2_removal_eng_20180731.pdf - SFC

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 07/2018 CE Name CE No. Licence Type Types of Regulated Activity Acru Asset Management Limited AKX679 Licensed Corporation 9 Anbang Capital (Hong Kong) Co. Limited BBO924 Licensed Corporation 6 Metro Capital Futures Limited AAJ433 Licensed Corporation 2 SoHo Investment Partners (H.K.) Limited BCB837 Licensed Corporation 4, 9 ALEXANDER Hugh Breinig BIA274 Licensed Representative 1, 2 AU Kwok Tung AAD664 Licensed Representative 1, 2 BAR Lai Yee ANR046 Licensed Representative 1 BENDER Christopher Francois Anthony BFW623 Licensed Representative 1, 2, 7 BHAMMER Vishal Mahendra Kumar AHF765 Licensed Representative 9 BHATT Jay Ballabh BGG951 Licensed Representative 1 CAI Peiye BFS140 Licensed Representative 2 CAMPBELL Carolyn Leigh BIM466 Licensed Representative 1, 2 CARTWRIGHT Matthew James AJN964 Licensed Representative 1, 2 CHAN Bill ADZ419 Licensed Representative 1, 4, 6 CHAN Cheuk Ka APK221 Licensed Representative 1 CHAN Chi Chung ANI897 Licensed Representative 1 CHAN Chun Lin, Johnny BFO992 Licensed Representative 1 CHAN Hei Ming BBA473 Licensed Representative 1 CHAN Ka Wai APQ352 Licensed Representative 1 CHAN Kam Hon ACY290 Licensed Representative 1, 4 CHAN Ko Cheung AVW065 Licensed Representative 1 CHAN Lap Chung AZM552 Licensed Representative 1 CHAN Lok To BCS759 Licensed Representative 1 CHAN Lung Sang AUA794 Licensed Representative 9 CHAN Lung Wai, Chris BGG775 Licensed Representative 1 CHAN Mo Tze, Wendy AFL901 Licensed Representative 1, 4 CHAN Ngai Hang BGP690 Licensed Representative 1, 2 CHAN Pui Yen, Shirley ALU922 Licensed Representative 1, 2, 9 CHAN Pui Yeung, Yvonne ASW460 Licensed Representative 1, 4 CHAN Sze Hoo AAC798 Licensed Representative 1 CHAN Woon Hung ABY401 Licensed Representative 2 CHAN Yat Fei AMJ553 Licensed Representative 1, 4 CHAN Yau Lun ACP532 Licensed Representative 1, 2 CHAN Yee Ming BDO787 Licensed Representative 1, 4 CHAN Yik Kin BIZ917 Licensed Representative 1 CHAN Yin Kwong BAG422 Licensed Representative 1 CHANG Moon Sung AQN365 Licensed Representative 1, 4 CHANG Shun Po BEH964 Licensed Representative 1, 4 CHAU Chi Kong BDV260 Licensed Representative 1 CHEN Jianwu AWG059 Licensed Representative 1 CHEN Kuan-Yu BIM498 Licensed Representative 1, 4, 9 CHEN Weiwei ATY791 Licensed Representative 1, 4, 9 CHEN Yi Ting BHY555 Licensed Representative 4, 9 CHEN Yu BEM653 Licensed Representative 1 CHENG Chung Fan AYW110 Licensed Representative 9 CHENG Kam Luen AGQ976 Licensed Representative 1, 3 Page 1 of 20

