed Representative (Provisional Licence) 10
CHEUNG Pan Chuen BLO473 Licensed Representative (Provisional Licence) 9
CHEUNG Tsun Yuen Derek BLL295 Licensed Representative (Provisional Licence) 1, 2
CHICK Ho Ming Jackie BLK820 Licensed Representative (Provisional Licence) 4
CHIK Pui Cheong, Upton AEF322 Licensed Representative (Provisional Licence) 1, 2
CHING Tak Chiu Stephen BLN917 Licensed Representative (Provisional Licence) 1, 4, 6
CHO Seok Won BLI866 Licensed Representative (Provisional Licence) 1
CHOI Ka Fong BLO497 Licensed Representative (Provisional Licence) 9
CHOI Siu Tong Edward BLL583 Licensed Representative (Provisional Licence) 1, 4, 9
CHONG Ka Shing BLO845 Licensed Representative (Provisional Licence) 1, 2
CHONG Yeu Liong BLN750 Licensed Representative (Provisional Licence) 1
CHOW Chun Yu Leeds BLL841 Licensed Representative (Provisional Licence) 1, 6
CHOW Hoi Shan AXG849 Licensed Representative (Provisional Licence) 1, 6
CHOW Lai Kit AOU722 Licensed Representative (Provisional Licence) 1, 4, 9
CHU Hilary Hiu Lam BLM888 Licensed Representative (Provisional Licence) 1
CHUE Kit Min BLL521 Licensed Representative (Provisional Licence) 1, 4, 9
CHUNG Jia Hsung BLJ657 Licensed Representative (Provisional Licence) 1, 4
COULIBALY Sylvestre Pankaluo BLJ224 Licensed Representative (Provisional Licence) 1, 2
DAI Fa BLK137 Licensed Representative (Provisional Licence) 1, 4, 9
DI Yun BLL511 Licensed Representative (Provisional Licence) 1, 4
DON Bryce Francis BLL145 Licensed Representative (Provisional Licence) 1, 4
DU Jiang Yue BLL181 Licensed Representative (Provisional Licence) 1, 2
DUAN Mengmeng BLH605 Licensed Representative (Provisional Licence) 1, 4
DUAN Shu BLO810 Licensed Representative (Provisional Licence) 1, 4, 6
DUNN Alexandra Jade BLM006 Licensed Representative (Provisional Licence) 1
DURNAN Timothy J BLO184 Licensed Representative (Provisional Licence) 9
ELLIOTT David Jonathan BIK518 Licensed Representative (Provisional Licence) 1, 4
ERSOY Alan Metin AOY949 Licensed Representative (Provisional Licence) 1, 2
ESHLEMAN LUCAS LYNDON BLM741 Licensed Representative (Provisional Licence) 9
FAN Chin Lin BLL332 Licensed Representative (Provisional Licence) 1, 4, 9
FAN Ping Lun, Alan BJK467 Licensed Representative (Provisional Licence) 1, 2, 4
FENG Lixue BLL054 Licensed Representative (Provisional Licence) 1, 6
FONG Shun Chuen ALY308 Licensed Representative (Provisional Licence) 1
FUN Yandeng BLK416 Licensed Representative (Provisional Licence) 1, 4
FUNG Hei Wa BLN442 Licensed Representative (Provisional Licence) 1
FUNG Po Ying BLO106 Licensed Representative (Provisional Licence) 1
GAN Sabrina Tsui Lyn BLK147 Licensed Representative (Provisional Licence) 1
Page 16 of 27
ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017
CE Name CE No. Licence Type Types of Regulated Activity
GE Chengyuan BKW493 Licensed Representative (Provisional Licence) 6
GIAN Jia Ying ASS704 Licensed Representative (Provisional Licence) 1, 2
GILL Harvinder Preet Singh BLL847 Licensed Representative (Provisional Licence) 4, 9
GOH Diwen BLM062 Licensed Representative (Provisional Licence) 1, 4, 6
GONG Jian BLN114 Licensed Representative (Provisional Licence) 1, 4
GU Lei BLF077 Licensed Representative (Provisional Licence) 1, 2
GU Leili BLH992 Licensed Representative (Provisional Licence) 1
GU Mengjie BLO442 Licensed Representative (Provisional Licence) 1, 6
GU Yaobo BLN626 Licensed Representative (Provisional Licence) 1, 2
GUO Xiangyun BLL341 Licensed Representative (Provisional Licence) 10
HAMADA Kenji BLL357 Licensed Representative (Provisional Licence) 4, 9
HAN Jinsoo BLM021 Licensed Representative (Provisional Licence) 1, 6
HAN Lingxiao BLL163 Licensed Representative (Provisional Licence) 1, 6
HANDA Akashdeep Singh BLO390 Licensed Representative (Provisional Licence) 9
HAU Pai Lan BLO679 Licensed Representative (Provisional Licence) 1
HAY William Robert BLL483 Licensed Representative (Provisional Licence) 1, 2, 7
HAYASHIDA Kazutora BLJ196 Licensed Representative (Provisional Licence) 9
HE Li AUL729 Licensed Representative (Provisional Licence) 1
HE Rui BLK736 Licensed Representative (Provisional Licence) 1, 4
HO Ching BLM898 Licensed Representative (Provisional Licence) 1
HO Ka Wing BLO676 Licensed Representative (Provisional Licence) 1
HO Kwun Kui Clarence BDR779 Licensed Representative (Provisional Licence) 4, 9
HO Man Kap BLJ192 Licensed Representative (Provisional Licence) 1
HO MEI PO BLO144 Licensed Representative (Provisional Licence) 1, 4, 6
