removals of licensed persons/registered institutions during 12 ...

REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 12/2010CE Name CE No. Licence Type Types of Regulated ActivityAPAC Capital Advisors Limited ALB830 Licensed Corporation 9Cinda International Investment Consultant Limited AFD777 Licensed Corporation 4, 9Minerva Capital Management Limited ASX924 Licensed Corporation 9Peace Town Forex Limited ACK800 Licensed Corporation 3Standard & Poor's, LLC AIC760 Licensed Corporation 4, 5T. Rowe Price International, Inc. ABY663 Licensed Corporation 4, 9Thatcher Global Capital Limited AIO500 Licensed Corporation 4Wilfred T. Fry (Personal Financial Planning) Limited AAG474 Licensed Corporation 1, 4VTB Capital Plc ATY899 Licensed Corporation (Temporary Licence) 1AHMED Mohammad Mekail Enver Adil ASO723 Licensed Representative 1, 4, 6ANDREWS Scott Carter ASH792 Licensed Representative 1, 4AQUINO Nicole Liza AOS678 Licensed Representative 1, 2ASADA Norihiro ADS538 Licensed Representative 1ATWOOD Julia Bowen API075 Licensed Representative 1, 4, 6AU Kam Sang, Ebenezer AGQ482 Licensed Representative 4AU Sau Lan AFK799 Licensed Representative 4AU Siu Chung, Andy AMP254 Licensed Representative 4AU Tsui Ting APD361 Licensed Representative 4AU YEUNG Chun Lei AFK805 Licensed Representative 4AU YEUNG Mee King AFM023 Licensed Representative 4AU YEUNG Ming Yan AFK817 Licensed Representative 4AU YEUNG Tak Yau AQG764 Licensed Representative 1, 2AU Yee Chung, Antony AAY174 Licensed Representative 1, 2AU-YEUNG Tin Lung, Tino AVB806 Licensed Representative 1, 2BAKER Daniel Robert AOX581 Licensed Representative 4BANOMYONG Smith ASH979 Licensed Representative 1, 2BEHL Arminder Singh APM133 Licensed Representative 1, 4BERG Robert Scott AVD491 Licensed Representative 9BHATTACHARYA Gopal AUJ488 Licensed Representative 1BOJARSKI Justin Curtis AUT131 Licensed Representative 1, 2, 7BRADY Matthew Robert Murray ALH727 Licensed Representative 1BRAILEY Simon Geoffrey AVD351 Licensed Representative 1BURANAKIT Ponrawut APO982 Licensed Representative 1, 6CAO Min AVA087 Licensed Representative 4CHAKHTOURA Andree AUS130 Licensed Representative 1, 4, 6CHAKRABORTY Joydeep ASS640 Licensed Representative 1, 6CHALMERS David John APC390 Licensed Representative 1, 6

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 12/2010CE Name CE No. Licence Type Types of Regulated ActivityCHAN Bo Yin, Carries AFL180 Licensed Representative 4CHAN Chi Keung, Matthew AEO443 Licensed Representative 1, 2, 2, 7CHAN Chi Leung AQI851 Licensed Representative 4CHAN Chi Wai AOC794 Licensed Representative 4CHAN Ching To ALZ846 Licensed Representative 1CHAN Chiu Lun AFK827 Licensed Representative 4CHAN Chiu Yat AQZ722 Licensed Representative 1CHAN Chore Man, Germaine ALI039 Licensed Representative 1, 6CHAN Chun Ho ARE606 Licensed Representative 1, 4CHAN Chun Wah AFP809 Licensed Representative 4CHAN Chun Yip AUO102 Licensed Representative 1, 2, 3CHAN Chung Man ATI417 Licensed Representative 4CHAN Derek Kai Lek ADS911 Licensed Representative 1, 4, 5, 9CHAN Fung Yee ASP978 Licensed Representative 1CHAN Henry AVZ599 Licensed Representative 1, 2CHAN Iat Meng AVD353 Licensed Representative 1CHAN Ka Yeung ALF671 Licensed Representative 1, 2CHAN Kim Man AFM205 Licensed Representative 4CHAN Kin Sang APY699 Licensed Representative 1, 4CHAN Kit Ching AFU640 Licensed Representative 4CHAN Kit Ngan, Kitty AFK852 Licensed Representative 4CHAN Kwok Keung AFL079 Licensed Representative 4CHAN Lai Mui AFK859 Licensed Representative 4CHAN