Transcript of 2_removal_eng_20180731.pdf - SFC

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 07/2018

CE Name CE No. Licence Type Types of Regulated Activity

Acru Asset Management Limited AKX679 Licensed Corporation 9

Anbang Capital (Hong Kong) Co. Limited BBO924 Licensed Corporation 6

Metro Capital Futures Limited AAJ433 Licensed Corporation 2

SoHo Investment Partners (H.K.) Limited BCB837 Licensed Corporation 4, 9

ALEXANDER Hugh Breinig BIA274 Licensed Representative 1, 2

AU Kwok Tung AAD664 Licensed Representative 1, 2

BAR Lai Yee ANR046 Licensed Representative 1

BENDER Christopher Francois Anthony BFW623 Licensed Representative 1, 2, 7

BHAMMER Vishal Mahendra Kumar AHF765 Licensed Representative 9

BHATT Jay Ballabh BGG951 Licensed Representative 1

CAI Peiye BFS140 Licensed Representative 2

CAMPBELL Carolyn Leigh BIM466 Licensed Representative 1, 2

CARTWRIGHT Matthew James AJN964 Licensed Representative 1, 2

CHAN Bill ADZ419 Licensed Representative 1, 4, 6

CHAN Cheuk Ka APK221 Licensed Representative 1

CHAN Chi Chung ANI897 Licensed Representative 1

CHAN Chun Lin, Johnny BFO992 Licensed Representative 1

CHAN Hei Ming BBA473 Licensed Representative 1

CHAN Ka Wai APQ352 Licensed Representative 1

CHAN Kam Hon ACY290 Licensed Representative 1, 4

CHAN Ko Cheung AVW065 Licensed Representative 1

CHAN Lap Chung AZM552 Licensed Representative 1

CHAN Lok To BCS759 Licensed Representative 1

CHAN Lung Sang AUA794 Licensed Representative 9

CHAN Lung Wai, Chris BGG775 Licensed Representative 1

CHAN Mo Tze, Wendy AFL901 Licensed Representative 1, 4

CHAN Ngai Hang BGP690 Licensed Representative 1, 2

CHAN Pui Yen, Shirley ALU922 Licensed Representative 1, 2, 9

CHAN Pui Yeung, Yvonne ASW460 Licensed Representative 1, 4

CHAN Sze Hoo AAC798 Licensed Representative 1

CHAN Woon Hung ABY401 Licensed Representative 2

CHAN Yat Fei AMJ553 Licensed Representative 1, 4

CHAN Yau Lun ACP532 Licensed Representative 1, 2

CHAN Yee Ming BDO787 Licensed Representative 1, 4

CHAN Yik Kin BIZ917 Licensed Representative 1

CHAN Yin Kwong BAG422 Licensed Representative 1

CHANG Moon Sung AQN365 Licensed Representative 1, 4

CHANG Shun Po BEH964 Licensed Representative 1, 4

CHAU Chi Kong BDV260 Licensed Representative 1

CHEN Jianwu AWG059 Licensed Representative 1

CHEN Kuan-Yu BIM498 Licensed Representative 1, 4, 9

CHEN Weiwei ATY791 Licensed Representative 1, 4, 9

CHEN Yi Ting BHY555 Licensed Representative 4, 9

CHEN Yu BEM653 Licensed Representative 1

CHENG Chung Fan AYW110 Licensed Representative 9

CHENG Kam Luen AGQ976 Licensed Representative 1, 3

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 07/2018

CE Name CE No. Licence Type Types of Regulated Activity

CHEUNG Kam Wah, Carey AGY140 Licensed Representative 1

CHEUNG Katherine Marn Kay AFQ899 Licensed Representative 9

CHEUNG Kit Man APF463 Licensed Representative 1, 4

CHEUNG Kwai Fun ACB766 Licensed Representative 1

CHEUNG Man Ho BEE035 Licensed Representative 1

CHEUNG Rhoda Sze Yan AVL305 Licensed Representative 1, 2, 9

CHEUNG Siu Ki, Henry BIK005 Licensed Representative 1

CHEUNG Wai Ching, Anthony AEC908 Licensed Representative 1, 2, 4, 9

CHEUNG Yin Wa BAH559 Licensed Representative 1, 4

CHIANG Kam Wah BFL529 Licensed Representative 1, 4, 9

CHIM Ho Yan BHP663 Licensed Representative 1, 4, 9

CHIU Man Chi, Vivi BLG161 Licensed Representative 1, 6

CHIU Man Wa AJI454 Licensed Representative 1

CHOI Yee Mui ABC567 Licensed Representative 1

CHONG Chi Wai AXP602 Licensed Representative 1

CHONG Mei Ping BKV081 Licensed Representative 1

CHOW Emily Kwun-yue BGE938 Licensed Representative 1, 6

CHOY Chun Yu ANL888 Licensed Representative 1, 4

CHU Ping Hui ASP716 Licensed Representative 1, 4

CHU Po Yuen BBL114 Licensed Representative 1

DE SCHOUTHEETE DE TERVARENT Rodolphe Nicolas BEJ215 Licensed Representative 1, 2

DHUPELIA Sunil AUW922 Licensed Representative 6

DOBSON Samuel John BFG203 Licensed Representative 4

DOWDEN Clare BIT489 Licensed Representative 1, 2, 6

DOWLAND Richard Adetokunbo AUH913 Licensed Representative 2

DU Yun BIO707 Licensed Representative 1, 6

DUAN Xiaoxin BEJ250 Licensed Representative 6

EADON-CLARKE Peter Erskine AAK348 Licensed Representative 4

FAN So Ping BAP022 Licensed Representative 1

FANG Zhengyi BAA254 Licensed Representative 1

FENG Tong BBP739 Licensed Representative 4

FINNEY Jonathan Lai Cheng BEF253 Licensed Representative 1, 9

FONG Ching Sun Eric ARB623 Licensed Representative 1, 2

FONG Sut Sam AFR045 Licensed Representative 1, 4

FOO Kin Chung AQJ492 Licensed Representative 1, 4

FU Pik Yee, Peggy ARU916 Licensed Representative 1

FULWOOD Alice Mary BIX787 Licensed Representative 4

FUNG Chak Chuen, Francis AAD876 Licensed Representative 1, 2

FUNG Ching Yu AWZ725 Licensed Representative 1, 7

FUNG Kam Yin, Kenneth AUN817 Licensed Representative 1, 2

GOH Shu Yi BGT600 Licensed Representative 1, 2

GRAFTON James Christopher AQJ413 Licensed Representative 1, 2, 7

GU Yu BHF768 Licensed Representative 2

GUO Jianpeng BAP669 Licensed Representative 1

HAGUE Claire Elizabeth Logan ALF606 Licensed Representative 1

Hari Vishnu AYS451 Licensed Representative 1, 2

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 07/2018

CE Name CE No. Licence Type Types of Regulated Activity

HE Martin AFD243 Licensed Representative 1, 4

HE Wei AZO584 Licensed Representative 1

HE Yuhao BDW961 Licensed Representative 1, 2

HO Hin Man BGH299 Licensed Representative 1, 2

HO Kwun Kui Clarence BDR779 Licensed Representative 4, 9

HO Lai Ming AUF129 Licensed Representative 1, 4

HO Siu Man BHW617 Licensed Representative 1

HON Kwan Kit BKV249 Licensed Representative 1, 2

HON Wing Lun AVP857 Licensed Representative 10

HONG Junchan BLO695 Licensed Representative 6

HONG Wing Ling, Winnie AEV489 Licensed Representative 1

HONG Yung Tat, Stephen ACK158 Licensed Representative 3

HOULT Matthew BBA736 Licensed Representative 1, 4, 9

HUANG Haojie AYQ411 Licensed Representative 1, 4, 9

HUANG Peikai BKH958 Licensed Representative 1, 2

HUANG Qiuting BEB573 Licensed Representative 1, 7

HUANG Shiyi BEQ547 Licensed Representative 1, 7

HUANG Sijia BHX186 Licensed Representative 6

HUANG Tianhua BHN674 Licensed Representative 1

HUI Wai Kong ALS374 Licensed Representative 1, 4

HUNG Chun Kit AQX107 Licensed Representative 1

HUNG Hiu Tung BHF491 Licensed Representative 1

HUNG Yan Ying Alice BIT668 Licensed Representative 4, 9

INOUE Toshiki AXX980 Licensed Representative 9

JEON Jeffrey Jinwoong BEM314 Licensed Representative 1, 4, 9

JU Yi AXM571 Licensed Representative 1

KANG Mina BGE792 Licensed Representative 1, 4, 9

KASHYAP Kritika AXF698 Licensed Representative 1, 4, 5

KAWASAKI Satsuki BJE606 Licensed Representative 4

KEUNG Jun Chao BDK110 Licensed Representative 1, 2, 7

KEUNG Man Tik AQE297 Licensed Representative 1

KIM Jee Yeon ANM620 Licensed Representative 9

KIR Eddie Jen AOD040 Licensed Representative 4, 9

KNIGHT Christopher John BHX549 Licensed Representative 1

KO Bryan Kar-Hung AGJ203 Licensed Representative 1, 2

KO Mei Sze ARF257 Licensed Representative 1, 9

KONG Kim Fei ANR265 Licensed Representative 1

KONG Lin Chu ABY632 Licensed Representative 1, 4

KOON Ming Tak ACX491 Licensed Representative 1

KUNG King Man, Inna AFM556 Licensed Representative 1, 2, 4, 5

KWAN Kin Man, Keith BDL724 Licensed Representative 4

KWAN Ming Chi, Vincent AXQ716 Licensed Representative 1, 2, 4, 5

KWAN Ming Tak, Milton BHB478 Licensed Representative 1, 4, 9

KWOK Viking Wai Kin AMQ581 Licensed Representative 9

LAI Cho Yip AOT728 Licensed Representative 1

LAI Fai Hung, Franco BCF866 Licensed Representative 1, 4, 9

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 07/2018

CE Name CE No. Licence Type Types of Regulated Activity

LAI Jiahua BJU621 Licensed Representative 9

LAI Seng Long BLZ829 Licensed Representative 1, 4, 6

LAI Zhiyang BAU623 Licensed Representative 9

LAM Ching BJO001 Licensed Representative 1

LAM Ka Ki, Charlie ABE374 Licensed Representative 1, 4

LAM Pun Wing APY828 Licensed Representative 1

LAM Sharon AFU798 Licensed Representative 1, 4

LAM Tsz Wai BJG162 Licensed Representative 1

LAU Cheuk Hang AKV286 Licensed Representative 1

LAU Chung Ping AEE808 Licensed Representative 1, 2

LAU Jing Yeung, William ANV150 Licensed Representative 1, 4, 9

LAU Sheung Kwok AYJ377 Licensed Representative 1

LAU Shing Wai BBT986 Licensed Representative 1, 4

LAU Yan Pan AQQ771 Licensed Representative 9

LAW Chung Yan BBU549 Licensed Representative 1, 2, 9

LAW Wing Sze BHU929 Licensed Representative 1

LAW Yuk Lun AQA540 Licensed Representative 1

LEE Brian Po Wing AML715 Licensed Representative 1, 2, 4

LEE Derek Ho Yin AOR573 Licensed Representative 1, 4, 9

LEE Hang Kei AYG098 Licensed Representative 1

LEE Hon Hung ATC201 Licensed Representative 1

LEE Hong Nam BHQ295 Licensed Representative 9

LEE Ka Ki AEH405 Licensed Representative 1

LEE Seung June ANH437 Licensed Representative 1, 4

LEE Siu Fong BLN403 Licensed Representative 1

LEE Siu Hong AWJ603 Licensed Representative 1, 4

LEE So Lei BGW425 Licensed Representative 1, 4

LEE Sze Man, Ellen APH709 Licensed Representative 9

LEE Wing Him, Timothy AYS240 Licensed Representative 1, 6

LEE Yee Wah Petty BGZ069 Licensed Representative 1, 4

LEE Zhi Lun AYD147 Licensed Representative 1, 2

LEUNG Chun Yin APV053 Licensed Representative 1

LEUNG Pak Hin BMV366 Licensed Representative 3

LEUNG Pak Siu ASZ690 Licensed Representative 1, 4

LEUNG Wai Choi BBT681 Licensed Representative 4, 9

LEUNG Wai Tsun Edwin BBQ748 Licensed Representative 1, 4

LEUNG Yiu Pong AJH326 Licensed Representative 1

LEUNG Yuk Sim, Corinna AJD996 Licensed Representative 1

LI Chun Man ACP244 Licensed Representative 3

LI Jixiang APW452 Licensed Representative 9

LI Kwok Chung BAF320 Licensed Representative 1, 4

LI Lai Yee AIP435 Licensed Representative 1, 4, 9

LI Shanshan BJG360 Licensed Representative 1

LI SUFAN BLF846 Licensed Representative 1

LI Xin ASZ582 Licensed Representative 4

LI Ying AFO508 Licensed Representative 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 07/2018