HO Tsz Ching BLN448 Licensed Representative (Provisional Licence) 1, 2
HO Yuen Yi BLM881 Licensed Representative (Provisional Licence) 1
HONG Sue Min BLO378 Licensed Representative (Provisional Licence) 1, 2
HOU LIWEI BLP081 Licensed Representative (Provisional Licence) 1, 4
HOWIE Jonathan Adrian AVJ430 Licensed Representative (Provisional Licence) 1, 4, 9
HU Haijian BLH370 Licensed Representative (Provisional Licence) 2
HU Juewei BLM907 Licensed Representative (Provisional Licence) 1, 4
HU Lili BLL279 Licensed Representative (Provisional Licence) 1, 2
HU Zewei BLF173 Licensed Representative (Provisional Licence) 1
HUANG Chin Lun BLO104 Licensed Representative (Provisional Licence) 1, 4
HUANG Jiadeng BLK385 Licensed Representative (Provisional Licence) 6
HUANG Kanglin BGL116 Licensed Representative (Provisional Licence) 1, 2
HUANG Minshi BLJ823 Licensed Representative (Provisional Licence) 4, 9
HUANG Wei BLL815 Licensed Representative (Provisional Licence) 1, 2, 4
HUANG Yiran BLI894 Licensed Representative (Provisional Licence) 1, 4
HUANG Yu ATI173 Licensed Representative (Provisional Licence) 1, 4
HUI Chi Wai BLK722 Licensed Representative (Provisional Licence) 1, 2
HUI Ka Chang BLJ161 Licensed Representative (Provisional Licence) 1, 6
Page 17 of 27
ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017
CE Name CE No. Licence Type Types of Regulated Activity
HUNG Tsun Hay BGU300 Licensed Representative (Provisional Licence) 1, 4
HWANG YOO WON BLM113 Licensed Representative (Provisional Licence) 1, 2
IP Vincent Shing-Ki BLK217 Licensed Representative (Provisional Licence) 1, 9
IYER Sachin Ramnath BLJ177 Licensed Representative (Provisional Licence) 1, 6
JI Yehong ALU479 Licensed Representative (Provisional Licence) 1, 6
JIANG Lingling BLL183 Licensed Representative (Provisional Licence) 1, 2
JIANG Yuanzhen BLO468 Licensed Representative (Provisional Licence) 1, 6
JIANG Zhi BLN900 Licensed Representative (Provisional Licence) 1, 4, 9
JIN Dandan BCF263 Licensed Representative (Provisional Licence) 4, 9
JING Xiaoxu BLM886 Licensed Representative (Provisional Licence) 1, 2, 4
KAN Yu Hang BLK683 Licensed Representative (Provisional Licence) 1, 2, 7
KEI Jeremy Luke Ming BLJ651 Licensed Representative (Provisional Licence) 1
KENNEDY Peter Joseph BLK164 Licensed Representative (Provisional Licence) 1
KETTERER Edward ADE566 Licensed Representative (Provisional Licence) 1, 4
KIM Dennis Hong BGO947 Licensed Representative (Provisional Licence) 1, 4
KIM KENNETH BLL533 Licensed Representative (Provisional Licence) 9
KIYOZUKA Megumi BLK150 Licensed Representative (Provisional Licence) 1
KONG Yan BLI478 Licensed Representative (Provisional Licence) 1, 4, 9
KWAN Cheuk Shing AUE415 Licensed Representative (Provisional Licence) 4
KWON Jongmin BLJ195 Licensed Representative (Provisional Licence) 1, 4
LAI Chung Hang, Angel BLL333 Licensed Representative (Provisional Licence) 1, 6
LAI Ophelia BLI863 Licensed Representative (Provisional Licence) 9
LAI Tak Chi, Augustine BLI147 Licensed Representative (Provisional Licence) 1, 4, 9
LAM Ka Wing BLI061 Licensed Representative (Provisional Licence) 1, 4
LAM Ming Cheung Tavis BLL173 Licensed Representative (Provisional Licence) 1, 2
LAM Pui Yan BLK914 Licensed Representative (Provisional Licence) 1
LAM Shun Ka BJW925 Licensed Representative (Provisional Licence) 1
LAM Wai Shun BLM861 Licensed Representative (Provisional Licence) 1, 2
LAM Yun Ching BLN673 Licensed Representative (Provisional Licence) 1, 4, 9
LAN Dong AQF151 Licensed Representative (Provisional Licence) 1, 6
LAO Qiyao BLO509 Licensed Representative (Provisional Licence) 1
LAO Yee Wun BLL813 Licensed Representative (Provisional Licence) 1, 2
LAU Jing Yeung, William ANV150 Licensed Representative (Provisional Licence) 1, 4, 9
LAU Kai Kit BLN426 Licensed Representative (Provisional Licence) 10
LAU Kit Sang AMK231 Licensed Representative (Provisional Licence) 1, 2
LAU Raymond AJK499 Licensed Representative (Provisional Licence) 9
LAU Sabrina Yin Kwan BLN468 Licensed Representative (Provisional Licence) 4
LAW Ka Kit BLL373 Licensed Representative (Provisional Licence) 1, 9
LEE Chun Ho Bennett BLO462 Licensed Representative (Provisional Licence) 1, 4, 6
LEE Chun Wing BLM027 Licensed Representative (Provisional Licence) 6
LEE Ji Seon BKK022 Licensed Representative (Provisional Licence) 1, 4
LEE Kin Man BLK431 Licensed Representative (Provisional Licence) 1, 2
Page 18 of 27
ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017
CE Name CE No. Licence Type Types of Regulated Activity