Lai Sum AQJ816 Licensed Representative 4CHAN Man Wah, Peter AFL078 Licensed Representative 4CHAN Ming Chun AQD965 Licensed Representative 1, 4CHAN Ping Kwong AFL077 Licensed Representative 4CHAN Po Kit AFK986 Licensed Representative 4CHAN Sau Lin AFM048 Licensed Representative 4CHAN Shuk Han Alice ASJ666 Licensed Representative 1, 4CHAN Suet Fun AFN705 Licensed Representative 4CHAN Suet Ying AIR609 Licensed Representative 1, 6CHAN Susan Shu Fun ATW487 Licensed Representative 1CHAN Tak Wa APH838 Licensed Representative 4CHAN Tak Wing ANL060 Licensed Representative 4CHAN Tat Wai AFS989 Licensed Representative 1, 2CHAN Wai Fook ARM567 Licensed Representative 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 12/2010CE Name CE No. Licence Type Types of Regulated ActivityCHAN Wai Mei, May AFM019 Licensed Representative 4CHAN Wai Mun AQL533 Licensed Representative 4CHAN Wai Ting ASZ352 Licensed Representative 4CHAN Wai Yin, Elaine AFT677 Licensed Representative 4CHAN Wing Mui AFM007 Licensed Representative 4CHAN Wing Tai, Michael ANY476 Licensed Representative 4CHAN Yak Seng, Alvin ASN681 Licensed Representative 4CHAN Yan Yu AFF922 Licensed Representative 1, 3CHAN Yin King, Ellice AFM004 Licensed Representative 4CHAN Yuk King ASE921 Licensed Representative 4CHAN Yuk Ting Angeline ARF797 Licensed Representative 4CHANG Hsien-Chun APO868 Licensed Representative 1, 4CHANG Jason AOR636 Licensed Representative 1, 2, 5CHANG Joseph Chau ART436 Licensed Representative 1, 4, 6CHANG Kai-Chieh AQA628 Licensed Representative 9CHANG Kwok Hong AFL252 Licensed Representative 4CHANG Yee Mai, Yvonne APH353 Licensed Representative 4CHANG Yu Wen, Vaughn ACC583 Licensed Representative 1, 2, 4, 9CHANG Yun-Chia AQG804 Licensed Representative 1, 4CHAU Ka Wai AUW485 Licensed Representative 1CHAU Lai Ching AFL069 Licensed Representative 4CHAU Sai Cheong AMM114 Licensed Representative 4CHAU Siu Nin AAZ002 Licensed Representative 4, 9CHEN An AOL185 Licensed Representative 4, 9CHEN Chi-ling ATO708 Licensed Representative 9CHEN Jui-Fen AUB995 Licensed Representative 1CHEN Ru Yee ADF439 Licensed Representative 4, 9CHEN Shengwei AMM415 Licensed Representative 1, 6CHEN Shu-Chi ART449 Licensed Representative 1, 3CHEN Xiongbing ARN821 Licensed Representative 1, 4CHEN Yi-Chun Jessica APK399 Licensed Representative 1, 4, 9, 9CHEN Yi-ching AQN903 Licensed Representative 9CHENG Chuk Chung, Tony AOG228 Licensed Representative 1, 1, 2CHENG Lai Fan ALJ852 Licensed Representative 1, 4CHENG Lok Hang AUZ464 Licensed Representative 1, 9CHENG Man ASY844 Licensed Representative 3CHENG Shi Keung APN702 Licensed Representative 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 12/2010CE Name CE No. Licence Type Types of Regulated ActivityCHENG Ying Ho ARD621 Licensed Representative 1, 2, 3, 4CHEUK Wai Fun, Mariae AGJ031 Licensed Representative 4CHEUNG Chi Ho ARP454 Licensed Representative 1, 7CHEUNG Fai AVB809 Licensed Representative 1, 2CHEUNG Francky ARI754 Licensed Representative 1CHEUNG Hin Nang, Darwin ABQ012 Licensed Representative 1, 2CHEUNG Hing Shing AFN711 Licensed Representative 4CHEUNG Hiu Yu AQQ195 Licensed Representative 4CHEUNG Hor Yee, Patricia ANE746 Licensed Representative 1, 2CHEUNG Ka Wei, Kenneth AQM783 Licensed Representative 4CHEUNG Man Chun AUL627 Licensed Representative 1CHEUNG Mei Ying AFM202 Licensed Representative 4CHEUNG Nga Ying AQO251 Licensed Representative 1, 2CHEUNG Pak Lun AFT428 Licensed Representative 4CHEUNG Ping AFN714 Licensed Representative 4CHEUNG Sau Ki AQX377 Licensed