CE Name CE No. Licence Type Types of Regulated Activity

LI Yujiang BHD947 Licensed Representative 1

LIANG Jinxin BIG101 Licensed Representative 4

LIM Tay Her ANK937 Licensed Representative 4, 9

LIN Qiushuo BEB575 Licensed Representative 1, 7

LIU Hsin-Ling AVT439 Licensed Representative 4, 9

LIU Hui Lin BJA020 Licensed Representative 9

LIU Jason Chee Lai AUI480 Licensed Representative 1

LIU Sai Ho ACX931 Licensed Representative 1, 2

LIU Xingni AVE182 Licensed Representative 6

LIU Xinyu BFR945 Licensed Representative 1, 2

LIU Yinggang BLI068 Licensed Representative 1, 6

LIU Yiou BAI182 Licensed Representative 1, 6

LIU Yishuo BMX804 Licensed Representative 4

LO Kin Chun ANL083 Licensed Representative 1

LO Ting Ting AOW772 Licensed Representative 1

LO Wai Kin, Kent AOA404 Licensed Representative 1

LUAN Shu BBU905 Licensed Representative 1

LUI Yim Yin ADA685 Licensed Representative 1, 4

LUI Yiu Cho, Samson ABE957 Licensed Representative 1, 4

LUK Yi Yin AOH359 Licensed Representative 1

LUO Yiping BAA715 Licensed Representative 6

LUO Yunzhou BGJ408 Licensed Representative 1

MA Hing Lai, Lina AAA656 Licensed Representative 1

MA Hoi Sze AUW529 Licensed Representative 1, 7

MACTAGGART Kirsty AEZ566 Licensed Representative 1, 9

MAK Ching Yan BDP852 Licensed Representative 3

MAK Yee Mui ADH399 Licensed Representative 4

MATSUSHITA Motoyuki BDH661 Licensed Representative 1, 2

MELVIN YIP Yang Joon AVP043 Licensed Representative 1, 6

MENG Na BHX267 Licensed Representative 1, 4, 6

MILLER Magdalene Ka Hung Nancy AYF299 Licensed Representative 1

MIYABE Toshiyuki BEX938 Licensed Representative 1, 6

MOK Hau Ming, Elizabeth ADJ833 Licensed Representative 1

MUI In Fan BGD814 Licensed Representative 1, 4

MUI Yan Lap ABR175 Licensed Representative 4

MULLIKKOTTU VEETIL Ramadasan ANT736 Licensed Representative 1, 4

MUSTI Ravi Chandra Narayana BJQ351 Licensed Representative 1, 2

NG Chak Wai AQD231 Licensed Representative 1, 4

NG Kai Feng Cecilia AAE956 Licensed Representative 1, 4

NG Kwok Wing AJH433 Licensed Representative 1, 2

NG Shear Wayne BEW657 Licensed Representative 1

NG Shui King, Yvonne AGE338 Licensed Representative 1, 4

NG Siu Hung AZR591 Licensed Representative 1, 2

NG Wai Fat ABA017 Licensed Representative 1, 4

NGAI Man Fung AGG740 Licensed Representative 1, 2

NICHOLSON David John AQI450 Licensed Representative 1, 2

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 07/2018

CE Name CE No. Licence Type Types of Regulated Activity

NOVI BDU541 Licensed Representative 1, 4, 9

ONG Vin Nie BEA639 Licensed Representative 1, 4

PAN Kwang-Wu ALS352 Licensed Representative 1

PAN Weibing BKK306 Licensed Representative 4

PANG Chak Hung BLE952 Licensed Representative 4, 9

PANG Wai Yuen, Marvin AAI320 Licensed Representative 6

PARK Andrew Jai Young AVA057 Licensed Representative 9

PASSMORE Simon Gareth AVJ719 Licensed Representative 1

PATTERSON Aiden Anthony BHV137 Licensed Representative 1, 4, 6

PEARCE Caroline Elizabeth BDA739 Licensed Representative 1

PONG Cheuk Pun BAY306 Licensed Representative 9

POON Chun Bong AUW799 Licensed Representative 1

POON Chun Ning BJO277 Licensed Representative 2

POON Shuk Fan AEE926 Licensed Representative 1

POPAT Amit Vinayakrai BGH488 Licensed Representative 1

PU Yonghao AGI869 Licensed Representative 1, 4, 9

QIAN Alexandra Gaochuan BHS510 Licensed Representative 4, 9

QU Cong BCH698 Licensed Representative 1, 6

QUAN King Yut BIL826 Licensed Representative 1

RAO Pradeep Vithal AQU896 Licensed Representative 6

ROBINSON Louise Catherine AWP244 Licensed Representative 1, 2

ROBISON Nicholas James AZT377 Licensed Representative 1

ROBLES MONSALVE Nicolas BIY675 Licensed Representative 1, 6

ROSS Andrew Robert Grant BDM865 Licensed Representative 1, 6

SAMESHIMA Toyoki AMY453 Licensed Representative 4

SANDOR Ryan Andrew BGL212 Licensed Representative 9

SENGUPTA Ashis Kumar AUI272 Licensed Representative 1, 4

SEOW Hock Hin ALI542 Licensed Representative 1, 4

SHEFFIELD JOHN BJE213 Licensed Representative 1, 4, 6

SHEN Zhipeng BHX222 Licensed Representative 1, 4, 6

SHI Yuefei BEN894 Licensed Representative 1, 6

SHIM Kwun Fung APL958 Licensed Representative 1

SHUM Mei Ching ACT490 Licensed Representative 1

SHUM Mei Ling ACT493 Licensed Representative 1

SHUM Oi Yee, Olivia BCB845 Licensed Representative 1, 2

SINGH Sanjay Kumar BEN385 Licensed Representative 1, 2

SINGHAKOWIN Kenric BCK830 Licensed Representative 1

SIU Choi Yiu BHY274 Licensed Representative 1

SIU Wing Sze BFS580 Licensed Representative 1

SNOOKS Jane Nicola BIC245 Licensed Representative 1, 9

SO Chiu AYO973 Licensed Representative 6

SO Kwan Yee AUZ985 Licensed Representative 1, 4

SONG Qianrong BGX725 Licensed Representative 1, 2, 3

SPARROW Nicholas Charles AHF977 Licensed Representative 1, 2

SRIPUNPORN Roger Ardisorn AIB741 Licensed Representative 1, 7

SUN Xiaoguang AIC355 Licensed Representative 1, 4, 9

Page 6 of 20

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 07/2018

CE Name CE No. Licence Type Types of Regulated Activity

SZE Kam Po ANJ011 Licensed Representative 1

TAI Kwai Ting AWZ164 Licensed Representative 1

TAI Lai Si ADO192 Licensed Representative 1

TAN Yujun BKU720 Licensed Representative 6

TANG Chun Man AVX572 Licensed Representative 1

TANG Jiazi AWX863 Licensed Representative 5

TANG Richard Tak Tai BGX228 Licensed Representative 1, 4

TANG Ruobing BFA762 Licensed Representative 1, 2

TEO Kim Guan ANX459 Licensed Representative 1, 2

THNG Jiyuan Jonathan BHL114 Licensed Representative 1, 4, 6

TO Kin Hung BAP179 Licensed Representative 1, 2

TO Suet Wai, Joey ACK076 Licensed Representative 3

TON Suzanne To Quan AAZ188 Licensed Representative 4, 9

TSAI Annie AAA163 Licensed Representative 1

TSE Chung Ming, Gaston APD105 Licensed Representative 1

TSE Hei Man BBG842 Licensed Representative 1

TSE Man Hei BKG342 Licensed Representative 1, 4, 6

TSE Wai Chuen AXL934 Licensed Representative 1

TSE Wai Man ADB018 Licensed Representative 1, 4

TSOI Wan ACA555 Licensed Representative 2

TSUI Pui Sze Bessy BDK980 Licensed Representative 1, 4

TUNG Tsz Wei, Eva BHB344 Licensed Representative 1

WAN Kwok Wai, Bryce AFE143 Licensed Representative 1, 2, 4, 9

WAN Lai Shan AMY264 Licensed Representative 9

WANG Daoda BCM637 Licensed Representative 6

WANG Fan AXH201 Licensed Representative 1, 2, 4

WANG Jianbo ARE473 Licensed Representative 1, 2

WANG Xu BFG300 Licensed Representative 1, 2

WANG Xue BJO823 Licensed Representative 1, 6

WANG Yuanyuan BBG415 Licensed Representative 1, 4

WANG Zhuoyue BKU351 Licensed Representative 1, 2

WEI Chuyang BGC776 Licensed Representative 1

WILLOUGHBY Michael Graeme BEF264 Licensed Representative 1, 4, 6

WONG Cynthia Shuet Kwan AGY628 Licensed Representative 1, 4

WONG Hang Lam, Lorna ARN613 Licensed Representative 1

WONG Ho Yan BDH070 Licensed Representative 1, 4

WONG Hung Chun ACO382 Licensed Representative 1, 2

WONG Ka Ho BKY128 Licensed Representative 4, 9

WONG Ka Kit AXI232 Licensed Representative 1, 4

WONG Ka Lee AZG056 Licensed Representative 1, 4

WONG Kit Shuen Molisa AEM349 Licensed Representative 1, 4

WONG Lewis Kai Ho BEC076 Licensed Representative 4

WONG Man Lung BIJ497 Licensed Representative 1

WONG Man Yin AED081 Licensed Representative 1, 9

WONG Mung King BGK642 Licensed Representative 1, 2

WONG Tzu Qun BHP119 Licensed Representative 1

Page 7 of 20

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 07/2018

CE Name CE No. Licence Type Types of Regulated Activity

WONG Yuk Ting ADH966 Licensed Representative 1, 4

WOO Siu Ki AMR980 Licensed Representative 1, 4

WOO Youn Kwang BBZ478 Licensed Representative 1

WU Liming BCV926 Licensed Representative 1

WU Michelle ANV141 Licensed Representative 1, 4

WU Simon Hao Sheng BJT979 Licensed Representative 2, 5

WU Yenan BHU997 Licensed Representative 1

XIA Nan AQL118 Licensed Representative 1, 4, 9

XIA Ru BCM864 Licensed Representative 1, 6

XIAO Dianna Wanzhi BFP510 Licensed Representative 1

XIAO Minhong ARO060 Licensed Representative 2

XIE Yaxuan ARG368 Licensed Representative 4

XU Chongfan BBX582 Licensed Representative 4, 9

XU Sixiang BGI944 Licensed Representative 1, 4

XU XI BLM056 Licensed Representative 1, 2

XU Yinqing BKS103 Licensed Representative 1, 4

YAMAMOTO Yoko BAG441 Licensed Representative 4

YANG Buyun BDQ418 Licensed Representative 1, 6

YANG Chao BDI839 Licensed Representative 1, 6

YANG Jiaqi BIK425 Licensed Representative 6

YANG Kangbo BJW750 Licensed Representative 4, 9

YANG Shuyi BIL572 Licensed Representative 3

YAO Yankun BIK516 Licensed Representative 1, 6

YE Yihui BFO777 Licensed Representative 1

YEUM Jeehye BIJ241 Licensed Representative 1

YEUNG Chi Ki BBE744 Licensed Representative 1, 4

YEUNG Ka Li, Carrie BJD411 Licensed Representative 1, 4

YEUNG Shun Hei AMJ481 Licensed Representative 4

YI Yen-Hua ARO058 Licensed Representative 1

YIM KUI SING BJG604 Licensed Representative 1, 4, 9

YIP Chi Wing ADI536 Licensed Representative 1, 2

YIP Ho Yin BFT973 Licensed Representative 1, 2, 3, 9

YONG Schuyler ANH753 Licensed Representative 1

YOUK Su Jeong BLV881 Licensed Representative 1

YU Hoi Yan BDM258 Licensed Representative 1, 4, 9

YU Hong BAE174 Licensed Representative 6

YU Ka Chi, Frederick ANQ372 Licensed Representative 1

YU Yue AVW185 Licensed Representative 1, 4

YUAN Yingjie BLV897 Licensed Representative 1, 6

YUN Chun Kit ABG005 Licensed Representative 1, 4

ZHANG Colin BDN956 Licensed Representative 1, 4, 9

ZHANG HANG BKY342 Licensed Representative 10

ZHANG Heng AXG487 Licensed Representative 1

ZHANG Junye BIZ576 Licensed Representative 1

ZHANG KULLANDER Tiantian Cheng BCI256 Licensed Representative 1, 2

ZHANG Shuheng BID781 Licensed Representative 1, 4, 9

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 07/2018

CE Name CE No. Licence Type Types of Regulated Activity

ZHANG Yi Xian BBU663 Licensed Representative 1

ZHOU Yifeng AVD686 Licensed Representative 4, 9

BALDWIN Timothy Simon ARB261 Licensed Representative - Responsible Officer 4

BARTLETT Toby Douglas ATE545 Licensed Representative - Responsible Officer 9

BOWERS Wayne George BAD802 Licensed Representative - Responsible Officer 1, 2, 9

BRADBURY Adrian John ABT539 Licensed Representative - Responsible Officer 6

CAO Guanye ALI370 Licensed Representative - Responsible Officer 4, 9

CHAN Chi Kin ABI401 Licensed Representative - Responsible Officer 1, 2

CHAN Kwan Chuen, Edmond Nicholas AEP538 Licensed Representative - Responsible Officer 1, 2