LEE Kin Pong BLL504 Licensed Representative (Provisional Licence) 1
LEE Kwun Ho BLO670 Licensed Representative (Provisional Licence) 1, 2
LEE Leung Ting Letin BLK920 Licensed Representative (Provisional Licence) 1
LEGLAND Arnaud Pierre Daniel BLH839 Licensed Representative (Provisional Licence) 9
LEUNG Hang Kin ASS967 Licensed Representative (Provisional Licence) 4
LEUNG Hoi Wan, Loletta AFA629 Licensed Representative (Provisional Licence) 1, 2
LEUNG LOK SUM SAM BLL826 Licensed Representative (Provisional Licence) 1
LEUNG Siu Kwan BLI874 Licensed Representative (Provisional Licence) 1, 2, 7
LEUNG Tin Yau Stephen BLI899 Licensed Representative (Provisional Licence) 1, 6
LEUNG Wing Yan, Winnie BLH441 Licensed Representative (Provisional Licence) 1
LEUNG Yeuk Hei BLJ508 Licensed Representative (Provisional Licence) 6
LI Chengru BLN914 Licensed Representative (Provisional Licence) 4
LI Ho Fai, Vincent ANW827 Licensed Representative (Provisional Licence) 1, 4
LI Jiaqi BLK139 Licensed Representative (Provisional Licence) 1, 6
LI Kiu Yue BLM118 Licensed Representative (Provisional Licence) 2
LI Kun Yuen BLO674 Licensed Representative (Provisional Licence) 4
LI Lei BLL868 Licensed Representative (Provisional Licence) 1, 2
LI Qingyi BJY216 Licensed Representative (Provisional Licence) 1
LI Quanwei AXP766 Licensed Representative (Provisional Licence) 1, 4, 9
LI Xiang BLM865 Licensed Representative (Provisional Licence) 1, 9
LI Xiaohan BLI045 Licensed Representative (Provisional Licence) 1, 2
LI Xuran BLO826 Licensed Representative (Provisional Licence) 1, 6
LI Yisui BLK608 Licensed Representative (Provisional Licence) 1
LI Yiwei BLK915 Licensed Representative (Provisional Licence) 10
LI Yong AXM324 Licensed Representative (Provisional Licence) 1, 4, 9
LI Yunchang BLF179 Licensed Representative (Provisional Licence) 9
LI Zhangyun BLM932 Licensed Representative (Provisional Licence) 4
LI Zhun AQM198 Licensed Representative (Provisional Licence) 4, 9
LIANG Dongqing BLL298 Licensed Representative (Provisional Licence) 1, 2
LIANG Jinming BLK923 Licensed Representative (Provisional Licence) 1, 4, 6
LIANG XIAO BLL623 Licensed Representative (Provisional Licence) 1, 4, 6
LIAO Lanke BLK484 Licensed Representative (Provisional Licence) 1, 6
LIE Suet Ching ALZ559 Licensed Representative (Provisional Licence) 1, 4, 9
LIM Choot ACV298 Licensed Representative (Provisional Licence) 9
LIM Hock Leong Rapheal Ames BKW509 Licensed Representative (Provisional Licence) 2
LIN Beichen BLJ222 Licensed Representative (Provisional Licence) 4
LIN Haiping BLJ565 Licensed Representative (Provisional Licence) 1, 4, 6
LIN Xingqiu BLM040 Licensed Representative (Provisional Licence) 4
LINDQUIST Justin Myles BJA817 Licensed Representative (Provisional Licence) 1
LIU Ching-chih BLN454 Licensed Representative (Provisional Licence) 1, 4, 9
LIU Kai Kai BLL853 Licensed Representative (Provisional Licence) 1
LIU Kei Kit BLP543 Licensed Representative (Provisional Licence) 6
Page 19 of 27
ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017
CE Name CE No. Licence Type Types of Regulated Activity
LIU Pok Man BLL172 Licensed Representative (Provisional Licence) 1
LIU Qianyue BLI683 Licensed Representative (Provisional Licence) 1, 2
LIU Qiao BLO687 Licensed Representative (Provisional Licence) 4
LIU Shiyan BLK641 Licensed Representative (Provisional Licence) 4
LIU Shuanglong BLM093 Licensed Representative (Provisional Licence) 1, 6
LIU Zhao BLI522 Licensed Representative (Provisional Licence) 9
LO Hei Tung BLM103 Licensed Representative (Provisional Licence) 1, 6
LO King Ting BKE490 Licensed Representative (Provisional Licence) 1
LO Yan Mei BAZ735 Licensed Representative (Provisional Licence) 1, 6
LO Yu Jie BLF222 Licensed Representative (Provisional Licence) 1, 4
LUI Ho Ting BLK723 Licensed Representative (Provisional Licence) 1
LUO Kaiheng BLN135 Licensed Representative (Provisional Licence) 1, 6
LUO Man BLL571 Licensed Representative (Provisional Licence) 1, 4
MA XIAO BLE949 Licensed Representative (Provisional Licence) 10
MALOUF Michelle Maria BLH578 Licensed Representative (Provisional Licence) 1
MAN Sin Kwan BLO186 Licensed Representative (Provisional Licence) 1, 2
MARTIN Joseph John AJE474 Licensed Representative (Provisional Licence) 1
MCELROY Michael Patrick BIK519 Licensed Representative (Provisional Licence) 1, 4
MINESHIMA KOTA BLO098 Licensed Representative (Provisional Licence) 1, 4
MITCHELL Georgina Lucy BLN455 Licensed Representative (Provisional Licence) 1, 4
MULYANI Linda BLN110 Licensed Representative (Provisional Licence) 1, 4