CHAN Ling Wah, Edward AHR464 Licensed Representative - Responsible Officer 1

CHAN Lung Sang AUA794 Licensed Representative - Responsible Officer 1, 4

CHAN Oi Ling, Aileen AFU988 Licensed Representative - Responsible Officer 1

CHAN Pui Yen, Shirley ALU922 Licensed Representative - Responsible Officer 4

CHAN Wah Lee AWJ776 Licensed Representative - Responsible Officer 1

CHAN Wai Lung AAC760 Licensed Representative - Responsible Officer 1, 4

CHANG Tony BHS094 Licensed Representative - Responsible Officer 1, 4

CHEUNG Katherine Marn Kay AFQ899 Licensed Representative - Responsible Officer 1

CHEUNG Moon Fuk AFG401 Licensed Representative - Responsible Officer 1, 4

CHEUNG Wai Yin AFC658 Licensed Representative - Responsible Officer 1

CHEUNG Wing Sing ATM574 Licensed Representative - Responsible Officer 1

CHIU Chi Man ABW341 Licensed Representative - Responsible Officer 1, 2

CHUNG Min Soo AWE956 Licensed Representative - Responsible Officer 4, 6

DENG Liangsheng ALA732 Licensed Representative - Responsible Officer 4

DENNING Naomi Pamela Olivia AGG685 Licensed Representative - Responsible Officer 4

DEVEREUX WONG Virginia AAJ666 Licensed Representative - Responsible Officer 1, 9

DONG Yingying AZA947 Licensed Representative - Responsible Officer 1

DUNN Simon Paul AWV090 Licensed Representative - Responsible Officer 1

EVERILL Jonathon Robert Edwin BKB076 Licensed Representative - Responsible Officer 1, 4

FUNADA Masahiro BKC290 Licensed Representative - Responsible Officer 3

HARDING Daryl Jon BJC544 Licensed Representative - Responsible Officer 2, 5

HARVEY Neil Anthony Shaun AUT093 Licensed Representative - Responsible Officer 1, 2, 4, 5, 6, 9

HE Martin AFD243 Licensed Representative - Responsible Officer 6

HO Siu Man, Gideon AOR642 Licensed Representative - Responsible Officer 4, 9

HON Siu Hong AFT493 Licensed Representative - Responsible Officer 1

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

HUI Yok Wing, Stephen AAH642 Licensed Representative - Responsible Officer 1, 4

JAMIESON Grant Andrew AHE360 Licensed Representative - Responsible Officer 6

JOHNSON Christopher Lind AGA971 Licensed Representative - Responsible Officer 9

KAN Yiu Kwong BDC075 Licensed Representative - Responsible Officer 5

KANTHATHAM Phanuwit ASE875 Licensed Representative - Responsible Officer 1, 4, 9

KIR Eddie Jen AOD040 Licensed Representative - Responsible Officer 1

KOK Chi Ho ACW515 Licensed Representative - Responsible Officer 1

KWOK Sze Kong AJO748 Licensed Representative - Responsible Officer 4, 9

LAM Wing Keung ANS013 Licensed Representative - Responsible Officer 9

LAU Kar Ming, Janet ACI074 Licensed Representative - Responsible Officer 1, 4

LAW Fong Yuen AGO947 Licensed Representative - Responsible Officer 1, 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 07/2018

CE Name CE No. Licence Type Types of Regulated Activity

LAWLESS Jonathon Jarrod AOE705 Licensed Representative - Responsible Officer 4, 5, 9

LEUNG Chin Ho BJH258 Licensed Representative - Responsible Officer 4, 9

LI Tat Chi ANX986 Licensed Representative - Responsible Officer 1, 2

LIDEN Sven Erik BAE409 Licensed Representative - Responsible Officer 1, 4

LIN Sam Disheng BLH633 Licensed Representative - Responsible Officer 4, 6

MA Hiu Nga, Michelle AWE190 Licensed Representative - Responsible Officer 1, 4

MANKODI Nikhil AOH351 Licensed Representative - Responsible Officer 9

MOEBIUS Joseph Bernhard Mark AAF859 Licensed Representative - Responsible Officer 9

NG Ka Pui, Gabriel AZS372 Licensed Representative - Responsible Officer 9

NG Yum Fai AFC598 Licensed Representative - Responsible Officer 4, 9

OGDEN Jonathan William AOM764 Licensed Representative - Responsible Officer 9

OR Chi Hang AOL351 Licensed Representative - Responsible Officer 1

PANG Wai Yuen, Marvin AAI320 Licensed Representative - Responsible Officer 1

PARK In Cheol ARM798 Licensed Representative - Responsible Officer 4, 9

PONG Cheuk Pun BAY306 Licensed Representative - Responsible Officer 1, 4

SEOW Hock Hin ALI542 Licensed Representative - Responsible Officer 2, 5

SHIH Tzu-yu BEU847 Licensed Representative - Responsible Officer 1, 4

SHUM Wai Chun AHJ589 Licensed Representative - Responsible Officer 1, 4, 9

SMITH Michael Richard Trevor AQY075 Licensed Representative - Responsible Officer 1, 4

SZWARCBERG Olivier Joel Emile BDD369 Licensed Representative - Responsible Officer 1, 4, 9

TAKAKU Hirofumi AXI172 Licensed Representative - Responsible Officer 1, 2

TAN Ye Kai, Byron AEP447 Licensed Representative - Responsible Officer 1, 6

WONG Hiu Ying BEB233 Licensed Representative - Responsible Officer 1, 4

WONG Man Yin AED081 Licensed Representative - Responsible Officer 4

WOO Youn Kwang BBZ478 Licensed Representative - Responsible Officer 9

YIONG Hoi San AGT132 Licensed Representative - Responsible Officer 1, 2, 4, 9

YUAN Hao AUD136 Licensed Representative - Responsible Officer 6

ZHANG Wei AZN527 Licensed Representative - Responsible Officer 10

ZOVAK Skye Collier BHN959 Licensed Representative - Responsible Officer 9

ALMEIDA Cristy AUA663 Licensed Representative (Provisional Licence) 1, 2

ALTERMAN Valeriia BND296 Licensed Representative (Provisional Licence) 1, 2, 7

ARORA Anvita BMY515 Licensed Representative (Provisional Licence) 1, 4, 6

ASHWORTH Henry Thomas BMX509 Licensed Representative (Provisional Licence) 1, 4, 9

AU Hoi Tin AXM285 Licensed Representative (Provisional Licence) 1, 2

AYMARD Anna Cecile Angeline BNB414 Licensed Representative (Provisional Licence) 1, 2, 4, 5

BAILEY David Lloyd BNC016 Licensed Representative (Provisional Licence) 4

BARLOW Michele Anne AJE675 Licensed Representative (Provisional Licence) 1, 4, 5, 9

BOLDUC Anne-Julie BMP069 Licensed Representative (Provisional Licence) 1, 2

BRAKENRIDGE Natassia Jaide BCH543 Licensed Representative (Provisional Licence) 1, 4, 9

CAI Bingqing BMZ585 Licensed Representative (Provisional Licence) 1, 6

CAI Linting BMX908 Licensed Representative (Provisional Licence) 1, 6

CAO Weiliang BMZ620 Licensed Representative (Provisional Licence) 1, 6

CHAK Sum Chi BNC756 Licensed Representative (Provisional Licence) 1, 2, 7

CHAN Anson Tsz Chung BNC141 Licensed Representative (Provisional Licence) 1, 6

CHAN Ching BEO762 Licensed Representative (Provisional Licence) 1, 4

CHAN Chun Hang BNB251 Licensed Representative (Provisional Licence) 1, 2

Page 10 of 20

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 07/2018

CE Name CE No. Licence Type Types of Regulated Activity

CHAN Fabian Cheuk Hin AQG810 Licensed Representative (Provisional Licence) 1, 2

CHAN Hin Man BNC158 Licensed Representative (Provisional Licence) 1

CHAN Hiu Yan BDY283 Licensed Representative (Provisional Licence) 1, 6

CHAN Hoi Chun BNC181 Licensed Representative (Provisional Licence) 1, 4, 6

CHAN Jonathan Chung BNB925 Licensed Representative (Provisional Licence) 1, 4, 9

CHAN Kak Chi BNE795 Licensed Representative (Provisional Licence) 4, 9

CHAN Kam Ming Eric BMX490 Licensed Representative (Provisional Licence) 1, 4

CHAN Kin Wai Philip AGU694 Licensed Representative (Provisional Licence) 1, 2

CHAN Kit Ying ARE706 Licensed Representative (Provisional Licence) 1

CHAN Ngan Fei BMY341 Licensed Representative (Provisional Licence) 1

CHAN Shu Tim BND340 Licensed Representative (Provisional Licence) 4, 9

CHAN Tim Yu BNA686 Licensed Representative (Provisional Licence) 1, 4, 9

CHAN TING KWONG BNC132 Licensed Representative (Provisional Licence) 1, 6

CHAN Yau Ling, Connie AZH738 Licensed Representative (Provisional Licence) 1

CHAN Yip Lai AML609 Licensed Representative (Provisional Licence) 1

CHANG Jo-Peng BMX590 Licensed Representative (Provisional Licence) 1, 4, 5

CHANG Kevin Wang BNB531 Licensed Representative (Provisional Licence) 1

CHAU Betsy Sarah Wing Yee BMY763 Licensed Representative (Provisional Licence) 1

CHAU Ka Chun Stephen BMY690 Licensed Representative (Provisional Licence) 1, 4

CHAU On Yi BNB244 Licensed Representative (Provisional Licence) 1, 6

CHEN Chengchieh BNC712 Licensed Representative (Provisional Licence) 1

CHEN Meng BMV926 Licensed Representative (Provisional Licence) 4

CHEN Szu-Wei AWO626 Licensed Representative (Provisional Licence) 1, 4

CHEN Tao BMY023 Licensed Representative (Provisional Licence) 6

CHEN Xiaoqing BMW806 Licensed Representative (Provisional Licence) 1, 6

CHEN Yingjie BMZ418 Licensed Representative (Provisional Licence) 9

CHEN Zhehui BMW891 Licensed Representative (Provisional Licence) 6

CHEN Zihao BNB913 Licensed Representative (Provisional Licence) 4, 9

CHEN Ziming BMX426 Licensed Representative (Provisional Licence) 1, 4, 9

CHENG Hung, Eric BAY062 Licensed Representative (Provisional Licence) 1, 4

CHENG Xi BNC316 Licensed Representative (Provisional Licence) 1

CHEUN Wan Foon BNC094 Licensed Representative (Provisional Licence) 1

CHEUNG Chi Ho, Ricky BNB785 Licensed Representative (Provisional Licence) 4

CHIM Bik Shan BNA759 Licensed Representative (Provisional Licence) 1

CHIU Po-ju BJD825 Licensed Representative (Provisional Licence) 1

CHOI Joseph BND625 Licensed Representative (Provisional Licence) 1, 2

CHOI Wai Wan BNB655 Licensed Representative (Provisional Licence) 1

CHOW Sau Yee BMY925 Licensed Representative (Provisional Licence) 1, 2

CHOW Yuk Hei Christopher BNB199 Licensed Representative (Provisional Licence) 1

CHOY Hoi Yan APX164 Licensed Representative (Provisional Licence) 4, 9

CHU Chun Wa BMX722 Licensed Representative (Provisional Licence) 1, 2, 4

CHUANG King Hing BMZ587 Licensed Representative (Provisional Licence) 1, 6

CHUI Mei BNB931 Licensed Representative (Provisional Licence) 1

CHUI Siu Ming BMX409 Licensed Representative (Provisional Licence) 2, 5

CHUNG King Man, Carmen ASD321 Licensed Representative (Provisional Licence) 1

CHUNG Sau Lai AOV151 Licensed Representative (Provisional Licence) 1, 2

Page 11 of 20

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 07/2018

CE Name CE No. Licence Type Types of Regulated Activity

DENG Jiejin BNC664 Licensed Representative (Provisional Licence) 1, 2

DONG Siying BNB214 Licensed Representative (Provisional Licence) 1

DONG Wei BMR596 Licensed Representative (Provisional Licence) 4, 9

DONG Xiaoxuan BMY834 Licensed Representative (Provisional Licence) 4, 9

DOUKAS Jason Andrew BND023 Licensed Representative (Provisional Licence) 1, 2

FANG Wei BNB235 Licensed Representative (Provisional Licence) 1, 4, 9

FANG Zhou BMX687 Licensed Representative (Provisional Licence) 2

FENG Jerry Dongdong BAD301 Licensed Representative (Provisional Licence) 9

FOK Shuang Hong Shan Cie BDK993 Licensed Representative (Provisional Licence) 1

FU Bo BMW887 Licensed Representative (Provisional Licence) 6

FUJINO Hayato BMV668 Licensed Representative (Provisional Licence) 1

GAN Tian BNC404 Licensed Representative (Provisional Licence) 1, 2

GAO Jiamin BMY831 Licensed Representative (Provisional Licence) 1, 4, 6

GAO Wei BER852 Licensed Representative (Provisional Licence) 1, 4

GAO Xiang BKV988 Licensed Representative (Provisional Licence) 4

GARRETT Michael Jonathan BNB762 Licensed Representative (Provisional Licence) 1, 2, 4

GE Xiaopeng BMX551 Licensed Representative (Provisional Licence) 9

GORDON Glen AWT838 Licensed Representative (Provisional Licence) 1

GU Shuopeng BJW732 Licensed Representative (Provisional Licence) 4

HAHESY Mark Francis BNC459 Licensed Representative (Provisional Licence) 1, 6

HAMIDJAJA Sastra BMX948 Licensed Representative (Provisional Licence) 4

HAN Tianting BMW876 Licensed Representative (Provisional Licence) 4, 9

HAN Wenfei BND515 Licensed Representative (Provisional Licence) 1, 4, 6

HANDS Penelope Clare BNC248 Licensed Representative (Provisional Licence) 9

HE Diana Liu BEW504 Licensed Representative (Provisional Licence) 4, 9

HE Rui BNC933 Licensed Representative (Provisional Licence) 1, 4, 9

HO Mei Yan BNA756 Licensed Representative (Provisional Licence) 9

HO Wai Ka BMZ597 Licensed Representative (Provisional Licence) 1

HOU Hongyan ARR885 Licensed Representative (Provisional Licence) 1, 2, 4

HSU SHUHUI BMX706 Licensed Representative (Provisional Licence) 1, 2

HU Shazhou BAO735 Licensed Representative (Provisional Licence) 1, 2, 4, 9

HU Yichen BMW892 Licensed Representative (Provisional Licence) 1, 4, 9

HU Yue BNC870 Licensed Representative (Provisional Licence) 1, 4, 9

HUANG Hannah BNB451 Licensed Representative (Provisional Licence) 1, 4, 6

HUANG Jiaqi BMX516 Licensed Representative (Provisional Licence) 1, 4, 6

HUANG Li Shen BNB238 Licensed Representative (Provisional Licence) 10

HUANG TE LI BMW933 Licensed Representative (Provisional Licence) 1

HUANG Wenjun AUT504 Licensed Representative (Provisional Licence) 1, 4

HUANG Yu Lin BNB814 Licensed Representative (Provisional Licence) 1

HUANG Zi Le BMW886 Licensed Representative (Provisional Licence) 6

HUI Bosco Tien Ruey AXS635 Licensed Representative (Provisional Licence) 1, 4, 6

HUI Hon Ho BMX394 Licensed Representative (Provisional Licence) 4

HUNG Wing Yin BMZ640 Licensed Representative (Provisional Licence) 1, 4

IP Ka Fai BNB163 Licensed Representative (Provisional Licence) 6

IP Tik Hin BMZ466 Licensed Representative (Provisional Licence) 1

IRELAND Peter Aaron Joseph ASM050 Licensed Representative (Provisional Licence) 1

Page 12 of 20

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 07/2018

CE Name CE No. Licence Type Types of Regulated Activity

JACOB Philip Theverkattil BMO077 Licensed Representative (Provisional Licence) 1, 2

JI Diying BNC702 Licensed Representative (Provisional Licence) 4

JIA Kaiyuan BNC057 Licensed Representative (Provisional Licence) 1, 4, 6

JIANG Gen BMY667 Licensed Representative (Provisional Licence) 2

JIANG Shan BND308 Licensed Representative (Provisional Licence) 1, 4, 6

JIRARI Mohamed El Hadi BCT641 Licensed Representative (Provisional Licence) 1, 2

JUNG Bo Young BNC060 Licensed Representative (Provisional Licence) 1, 4, 9

JUNG Haemin BNB427 Licensed Representative (Provisional Licence) 1, 6

KAM Wai Hin BNB169 Licensed Representative (Provisional Licence) 1, 6

KAN Wai Pong APC204 Licensed Representative (Provisional Licence) 1

KANAN Rugsit BMY517 Licensed Representative (Provisional Licence) 1, 4

KANG Ran BMX610 Licensed Representative (Provisional Licence) 1, 4, 6

KELLER Gottlieb Jeremy BMY649 Licensed Representative (Provisional Licence) 1, 2

KHOR Yen BMZ461 Licensed Representative (Provisional Licence) 1, 4

KIM Min Jung BNC085 Licensed Representative (Provisional Licence) 1, 2

KO Richard Guanlin AUQ665 Licensed Representative (Provisional Licence) 1

KO Tin Chun Daryl BND354 Licensed Representative (Provisional Licence) 1

KOH Selene, Su Lin BNC001 Licensed Representative (Provisional Licence) 1

KONG Yi Lan BNF333 Licensed Representative (Provisional Licence) 1, 4, 9

KU Man Sai BNB164 Licensed Representative (Provisional Licence) 1, 2

KUDO Kento BMY321 Licensed Representative (Provisional Licence) 1, 2, 4, 5

KWAN Chi Ying BMZ601 Licensed Representative (Provisional Licence) 1, 2

KWAN Curtis Chung Lun BNB558 Licensed Representative (Provisional Licence) 9

KWOK Chun BNC956 Licensed Representative (Provisional Licence) 1, 6

KWOK Suet Ying Lily Vanessa BAN067 Licensed Representative (Provisional Licence) 4