NANAVATI Amit Piyush BLE751 Licensed Representative (Provisional Licence) 4
NEO Shu Jean BLH786 Licensed Representative (Provisional Licence) 1
NEOH Paul Keen Wooi BLN430 Licensed Representative (Provisional Licence) 4, 9
NG Kwan Ying BBM325 Licensed Representative (Provisional Licence) 1
NG Ping Kin BLL568 Licensed Representative (Provisional Licence) 1, 2
NG Yuet Fung BLJ225 Licensed Representative (Provisional Licence) 1, 2
NGACK Pape Modou BLO790 Licensed Representative (Provisional Licence) 1, 2
NGO Ian AXX652 Licensed Representative (Provisional Licence) 1, 4
NING Le BLL567 Licensed Representative (Provisional Licence) 6
NONAKA Ruri BLK704 Licensed Representative (Provisional Licence) 1, 4, 6
OU Ofra Sueh Hung AME527 Licensed Representative (Provisional Licence) 1, 4, 9
PADMASOLA Srinivas ALY619 Licensed Representative (Provisional Licence) 1
PAN Lichia BLM891 Licensed Representative (Provisional Licence) 1, 2, 4, 5
PAN Wenang BLL356 Licensed Representative (Provisional Licence) 1, 9
PAN Yinzhou BLH245 Licensed Representative (Provisional Licence) 1, 6
PANG Lei BLO806 Licensed Representative (Provisional Licence) 1, 4, 5, 9
PANG Yui Chuk BLI864 Licensed Representative (Provisional Licence) 9
PARK Se Hyun AUR862 Licensed Representative (Provisional Licence) 10
PARK Sei Yon BLM852 Licensed Representative (Provisional Licence) 1, 4
PATRAVALI ASHWIN BLL838 Licensed Representative (Provisional Licence) 4, 9
PECK Julian Michael Henry BJR227 Licensed Representative (Provisional Licence) 1, 6
Page 20 of 27
ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017
CE Name CE No. Licence Type Types of Regulated Activity
PETIT-PASQUIER Julien ANN270 Licensed Representative (Provisional Licence) 1, 2
POH Jiesheng BLM101 Licensed Representative (Provisional Licence) 1, 4, 6
POON Wai Yu BLI518 Licensed Representative (Provisional Licence) 1, 4, 9
QI Chengyu BLL147 Licensed Representative (Provisional Licence) 4, 9
QIAN Linjing BLN937 Licensed Representative (Provisional Licence) 6
QIN Haoxiang BLL487 Licensed Representative (Provisional Licence) 1
QIN Xuanyu BLD350 Licensed Representative (Provisional Licence) 6
RAJAONARIVONY Maeva BIG468 Licensed Representative (Provisional Licence) 1, 4
SANWAL Vasundhara BLJ461 Licensed Representative (Provisional Licence) 1, 4
SETHI Shaun Nittal ANM069 Licensed Representative (Provisional Licence) 9
SHAN Yiting BLK210 Licensed Representative (Provisional Licence) 6
SHEK Wan Sang Andy BAG221 Licensed Representative (Provisional Licence) 1, 2, 4
SHI Yaying BLO847 Licensed Representative (Provisional Licence) 9
SHOU Chen BLK919 Licensed Representative (Provisional Licence) 1, 2, 4
SIA Ke Yong Jared BKI365 Licensed Representative (Provisional Licence) 1, 2
SINPRASEUTH Christopher AQU096 Licensed Representative (Provisional Licence) 9
SIT Cheng Po BAX113 Licensed Representative (Provisional Licence) 1, 2, 4
SIU Chun San BLN935 Licensed Representative (Provisional Licence) 4
SO Chun Wing BLL622 Licensed Representative (Provisional Licence) 1, 2
SOBTI Jasjit Singh BCU294 Licensed Representative (Provisional Licence) 1, 2, 7
SOLOMON Alexandra Kumin BLL080 Licensed Representative (Provisional Licence) 1, 2
SU Alice Jia ATO816 Licensed Representative (Provisional Licence) 1, 4, 6
SUN Xi BLL307 Licensed Representative (Provisional Licence) 1, 6
SUN Zhe BLO827 Licensed Representative (Provisional Licence) 4
SVENSSON Moa Terese BLK144 Licensed Representative (Provisional Licence) 9
TAI Gee Han Andy BLL347 Licensed Representative (Provisional Licence) 1, 6
TAM Chun Cheong BGQ071 Licensed Representative (Provisional Licence) 2, 5
TAM Edmond Ming Kwan ACB553 Licensed Representative (Provisional Licence) 9
TAM Lik Fu BLI883 Licensed Representative (Provisional Licence) 1
TAM Nai Hon Johnny BLN646 Licensed Representative (Provisional Licence) 9
TANG Hao BLM121 Licensed Representative (Provisional Licence) 1, 4, 6
TANG Hui BJW834 Licensed Representative (Provisional Licence) 1, 4
TANG Ko Lok BLL175 Licensed Representative (Provisional Licence) 2
TANG Sisi BLN457 Licensed Representative (Provisional Licence) 4
TANG Wai Lun BLJ139 Licensed Representative (Provisional Licence) 1, 4
TANG Xinpei BLN463 Licensed Representative (Provisional Licence) 4
TEO Pau Ying BLI958 Licensed Representative (Provisional Licence) 1, 4, 6
THAM Huan Ling BLK858 Licensed Representative (Provisional Licence) 9
THOMAS Marie Clare BLI867 Licensed Representative (Provisional Licence) 1, 2
TO Sam Hung APJ479 Licensed Representative (Provisional Licence) 1