KWONG Cho Ho BMW917 Licensed Representative (Provisional Licence) 1, 4, 6

LACHMAN Sweeney BMW433 Licensed Representative (Provisional Licence) 4, 9

LAI Chun Hei BIV412 Licensed Representative (Provisional Licence) 1, 2

LAI Ka Man, Clement AYO988 Licensed Representative (Provisional Licence) 4

LAI Wa Hing AWD940 Licensed Representative (Provisional Licence) 1, 2

LAI Yuying BNC871 Licensed Representative (Provisional Licence) 1, 4, 9

LAM Ka Toi BMA528 Licensed Representative (Provisional Licence) 1

LAM Sze Yu BMW930 Licensed Representative (Provisional Licence) 4

LAM Yik Yan Avis BNC265 Licensed Representative (Provisional Licence) 1, 2

LANCE Robert Waldo AEL830 Licensed Representative (Provisional Licence) 9

LAU Cheuk Yan BNC055 Licensed Representative (Provisional Licence) 1, 2

LAU Ho Fung Alan BNB202 Licensed Representative (Provisional Licence) 1, 6

LAU Siu Hang Ryan BNC740 Licensed Representative (Provisional Licence) 1, 4, 9

LAU Sze Man BND380 Licensed Representative (Provisional Licence) 1, 6

LAU Wing Ki BMX753 Licensed Representative (Provisional Licence) 1, 2

LAW Wai Kwan BMY694 Licensed Representative (Provisional Licence) 1

LEE Brendan AXD882 Licensed Representative (Provisional Licence) 1

LEE Ho Lun, Eros BMY784 Licensed Representative (Provisional Licence) 1

LEE Kenneth Sean BNC236 Licensed Representative (Provisional Licence) 1, 4

LEE Man Kit, Peter AYV999 Licensed Representative (Provisional Licence) 1, 4, 6

LEE Oi Suen AXZ054 Licensed Representative (Provisional Licence) 4, 9

Page 13 of 20

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 07/2018

CE Name CE No. Licence Type Types of Regulated Activity

LEE Shing Kong Daniel BND667 Licensed Representative (Provisional Licence) 1, 4

LEE Yee Ki Florence BNB699 Licensed Representative (Provisional Licence) 9

LEE Yun Hong BMY557 Licensed Representative (Provisional Licence) 1, 2

LEUNG Ho Kwan, Belle ANV027 Licensed Representative (Provisional Licence) 1, 2, 3

LEUNG Ho Lun BMX572 Licensed Representative (Provisional Licence) 1

LEUNG Hoi Ting BMY685 Licensed Representative (Provisional Licence) 1, 4

LEUNG Hung Piu AJF234 Licensed Representative (Provisional Licence) 9

LEUNG Wing Yip ARU731 Licensed Representative (Provisional Licence) 1

LEUNG Yat Ying BMX535 Licensed Representative (Provisional Licence) 1

LEUNG Yee Ming, Luxthew AND667 Licensed Representative (Provisional Licence) 1, 2, 7

LI Amanda Haixi BNB291 Licensed Representative (Provisional Licence) 9

LI Chunli BNC271 Licensed Representative (Provisional Licence) 1, 2

LI Jia ATO453 Licensed Representative (Provisional Licence) 1, 6

LI Jiadai BFG345 Licensed Representative (Provisional Licence) 4

LI Jiaying BNB932 Licensed Representative (Provisional Licence) 4, 6

LI Jing BMY788 Licensed Representative (Provisional Licence) 4, 9

LI Mei Yen BNA728 Licensed Representative (Provisional Licence) 1, 4, 9

LI Qian BNC317 Licensed Representative (Provisional Licence) 1, 2, 4

LI Shiyin BMW961 Licensed Representative (Provisional Licence) 1, 4, 6

LI Weiwei BMY857 Licensed Representative (Provisional Licence) 1, 4

LI Yan BNB207 Licensed Representative (Provisional Licence) 1, 4

LI Yuen Chuk BCC107 Licensed Representative (Provisional Licence) 1

LI Yuen Yan BNB380 Licensed Representative (Provisional Licence) 2, 5

LIANG Ruichao BNC396 Licensed Representative (Provisional Licence) 1, 4, 9

LIANG Runan BMW888 Licensed Representative (Provisional Licence) 6

LIAO Zicheng BNC493 Licensed Representative (Provisional Licence) 1, 4

LIN Michelle Chia-Hsing AUW242 Licensed Representative (Provisional Licence) 1, 6

LIN Xiaorong BNB435 Licensed Representative (Provisional Licence) 6

LIU Boying BNC925 Licensed Representative (Provisional Licence) 1, 6

LIU Chak Ming ARI016 Licensed Representative (Provisional Licence) 1, 4

LIU Congmei BMX429 Licensed Representative (Provisional Licence) 1

LIU Jie BND286 Licensed Representative (Provisional Licence) 1, 4, 9

LIU Sean Meng-hsiung ADJ311 Licensed Representative (Provisional Licence) 1

LIU Xiaoshu BNC152 Licensed Representative (Provisional Licence) 1, 4

LIU Yanhong BNC485 Licensed Representative (Provisional Licence) 4

LIU Yi BMY456 Licensed Representative (Provisional Licence) 1

LIU Yuchen BNC426 Licensed Representative (Provisional Licence) 9

LIU Zijia BNB246 Licensed Representative (Provisional Licence) 1, 2, 4

LOONG Pui Fung, Andrew BBL264 Licensed Representative (Provisional Licence) 1, 4, 6

LOU Anping BMW885 Licensed Representative (Provisional Licence) 6

LU Jie AZO988 Licensed Representative (Provisional Licence) 1, 6

LUK Yin Ting, Maggie BNC378 Licensed Representative (Provisional Licence) 9

LUKASZEWSKI Paul Adam BKI133 Licensed Representative (Provisional Licence) 1

LUN Choi Yee BNB379 Licensed Representative (Provisional Licence) 1, 4, 9

LUO Difei BNC831 Licensed Representative (Provisional Licence) 1, 2, 4

LYU Yujie BMQ025 Licensed Representative (Provisional Licence) 1

Page 14 of 20

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 07/2018

CE Name CE No. Licence Type Types of Regulated Activity

MA Taoran BFK967 Licensed Representative (Provisional Licence) 1

MA Xin BMZ658 Licensed Representative (Provisional Licence) 6

MAGNENAT Vincent Marcel BLI472 Licensed Representative (Provisional Licence) 1, 4, 9

MAK Ka Chun BNC741 Licensed Representative (Provisional Licence) 1, 4, 6

MARTIN Russell James Westcott BNA979 Licensed Representative (Provisional Licence) 1, 2

MERNER Ken Tokugawa BLO977 Licensed Representative (Provisional Licence) 1

MIYASHIRO Joe BNB686 Licensed Representative (Provisional Licence) 1

MOLE Harvey Edward BNC224 Licensed Representative (Provisional Licence) 1, 4

NG Hoi Yau, Nigel BNA758 Licensed Representative (Provisional Licence) 1, 2, 3, 4

NG Kwok Chun ACE525 Licensed Representative (Provisional Licence) 1, 4

NG Lay Hung BGK910 Licensed Representative (Provisional Licence) 1

NG Siu Hong BCK507 Licensed Representative (Provisional Licence) 1, 6

NG Wing Sze, Grace AGW637 Licensed Representative (Provisional Licence) 4, 9

NGUYEN Cecile Thanh BNB502 Licensed Representative (Provisional Licence) 1

NI Jiawei BNB430 Licensed Representative (Provisional Licence) 9

NI Mengjiao BMW396 Licensed Representative (Provisional Licence) 1, 6

NIE Lianqi BNC737 Licensed Representative (Provisional Licence) 1, 4, 6

OKANO Ryuta AWV082 Licensed Representative (Provisional Licence) 1, 2

O'SHAUGHNESSY Calvin John BMV914 Licensed Representative (Provisional Licence) 6

OYOSHI Kazuhiro AXI226 Licensed Representative (Provisional Licence) 9

PANG Bo BNC701 Licensed Representative (Provisional Licence) 4

PARWATE Chetan BMC490 Licensed Representative (Provisional Licence) 1, 2

PATHMAKANTHAN Shrianand ANZ816 Licensed Representative (Provisional Licence) 4

PENG Baozhu BNC965 Licensed Representative (Provisional Licence) 1, 6

PLEBANI Gian Arard BNB394 Licensed Representative (Provisional Licence) 1, 4, 9

POERWANTO Sharon Christine ARD330 Licensed Representative (Provisional Licence) 1

POON Dick Lam AMX565 Licensed Representative (Provisional Licence) 9

POUV Stelyne Anais BNB153 Licensed Representative (Provisional Licence) 1, 4

QI Xiaoyue BNB071 Licensed Representative (Provisional Licence) 1, 4

QIN Ling BES140 Licensed Representative (Provisional Licence) 4, 9

QIN Wei BMZ613 Licensed Representative (Provisional Licence) 1, 4, 6

QIN Yu BNC581 Licensed Representative (Provisional Licence) 1, 4, 6

QIU Tong BMY618 Licensed Representative (Provisional Licence) 1, 2, 4

QU Neng BNB074 Licensed Representative (Provisional Licence) 1, 4, 9

RONNEBERGER Robert BNB263 Licensed Representative (Provisional Licence) 1, 4, 9

ROYCHOUDHURY Shashwat BNE860 Licensed Representative (Provisional Licence) 1, 2

SACCO Alexander David BMH784 Licensed Representative (Provisional Licence) 1, 2, 7

SAKURAI Makoto BMW883 Licensed Representative (Provisional Licence) 1

SASAKI Tsubasa BFA015 Licensed Representative (Provisional Licence) 1

SATCHWELL Richard James BMW344 Licensed Representative (Provisional Licence) 1, 6