TOMIMATSU Yosuke BBB708 Licensed Representative (Provisional Licence) 4
TRAN Mark BLK502 Licensed Representative (Provisional Licence) 9
Page 21 of 27
ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017
CE Name CE No. Licence Type Types of Regulated Activity
TSANG Kwok Wai, Gordon BLI479 Licensed Representative (Provisional Licence) 1
TSE Ching, Heidy AZO179 Licensed Representative (Provisional Licence) 1, 4
TSE Tsz Kwan BJO498 Licensed Representative (Provisional Licence) 1, 6
TUDOR Harshika Chandrakant BLG304 Licensed Representative (Provisional Licence) 2, 5
VALLY Loic Patrick Frederic BLI480 Licensed Representative (Provisional Licence) 1
VANDENBRUGGEN Audric BLL296 Licensed Representative (Provisional Licence) 1, 2
VERSFELD Martin Metcalfe BLD610 Licensed Representative (Provisional Licence) 1, 2
VUJASINOVIC Vlada BLN677 Licensed Representative (Provisional Licence) 1, 4, 9
WAI Man Chik BAN002 Licensed Representative (Provisional Licence) 1, 4
WANG Bei BLK413 Licensed Representative (Provisional Licence) 1
WANG Beichen BLP422 Licensed Representative (Provisional Licence) 1, 2
WANG Dan BLO228 Licensed Representative (Provisional Licence) 4, 9
WANG Hao BLH590 Licensed Representative (Provisional Licence) 6
WANG Hui BLN172 Licensed Representative (Provisional Licence) 2
WANG Jiahuan BLK367 Licensed Representative (Provisional Licence) 1, 4, 9
WANG Kang BLM893 Licensed Representative (Provisional Licence) 1, 2
WANG Kenneth Chuan AHU775 Licensed Representative (Provisional Licence) 9
WANG Lin BIM406 Licensed Representative (Provisional Licence) 1, 4, 6
WANG Meng BLL284 Licensed Representative (Provisional Licence) 4
WANG Pei BLJ395 Licensed Representative (Provisional Licence) 1, 2
WANG Pufa BLJ592 Licensed Representative (Provisional Licence) 1, 2
WANG Shengyu BDV081 Licensed Representative (Provisional Licence) 9
WANG Shihong BLK735 Licensed Representative (Provisional Licence) 1, 4
WANG Stephen BLC369 Licensed Representative (Provisional Licence) 6
WANG Yicheng BLN140 Licensed Representative (Provisional Licence) 1
WANG Zizheng BLL351 Licensed Representative (Provisional Licence) 9
WEI Hong-Si BLN672 Licensed Representative (Provisional Licence) 4
WEI Yangkun BID176 Licensed Representative (Provisional Licence) 1, 4, 6
WENG Xin BLG112 Licensed Representative (Provisional Licence) 4, 9
WINSLEY David Benjamin AWS593 Licensed Representative (Provisional Licence) 9
WONG Chi Kin BLF303 Licensed Representative (Provisional Licence) 9
WONG Chun Tung BLJ190 Licensed Representative (Provisional Licence) 1, 2
WONG Emily Lok Man BLN151 Licensed Representative (Provisional Licence) 1, 6
WONG Hei Yin BLN902 Licensed Representative (Provisional Licence) 1, 2
WONG Hoi Yan APO633 Licensed Representative (Provisional Licence) 1, 4, 9
WONG Ka Ho BLK239 Licensed Representative (Provisional Licence) 1, 2
WONG Ka Wing BLP057 Licensed Representative (Provisional Licence) 1, 4, 9
WONG Lie Ping ABW904 Licensed Representative (Provisional Licence) 1
WONG Po Ching AUD880 Licensed Representative (Provisional Licence) 1
WONG Pui Shan Aggie BLN923 Licensed Representative (Provisional Licence) 1
WONG Yuen Wa Heidi Kate BLN676 Licensed Representative (Provisional Licence) 1
WOO Chun Hey, Adrian ASP237 Licensed Representative (Provisional Licence) 1, 2
Page 22 of 27
ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017
CE Name CE No. Licence Type Types of Regulated Activity
WOO Hon Man, Herman AGN338 Licensed Representative (Provisional Licence) 1
WOO Kai Hon BLJ364 Licensed Representative (Provisional Licence) 3
WU TONG BLI953 Licensed Representative (Provisional Licence) 6
XIAO Jian ATV900 Licensed Representative (Provisional Licence) 4, 9
XIE Wenqiao BLN402 Licensed Representative (Provisional Licence) 1, 4, 6
XIE Yuhong BLR085 Licensed Representative (Provisional Licence) 1
XIE Zheshi BLJ203 Licensed Representative (Provisional Licence) 1, 7
XIONG Qingxi BLM032 Licensed Representative (Provisional Licence) 4, 9
XU Chenxi BLO521 Licensed Representative (Provisional Licence) 4, 9
XU HUA BLF599 Licensed Representative (Provisional Licence) 1, 6
XU Qing BKT753 Licensed Representative (Provisional Licence) 10
XU Ruiyi BLM930 Licensed Representative (Provisional Licence) 1, 4
XU XI BLM056 Licensed Representative (Provisional Licence) 1, 2
XUE Qian BLP754 Licensed Representative (Provisional Licence) 1, 4
YAN Lyupeng BLK403 Licensed Representative (Provisional Licence) 1, 4, 9
YAN Wen BLH219 Licensed Representative (Provisional Licence) 10
YANG Yuansheng BLO220 Licensed Representative (Provisional Licence) 4
YANG Zequan BLO153 Licensed Representative (Provisional Licence) 1, 4
YE Mingyuan AMJ300 Licensed Representative (Provisional Licence) 1, 4
YE Qianyu BLL842 Licensed Representative (Provisional Licence) 1, 2
YEO Sze Yueh Beatrice BLG088 Licensed Representative (Provisional Licence) 1, 4
YIM Tsz Kwan BLN146 Licensed Representative (Provisional Licence) 1
YIN Bo AXT105 Licensed Representative (Provisional Licence) 1, 2
YIP Yan Ki Candy BFX699 Licensed Representative (Provisional Licence) 1, 4, 9
YU Chun Kuei ARP310 Licensed Representative (Provisional Licence) 1
YU Shuaihao BLK697 Licensed Representative (Provisional Licence) 1, 2, 4, 5
YU Yat BLL624 Licensed Representative (Provisional Licence) 1, 2
ZAHM Nathan Christopher BLD328 Licensed Representative (Provisional Licence) 1, 4
ZENG Shuai BEM599 Licensed Representative (Provisional Licence) 9
ZENG Zhujun ATQ773 Licensed Representative (Provisional Licence) 10
ZHAI Yinan BLK925 Licensed Representative (Provisional Licence) 1, 2, 6
ZHANG HUAN BLJ202 Licensed Representative (Provisional Licence) 10
ZHANG Jun BLJ926 Licensed Representative (Provisional Licence) 4, 9
ZHANG Shuo BLN911 Licensed Representative (Provisional Licence) 1
ZHANG Tianyu BLM854 Licensed Representative (Provisional Licence) 1, 4, 6
ZHANG Yiwen BLM908 Licensed Representative (Provisional Licence) 4
ZHAO He BLN655 Licensed Representative (Provisional Licence) 1, 4, 6
ZHAO Xiang BLN130 Licensed Representative (Provisional Licence) 4, 9
ZHAO Yang BLK372 Licensed Representative (Provisional Licence) 4, 9
ZHENG Jiantao BLK421 Licensed Representative (Provisional Licence) 3
ZHENG SHUANG BLN132 Licensed Representative (Provisional Licence) 4, 9
ZHONG Liang BCK493 Licensed Representative (Provisional Licence) 10
Page 23 of 27
ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017
CE Name CE No. Licence Type Types of Regulated Activity
ZHOU Huan BLL165 Licensed Representative (Provisional Licence) 1, 4, 6
ZHOU Xin BLO642 Licensed Representative (Provisional Licence) 1, 4, 9
ZHUANG Jie BKV931 Licensed Representative (Provisional Licence) 1, 6
ZOU Guanzhong BLN412 Licensed Representative (Provisional Licence) 4, 9
ZOU Longwen BLN436 Licensed Representative (Provisional Licence) 1, 6
ANAND Vivek BLL186 Licensed Representative (Temporary Licence) 5
ARORA Rohit ART681 Licensed Representative (Temporary Licence) 4
AZUMI Rina BKP917 Licensed Representative (Temporary Licence) 1, 2
BABA Taichi BAZ165 Licensed Representative (Temporary Licence) 1, 2
BACALHAU CEPEDA MORENO Vasco AUI287 Licensed Representative (Temporary Licence) 1, 4
BAKER Shaun Christopher BLL069 Licensed Representative (Temporary Licence) 1, 2
BARROWS Ross Christopher BFC529 Licensed Representative (Temporary Licence) 4
BARUS Felicia Asrinanda AUT955 Licensed Representative (Temporary Licence) 4
BECCHETTI James Patrick AWQ678 Licensed Representative (Temporary Licence) 1
BEDOUET Jerome Frederic Francois BIN300 Licensed Representative (Temporary Licence) 1, 2
BLACKSHAW Joanne Isabel BLP474 Licensed Representative (Temporary Licence) 1, 4
BROWNE Erin F BHB894 Licensed Representative (Temporary Licence) 1, 4
CARPENTER Seth Bernard BLO850 Licensed Representative (Temporary Licence) 4
CELERMAJER Jacob Michael BLL179 Licensed Representative (Temporary Licence) 1
CHADHA Dushyant BIE137 Licensed Representative (Temporary Licence) 1
CHANDREN Edi BIX619 Licensed Representative (Temporary Licence) 4
CHANG Sei Yoon BFI932 Licensed Representative (Temporary Licence) 1
CHARTRES Pierre BLI962 Licensed Representative (Temporary Licence) 1
CHEN Timothy C K BEC091 Licensed Representative (Temporary Licence) 4
CHOPRA Raashi BEE682 Licensed Representative (Temporary Licence) 4
CHOPRA Sameer BAU420 Licensed Representative (Temporary Licence) 1, 4
CHUNG Jeehyun BEX928 Licensed Representative (Temporary Licence) 1
CLAPPIER Alexis, Remy, Marie, Laurent BLL477 Licensed Representative (Temporary Licence) 1, 2
CORK Jenna Louise AVS375 Licensed Representative (Temporary Licence) 1
DADABHOY Jamshed Rustom BFK188 Licensed Representative (Temporary Licence) 4
DARMONO Permadawani BJH031 Licensed Representative (Temporary Licence) 4
DE BLONAY Guy Charles Desmond BBF372 Licensed Representative (Temporary Licence) 1
DE KONING Henrik Arie BJK856 Licensed Representative (Temporary Licence) 1
DELAHAYE Thibaut Vincent Pierre ACR439 Licensed Representative (Temporary Licence) 1
DENNIS Geoffrey Edwin James BGM299 Licensed Representative (Temporary Licence) 4