SHAKIR-KHALIL Oliver BNA742 Licensed Representative (Provisional Licence) 1

SHEN Xuhua BNB839 Licensed Representative (Provisional Licence) 1, 2, 7

SHI Beiying BNB386 Licensed Representative (Provisional Licence) 10

SHIH Kai-Sheng BNB860 Licensed Representative (Provisional Licence) 1

SHIMADA Satomi AJB419 Licensed Representative (Provisional Licence) 4, 9

SIN Chi Ho BLW771 Licensed Representative (Provisional Licence) 1

Page 15 of 20

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 07/2018

CE Name CE No. Licence Type Types of Regulated Activity

SIU Wing Yi AUW773 Licensed Representative (Provisional Licence) 1, 2

SONG Miao BNB002 Licensed Representative (Provisional Licence) 1

SOON Wen Yen BND516 Licensed Representative (Provisional Licence) 1, 4, 6

SQUIRE Benjamin Donald BNB400 Licensed Representative (Provisional Licence) 1, 4

STANSFIELD Michael A BNB768 Licensed Representative (Provisional Licence) 1, 4

SU Shouchun APO580 Licensed Representative (Provisional Licence) 1, 2

SUN Kin Kong, James AFT382 Licensed Representative (Provisional Licence) 1, 2, 4

SUN Peilun BNC586 Licensed Representative (Provisional Licence) 1, 6

SUSEL Zachary Swid BMV524 Licensed Representative (Provisional Licence) 1

SZE Wing Ka Sherryn BNC276 Licensed Representative (Provisional Licence) 1

TADADEJ Monsicha BND310 Licensed Representative (Provisional Licence) 9

TAM Hui Fai BMQ329 Licensed Representative (Provisional Licence) 1, 9

TAM Tin Yik, Timmy BNB048 Licensed Representative (Provisional Licence) 1

TAN Li Wei BNB804 Licensed Representative (Provisional Licence) 9

TANG Jieqiong BMR839 Licensed Representative (Provisional Licence) 2

TANG Lai Ping BMY550 Licensed Representative (Provisional Licence) 1

TAO Xiaozhuo BES969 Licensed Representative (Provisional Licence) 1, 4, 6

THEULIER Jean Yves Lucien BMX519 Licensed Representative (Provisional Licence) 1, 6

TONG Jason C Y BNC826 Licensed Representative (Provisional Licence) 6

TOSHNIWAL Harshit BNC364 Licensed Representative (Provisional Licence) 4

TRACY Alec Peter BMV299 Licensed Representative (Provisional Licence) 1, 4, 9

TSAI Chia-Chun BNC020 Licensed Representative (Provisional Licence) 1

TSANG Cheuk Ho BNB635 Licensed Representative (Provisional Licence) 9

TSANG ying ying janette BND425 Licensed Representative (Provisional Licence) 1

TSE Yan Kei AVL288 Licensed Representative (Provisional Licence) 1, 4, 6

TSOI Yat Fei BNC149 Licensed Representative (Provisional Licence) 1, 2

VARGHESE Shinoy BGU248 Licensed Representative (Provisional Licence) 10

VISEN Shaurya Pratap Singh BND225 Licensed Representative (Provisional Licence) 1, 4

VU Wheelock BMY935 Licensed Representative (Provisional Licence) 1, 4

WAN Hing Fung BNE429 Licensed Representative (Provisional Licence) 1, 9

WAN Yufeng BNC890 Licensed Representative (Provisional Licence) 1, 4

WANG Bingran BNB856 Licensed Representative (Provisional Licence) 1, 6

WANG Bixuan BND228 Licensed Representative (Provisional Licence) 1, 4

WANG Charles BNA739 Licensed Representative (Provisional Licence) 1, 2

WANG Ningchuan BNC634 Licensed Representative (Provisional Licence) 9

WANG Pengcheng BNA735 Licensed Representative (Provisional Licence) 1

WANG Rui BMW897 Licensed Representative (Provisional Licence) 6

WANG Wei BMU938 Licensed Representative (Provisional Licence) 1, 4, 6

WANG Yong AXW461 Licensed Representative (Provisional Licence) 9

WANG Zhi Yu BMW825 Licensed Representative (Provisional Licence) 1, 6

WEBB Anthony Patrick BGI051 Licensed Representative (Provisional Licence) 1, 2

WILTON Alexander Steven BMY738 Licensed Representative (Provisional Licence) 1, 2

WONG Cheuk Wai ASG163 Licensed Representative (Provisional Licence) 4

WONG Chi Chung BMY699 Licensed Representative (Provisional Licence) 3

WONG Ho Lap BNB198 Licensed Representative (Provisional Licence) 1

WONG Joyan Priscilla AVJ285 Licensed Representative (Provisional Licence) 6

Page 16 of 20

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 07/2018

CE Name CE No. Licence Type Types of Regulated Activity

WONG Man Sze BND638 Licensed Representative (Provisional Licence) 1

WONG Ngan Fun Kelvin BNB167 Licensed Representative (Provisional Licence) 9

WONG Sat Pan Sdanty AXZ190 Licensed Representative (Provisional Licence) 1

WONG Yuk Sha BLI523 Licensed Representative (Provisional Licence) 1

WOO Chong Keung, Wallace ABX326 Licensed Representative (Provisional Licence) 1, 4, 9