DUCOMBLE Franky BIN462 Licensed Representative (Temporary Licence) 1, 2
DUTTON Charles Keith Hawkins AEM367 Licensed Representative (Temporary Licence) 4
EARY Richard James AEK574 Licensed Representative (Temporary Licence) 4
EGUCHI Hiroyasu BBL849 Licensed Representative (Temporary Licence) 1, 4
EPSTEIN Ronald Jay BDJ465 Licensed Representative (Temporary Licence) 1, 4
FANG Chenjun BJQ180 Licensed Representative (Temporary Licence) 4
FEHM GEB. POMMER Uta BLN649 Licensed Representative (Temporary Licence) 1, 4
Page 24 of 27
ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017
CE Name CE No. Licence Type Types of Regulated Activity
FENG Kaiyun BKO099 Licensed Representative (Temporary Licence) 1
FOGARTY Brendan John BLL811 Licensed Representative (Temporary Licence) 1, 2
FORD Alexander William BIN326 Licensed Representative (Temporary Licence) 1, 2
FOSTER Derek Patrick Jack ARU732 Licensed Representative (Temporary Licence) 1, 2
GANDHI Veekesh Suresh BBA377 Licensed Representative (Temporary Licence) 1, 4
GILBERT Benjamin Joseph William AVB999 Licensed Representative (Temporary Licence) 4
GOLDSMITH Michael William BLM862 Licensed Representative (Temporary Licence) 4
GOYAL Surendra Kumar BEO301 Licensed Representative (Temporary Licence) 4
GOYAL Surendra Kumar BEO301 Licensed Representative (Temporary Licence) 4
GRETCH Eric D BLH894 Licensed Representative (Temporary Licence) 10
HADIWIDJOJO Pramadwiandika BEV992 Licensed Representative (Temporary Licence) 1, 4
HAMBRO Evy Piers George AOR313 Licensed Representative (Temporary Licence) 1, 4
HAN Jennifer Koun AMY266 Licensed Representative (Temporary Licence) 4
HARTONO David Arie BIX625 Licensed Representative (Temporary Licence) 4
HEELAN Benjamin Michael BIN836 Licensed Representative (Temporary Licence) 1, 4
HENDRIKSE Harald Christiaan BEV944 Licensed Representative (Temporary Licence) 1, 4
HENNESSY Kevin David BLN404 Licensed Representative (Temporary Licence) 1, 2
HERMAN Neal Thomson AVO978 Licensed Representative (Temporary Licence) 4
HOLLICK Jonathan Christopher BIM661 Licensed Representative (Temporary Licence) 1, 4
HONG Ying Hui AWT694 Licensed Representative (Temporary Licence) 2, 5
HOPE Rupert Dickie BHM098 Licensed Representative (Temporary Licence) 1, 4
HOWARD-JOHNSON Mark BCA030 Licensed Representative (Temporary Licence) 1, 4
HUTCHINSON Lorraine Corinne BGL062 Licensed Representative (Temporary Licence) 1, 4
IENO Eiji Alex AXB793 Licensed Representative (Temporary Licence) 1, 2
JADROSICH Rafe Jason BLG300 Licensed Representative (Temporary Licence) 1, 4
JAIN Vijit BLH859 Licensed Representative (Temporary Licence) 4
JANSEN Michael BEI461 Licensed Representative (Temporary Licence) 1, 2
JAVED Madiha BHL188 Licensed Representative (Temporary Licence) 1, 4
JONAS Adam Michael BGR023 Licensed Representative (Temporary Licence) 1, 4
KARIA Shamil BLJ719 Licensed Representative (Temporary Licence) 1
KAYNES David Charles BDA619 Licensed Representative (Temporary Licence) 4
KEDIA Sahil Sudhir AZW848 Licensed Representative (Temporary Licence) 1, 4
KIM Minkyu BEO107 Licensed Representative (Temporary Licence) 1
KIM Sanghoon BET098 Licensed Representative (Temporary Licence) 4
KRAMM Nils Alexander BDX207 Licensed Representative (Temporary Licence) 4
KUSHMA Michael Bernard BAJ311 Licensed Representative (Temporary Licence) 1
KWEK Kevin Siew Beng AZN097 Licensed Representative (Temporary Licence) 4
KYRTSIS Alexander BES318 Licensed Representative (Temporary Licence) 1
LAKE Fiona Maeve ART583 Licensed Representative (Temporary Licence) 4
LAM Kwok Chung Ivan BLL048 Licensed Representative (Temporary Licence) 1, 2
LANG Thiemo BLM120 Licensed Representative (Temporary Licence) 1, 4
LEE Tien Soon BJT065 Licensed Representative (Temporary Licence) 1, 4
Page 25 of 27
ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017
CE Name CE No. Licence Type Types of Regulated Activity
LIANI Tal Yehi BEL903 Licensed Representative (Temporary Licence) 1, 4
LIE Vivi Handoyo BEN583 Licensed Representative (Temporary Licence) 4
LIM Johan Yoeng Unn BBS389 Licensed Representative (Temporary Licence) 1
LIN Fang-Chu BEV959 Licensed Representative (Temporary Licence) 1
LJUBENOV Igor BLM019 Licensed Representative (Temporary Licence) 1, 2
LO Yin Ping BFG802 Licensed Representative (Temporary Licence) 10
MAAOUNI Walid BLL493 Licensed Representative (Temporary Licence) 1, 2
MARTIN Christopher Sloan BLO386 Licensed Representative (Temporary Licence) 1
MAZOY SANCHEZ Jose Manuel BIN599 Licensed Representative (Temporary Licence) 1
MIEDEMA Jeldert BLF654 Licensed Representative (Temporary Licence) 1
MIKKELSEN Hans Ole Aerendahl BDJ464 Licensed Representative (Temporary Licence) 1, 4
MINAGAWA Ryozo BFA665 Licensed Representative (Temporary Licence) 4
MUKHIJA Tanuj BJA905 Licensed Representative (Temporary Licence) 1, 4
MULLER-WIDMER Michael Horst BLN919 Licensed Representative (Temporary Licence) 1, 4
MURPHY Kevin Francis BLI618 Licensed Representative (Temporary Licence) 1, 4
NA PATTALOONG Natchutha BIO006 Licensed Representative (Temporary Licence) 4
NAIR Prashant Gopinathan BEN187 Licensed Representative (Temporary Licence) 4
NAKAJIMA Masashige BLO099 Licensed Representative (Temporary Licence) 1
NAPIER Jason Clive BIN751 Licensed Representative (Temporary Licence) 4
NAYLOR-LEYLAND Edward Frederick BLG378 Licensed Representative (Temporary Licence) 1
NEVATIA SUMANGAL RAJESH BLK492 Licensed Representative (Temporary Licence) 4
NISHIMURA Seiji BLJ206 Licensed Representative (Temporary Licence) 1
NOGUCHI Mayumi BAL380 Licensed Representative (Temporary Licence) 1
NOMA Kota BDQ873 Licensed Representative (Temporary Licence) 1
OBIN Andrew Burris BDI734 Licensed Representative (Temporary Licence) 1, 4
OH James BLL823 Licensed Representative (Temporary Licence) 1
OHMES Robert Frederick BGK749 Licensed Representative (Temporary Licence) 1, 4
ORTELLI Mario Zaccaria Carlo BBJ794 Licensed Representative (Temporary Licence) 4
OSIANDER Ernst Josef BEE962 Licensed Representative (Temporary Licence) 1
PARK Sung Mee BFT696 Licensed Representative (Temporary Licence) 4
POLOVY Charles Michel Guillaume Edouard BHO026 Licensed Representative (Temporary Licence) 1, 2
RAY Sambuddha BLJ721 Licensed Representative (Temporary Licence) 4
REDEKER Hans Gunter Wilhelm BFF385 Licensed Representative (Temporary Licence) 1, 4, 5
REEMER Jeffrey Ross BIR381 Licensed Representative (Temporary Licence) 1, 4
RIDGE Nigel Lee BLP473 Licensed Representative (Temporary Licence) 1, 4
RIESNER Michael Lothar Kurt AWK175 Licensed Representative (Temporary Licence) 1
ROCCATI Alessandro BKY347 Licensed Representative (Temporary Licence) 10
ROONEY Monique Elizabeth BGE212 Licensed Representative (Temporary Licence) 1, 4
SAHOO Abhishek BJN732 Licensed Representative (Temporary Licence) 4
SAKAMOTO Gosuke BBQ740 Licensed Representative (Temporary Licence) 1
SANDERSE Menno Gerard Cornelis AUX424 Licensed Representative (Temporary Licence) 1, 4
SAUNDERS Philip Gordon Strode ADB492 Licensed Representative (Temporary Licence) 4
Page 26 of 27
ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 11/2017
CE Name CE No. Licence Type Types of Regulated Activity
SILK Kimberley BLN953 Licensed Representative (Temporary Licence) 1, 2
SINGER David Antony AWS936 Licensed Representative (Temporary Licence) 1
SIRIPASSORN Kritapas BDQ319 Licensed Representative (Temporary Licence) 4
SONNELAND Joshua Paul BBR119 Licensed Representative (Temporary Licence) 4
SPARTALIS Sophie Despina BIM602 Licensed Representative (Temporary Licence) 1, 4
SPROULES Brendan Allan BGO985 Licensed Representative (Temporary Licence) 4
STEAD David Andrew AQT298 Licensed Representative (Temporary Licence) 1, 2
SUMMERFIELD David Angus AEP603 Licensed Representative (Temporary Licence) 1
TAN Jia Qi Chloe BLJ693 Licensed Representative (Temporary Licence) 1, 4
TANG Serena Wing Yin BHK683 Licensed Representative (Temporary Licence) 1, 4, 5
TECHAWATANAWANA Atthaka BLK087 Licensed Representative (Temporary Licence) 1, 2
TEEGER Sam Thomas BHK845 Licensed Representative (Temporary Licence) 4
TEO Su Wen Cheryl BJS028 Licensed Representative (Temporary Licence) 1, 4
TUMULAK Andrew BLK817 Licensed Representative (Temporary Licence) 1, 2
UNAL Gokhan BHG359 Licensed Representative (Temporary Licence) 1
VARGHESE Shinoy BGU248 Licensed Representative (Temporary Licence) 10
WADEWITZ Thomas Richard BGL493 Licensed Representative (Temporary Licence) 4
WATANABE Ritsuo BAZ846 Licensed Representative (Temporary Licence) 1, 4
WEYNS Guy Joseph M. BLM858 Licensed Representative (Temporary Licence) 4
WILLIAMS Craig Anthony BDU133 Licensed Representative (Temporary Licence) 4
WONG Ee Kay Geoffrey BFZ518 Licensed Representative (Temporary Licence) 1, 4
WONG Ferry Wijaya ARB231 Licensed Representative (Temporary Licence) 4
WOOLFORD Craig John BFD306 Licensed Representative (Temporary Licence) 4
XIE Jiaoyue BHU354 Licensed Representative (Temporary Licence) 1, 4
ZHONG Xiaoling BGW439 Licensed Representative (Temporary Licence) 10
Bank of Communications (Hong Kong) Limited BJN782 Registered Institution 1, 4
Page 27 of 27