WU Danchen BNC422 Licensed Representative (Provisional Licence) 1, 4

WU Stella Xueyao BDJ451 Licensed Representative (Provisional Licence) 1, 4

WU Yilong BNE752 Licensed Representative (Provisional Licence) 1, 4, 9

XIE Zhimin BMW575 Licensed Representative (Provisional Licence) 1, 2

XU Dan BMV224 Licensed Representative (Provisional Licence) 1, 4, 6

XU Man BDT171 Licensed Representative (Provisional Licence) 1, 4, 6

XU NAN BNC136 Licensed Representative (Provisional Licence) 1, 4, 6

XU Tong BNB656 Licensed Representative (Provisional Licence) 1, 2

XU Zijian BNB209 Licensed Representative (Provisional Licence) 1, 6

XU Zuoyang BNB165 Licensed Representative (Provisional Licence) 1, 4, 6

YABE Ryota BMV303 Licensed Representative (Provisional Licence) 1, 2

YAMAZAKI Mie BMW881 Licensed Representative (Provisional Licence) 1

YAN Lili BMR579 Licensed Representative (Provisional Licence) 1

YAN Yik Kan BMX892 Licensed Representative (Provisional Licence) 1

YAN Yui Ham BMX954 Licensed Representative (Provisional Licence) 6

YANG Feng Sou BNC240 Licensed Representative (Provisional Licence) 1, 2

YANG Haishan BNB765 Licensed Representative (Provisional Licence) 1

YANG Keyang BHD228 Licensed Representative (Provisional Licence) 1

YANG Shu Ching BLK646 Licensed Representative (Provisional Licence) 1

YANG Shu-Wei BNB885 Licensed Representative (Provisional Licence) 4

YANG Wenfan BNC296 Licensed Representative (Provisional Licence) 1, 4, 9

YAU Ching Yeung BND332 Licensed Representative (Provisional Licence) 1, 4

YE Lushan BNC837 Licensed Representative (Provisional Licence) 1, 4, 6

YE Nan BMZ444 Licensed Representative (Provisional Licence) 1, 4, 9

YEP Hing Leung BAV215 Licensed Representative (Provisional Licence) 1, 4

YEUNG Chi Hin BLF409 Licensed Representative (Provisional Licence) 9

YIN Fangfei BMY612 Licensed Representative (Provisional Licence) 1, 4

YONE Mayuko BMV897 Licensed Representative (Provisional Licence) 1, 2

YOUNG Tsun Mun BNC155 Licensed Representative (Provisional Licence) 9

YU Hua Shen AON773 Licensed Representative (Provisional Licence) 1, 4, 9

YU Ka Wai AIC879 Licensed Representative (Provisional Licence) 1, 2

YU Man Sze BNE611 Licensed Representative (Provisional Licence) 1, 4, 9

YU Wing Kin BGX106 Licensed Representative (Provisional Licence) 1, 4

YU Yang BNC051 Licensed Representative (Provisional Licence) 1, 6

YU Yi BNC535 Licensed Representative (Provisional Licence) 4

YUAN Yongyi BMZ419 Licensed Representative (Provisional Licence) 1

YUE Siming BMR890 Licensed Representative (Provisional Licence) 1, 6

YUEN Pik Yuk Joyce BND416 Licensed Representative (Provisional Licence) 1

ZENG Aizhen BNA753 Licensed Representative (Provisional Licence) 1, 2

ZENG Siyu BNC150 Licensed Representative (Provisional Licence) 1, 4

ZHANG An BNA995 Licensed Representative (Provisional Licence) 4

Page 17 of 20

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 07/2018

CE Name CE No. Licence Type Types of Regulated Activity

ZHANG Chen BMY549 Licensed Representative (Provisional Licence) 1, 4, 6

ZHANG Jing BMV808 Licensed Representative (Provisional Licence) 1, 6

ZHANG Jingjing BNB377 Licensed Representative (Provisional Licence) 6

ZHANG Lihang BNA727 Licensed Representative (Provisional Licence) 1, 4

ZHANG Luoxi BMX569 Licensed Representative (Provisional Licence) 1, 4, 6

ZHANG Xiaobin BIR046 Licensed Representative (Provisional Licence) 1, 4, 6

ZHANG Yijian BND815 Licensed Representative (Provisional Licence) 1, 4

ZHEN Zeyu BND377 Licensed Representative (Provisional Licence) 1

ZHENG Yufeng BMX457 Licensed Representative (Provisional Licence) 1

ZHENG Zelin BNC343 Licensed Representative (Provisional Licence) 4, 9

ZHONG Jianjun BMX958 Licensed Representative (Provisional Licence) 4, 9

ZHONG Wusijie BNC738 Licensed Representative (Provisional Licence) 4, 9

ZHOU Congyun BNC442 Licensed Representative (Provisional Licence) 10

ZHOU Jie BMT492 Licensed Representative (Provisional Licence) 10

ZHOU Qicong BMZ652 Licensed Representative (Provisional Licence) 1, 4, 9

ZHOU Xinyuan BNC148 Licensed Representative (Provisional Licence) 1, 4

ZHOU Yi BMT586 Licensed Representative (Provisional Licence) 1, 4, 9

ZHOU Yuyun BNB359 Licensed Representative (Provisional Licence) 9

ZHU Yiman BMW890 Licensed Representative (Provisional Licence) 6

ZHUANG Yuewen BNB966 Licensed Representative (Provisional Licence) 1

ZOU Mengtong BNC596 Licensed Representative (Provisional Licence) 1, 6

ALBERS Marie Caroline BMZ599 Licensed Representative (Temporary Licence) 1

ANG Sok Han BLF878 Licensed Representative (Temporary Licence) 1

ARNOLD Deryck Adrian BIL911 Licensed Representative (Temporary Licence) 1

ARORA Rohit ART681 Licensed Representative (Temporary Licence) 4

BAE Christopher Thomas AQI792 Licensed Representative (Temporary Licence) 1, 4

BALASUBRAMANIAM Venkatesh BDT263 Licensed Representative (Temporary Licence) 4

BECKER William Joseph BAI191 Licensed Representative (Temporary Licence) 1

BERRY Lauren Anne BNF251 Licensed Representative (Temporary Licence) 4

BEVEVINO Zach Barton BNC709 Licensed Representative (Temporary Licence) 1, 4

BLIEBENICHT Meike BNC875 Licensed Representative (Temporary Licence) 1

BOWLER Benjamin Latimer BNF008 Licensed Representative (Temporary Licence) 4

CHAN Simon Yuk Kwan BCT212 Licensed Representative (Temporary Licence) 4

CHEN Mengxia BLM904 Licensed Representative (Temporary Licence) 10

CHEN Xinchen BMT453 Licensed Representative (Temporary Licence) 6

CHIA Liting Michelle BNG518 Licensed Representative (Temporary Licence) 4

CHO Chulhee BEX932 Licensed Representative (Temporary Licence) 4

CHOI Eric BDH357 Licensed Representative (Temporary Licence) 4

CHOI Minha BFC667 Licensed Representative (Temporary Licence) 4

CHUA Minguang Donald BEF380 Licensed Representative (Temporary Licence) 4

DAWSON James BCA004 Licensed Representative (Temporary Licence) 1

DIANA Luciano BDL289 Licensed Representative (Temporary Licence) 1

DIDELOT Nicolas Mathieu BHO975 Licensed Representative (Temporary Licence) 1, 4

DUFF Thomas Hunter BJU626 Licensed Representative (Temporary Licence) 1, 4

EDELY Nils Antoine BNF535 Licensed Representative (Temporary Licence) 1, 2

ENOMOTO Takashi BAZ545 Licensed Representative (Temporary Licence) 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 07/2018

CE Name CE No. Licence Type Types of Regulated Activity

EZAWA Kota BDY402 Licensed Representative (Temporary Licence) 4

FOSTER Derek Patrick Jack ARU732 Licensed Representative (Temporary Licence) 1, 2

FU Yunjie, Desmond BNC600 Licensed Representative (Temporary Licence) 1

GUO Yifan BNG244 Licensed Representative (Temporary Licence) 4

GUPTA Shivang BHY492 Licensed Representative (Temporary Licence) 1, 2

HARRISON Leigh Peter BNF928 Licensed Representative (Temporary Licence) 1

HASHIMOTO Takashi BIJ499 Licensed Representative (Temporary Licence) 4

HEIDARZADEH PASHA Pouya BNF977 Licensed Representative (Temporary Licence) 1, 2

HERBIG MARCUS BNF111 Licensed Representative (Temporary Licence) 1, 4

HIRAKAWA Mikio BBT553 Licensed Representative (Temporary Licence) 4

HIROSE (KUWAHARA) Akiko AOB564 Licensed Representative (Temporary Licence) 4

HOLLAND Greg Anthony BMQ913 Licensed Representative (Temporary Licence) 1, 4

HOMAN Daniel Thomas Fox BJU733 Licensed Representative (Temporary Licence) 4

JAMES Kerry Ann BNA780 Licensed Representative (Temporary Licence) 1

JOSEPH Arvin Sabu BLP059 Licensed Representative (Temporary Licence) 1

KABRA Manish Jitendra BHI967 Licensed Representative (Temporary Licence) 4

KANAI Kenji BKW765 Licensed Representative (Temporary Licence) 4

KANG Daniel BIF088 Licensed Representative (Temporary Licence) 4

KANG Puay Ju BJB545 Licensed Representative (Temporary Licence) 1

KARIA Shamil BLJ719 Licensed Representative (Temporary Licence) 1

KELLY BMT541 Licensed Representative (Temporary Licence) 1, 4

KURIBARA Hideaki BHW526 Licensed Representative (Temporary Licence) 4

KUZMIN Igor BNE940 Licensed Representative (Temporary Licence) 1, 4

KWOK Tai-Yip BMV273 Licensed Representative (Temporary Licence) 1, 4, 6

LEE Tien Soon BJT065 Licensed Representative (Temporary Licence) 1, 4

LEGGETT Thomas James BMY085 Licensed Representative (Temporary Licence) 1, 2

LIU Lan-Shin AVS373 Licensed Representative (Temporary Licence) 1

LOEWY Daniel Jay BEC626 Licensed Representative (Temporary Licence) 4

LOH Sin Niew BJC093 Licensed Representative (Temporary Licence) 1

LONG Christine Peck Hui BBJ037 Licensed Representative (Temporary Licence) 1, 2

MASDEA Michael Theodore BND570 Licensed Representative (Temporary Licence) 1, 4

MAYNARD Ian Robert BGR018 Licensed Representative (Temporary Licence) 1

MCCONVILLE Christopher Patrick BIN845 Licensed Representative (Temporary Licence) 1

MCNAMARA Michael Paul BND495 Licensed Representative (Temporary Licence) 1

MUNAKATA Minami BIX260 Licensed Representative (Temporary Licence) 4

NAIR Prashant Gopinathan BEN187 Licensed Representative (Temporary Licence) 4

NIHONYANAGI Kei BBP472 Licensed Representative (Temporary Licence) 4

NISHIHARA (CARLSEN) Martin Yusuke BMS644 Licensed Representative (Temporary Licence) 1

PUROHIT Amit Tarachand BNF212 Licensed Representative (Temporary Licence) 4

PUTRA Igor Nyoman BDR834 Licensed Representative (Temporary Licence) 4

RAMAKRISHNAN Karthik Narayan BMU958 Licensed Representative (Temporary Licence) 1

RASTOGI Abhishek AYB018 Licensed Representative (Temporary Licence) 1

RASTOGI Abhishek AYB018 Licensed Representative (Temporary Licence) 1

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

RICHARDS Christopher Harry BMY611 Licensed Representative (Temporary Licence) 1

ROMERO DE DIEGO Heliodoro Pedro BAX298 Licensed Representative (Temporary Licence) 1

Page 19 of 20

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 07/2018

CE Name CE No. Licence Type Types of Regulated Activity

RUDLAND Michael James BJD156 Licensed Representative (Temporary Licence) 1

SHAO Jiangchen BMU959 Licensed Representative (Temporary Licence) 1

SHERIDAN Eric James BER962 Licensed Representative (Temporary Licence) 4

SHUKLA Manish Bhupendra BKJ049 Licensed Representative (Temporary Licence) 4

SILVER Scott Ashley BMV393 Licensed Representative (Temporary Licence) 4

SIRIPASSORN Kritapas BDQ319 Licensed Representative (Temporary Licence) 4

STUBBS Jonathan James BNC792 Licensed Representative (Temporary Licence) 4

SUN MATTISON Linda Wu BBF677 Licensed Representative (Temporary Licence) 4

SUZUKI Takayuki AXL566 Licensed Representative (Temporary Licence) 1, 2

TAKAHASHI Kei AOQ614 Licensed Representative (Temporary Licence) 4

TAYAL Kunal BBL045 Licensed Representative (Temporary Licence) 4

THAKUR Satyam BNG483 Licensed Representative (Temporary Licence) 1, 4

THOMAS Frederic Francois Mathieu BJN830 Licensed Representative (Temporary Licence) 1

TIWARI Atul Kumar BDT253 Licensed Representative (Temporary Licence) 4

TOMLIN Owen ALI374 Licensed Representative (Temporary Licence) 1

VERAN Alexandre Pierre Henri BND351 Licensed Representative (Temporary Licence) 1, 2

WITZKE Jens Daniel BNE449 Licensed Representative (Temporary Licence) 1, 4

WONG Joshua Zhihao BLD957 Licensed Representative (Temporary Licence) 1

WONG Yii Hui BNH096 Licensed Representative (Temporary Licence) 1, 4

WOUTERS Anton Hendrik AXG009 Licensed Representative (Temporary Licence) 4

YAMASHITA Chihiro BNE474 Licensed Representative (Temporary Licence) 1

ZUBRINICH Kieran John ANQ331 Licensed Representative (Temporary Licence) 1

Page 20 of 20