Representative 1, 4, 9CHEUNG Shi Hai AVL697 Licensed Representative 1, 4, 6CHEUNG Shuk Yiu, Germaine AFM075 Licensed Representative 4CHEUNG Sin Man, Moni AFO248 Licensed Representative 4CHEUNG Siu Fong AFM079 Licensed Representative 4CHEUNG Siu Yin AGO138 Licensed Representative 1CHEUNG Suet Yan AOU865 Licensed Representative 1, 2CHEUNG Sum Yi AQS595 Licensed Representative 4CHEUNG Wang Fat AUI883 Licensed Representative 1, 2CHEUNG Wing Lam AUP820 Licensed Representative 1, 2CHEUNG Yan Fai, Paddy AUW251 Licensed Representative 1CHEUNG Yee Shun, Wilson AOJ215 Licensed Representative 4CHEUNG Yiu Tak AVC335 Licensed Representative 1CHEUNG Yuk Tao AFL283 Licensed Representative 4CHIA Douglas Boon Liang AOR808 Licensed Representative 1, 2CHIANG Hui-Chen AUH933 Licensed Representative 1CHIANG Wah Kin, Ben APW281 Licensed Representative 4CHIM Yiu Ping AMF530 Licensed Representative 4CHIN Michael Jaewuk ACZ609 Licensed Representative 1CHIN Siu Ying ATC924 Licensed Representative 4CHING Jason AOT950 Licensed Representative 1, 4CHIU Chi Wai, Eugenie AQC288 Licensed Representative 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 12/2010CE Name CE No. Licence Type Types of Regulated ActivityCHIU Kuan-Ju ASC633 Licensed Representative 1CHIU Suet Yi, Cheryl AGB452 Licensed Representative 1CHIU Yat Sing ARO925 Licensed Representative 4CHO John Ilgul ATB976 Licensed Representative 1, 2, 7CHO Soo Hyun APS483 Licensed Representative 1CHOI Sze Chung AQN005 Licensed Representative 1, 2, 4CHONG Chi Man APK628 Licensed Representative 4CHONG Ka Lun, Joseph AIZ562 Licensed Representative 1, 4CHONG Lai Chun AIZ640 Licensed Representative 4CHOW Kam Hing AFK812 Licensed Representative 4CHOW Mei Wah, Rosalia ARB801 Licensed Representative 4CHOW Tsz Hung, Viola ALI076 Licensed Representative 4CHOW Yan, Inez ADX379 Licensed Representative 4, 5, 9CHOW Yui Fung ASK543 Licensed Representative 1CHOY Ying Lam AFS663 Licensed Representative 4CHRISTIE Glen Alexander ANY032 Licensed Representative 1, 2CHU Siu Fong, Susanna AFN722 Licensed Representative 4CHUI Chui Chun AFS665 Licensed Representative 4CHUI Sing Chu, Bess AFL390 Licensed Representative 4CHUI Wai ANX813 Licensed Representative 4CHUI Wai Kuen, Lily AFP634 Licensed Representative 4CHUI Yiu Chuen ANP610 Licensed Representative 1CHUIDIAN BARTOLOME Lourdes Maria Reyes AEF431 Licensed Representative 1, 2CHULANI Rohit Madan Mohan ANB806 Licensed Representative 1, 2, 4, 9, 9CHUN Tsang Pong AFK845 Licensed Representative 4CHUNG Ha Chun, Helen AFM012 Licensed Representative 4CHUNG Ho Wing AFL433 Licensed Representative 4CHUNG Man Yi, Wendy AFK856 Licensed Representative 4CHUNG Shuk Fun, Phine AFK861 Licensed Representative 4CHUNG Tao Hung AFM005 Licensed Representative 4CHUNG Wai Piu ABV537 Licensed Representative 4CHUNG Wing Keung AFM003 Licensed Representative 4CHUNG Yu Fai ARV303 Licensed Representative 4CO Hon Man AFL464 Licensed Representative 4COLL Christine Lee AUE427 Licensed Representative 1, 2, 4, 5COUTU Pierre AUG883 Licensed Representative 1, 4, 9DAVEY Alexander Rupert Gabriel AQS278 Licensed Representative 1

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 12/2010CE Name CE No. Licence Type Types of Regulated ActivityDEN HERTOG Byron Charles ASG004 Licensed Representative 2DUBEY Preeti AUP812 Licensed Representative 1DUGGAN Mitchell John ASG001 Licensed Representative 2ENG Yi-Ming ATM294 Licensed Representative 1, 4ESSON Christopher James ALF470 Licensed Representative 4FANG Hong-Jen ANU075 Licensed Representative 1FISHER Jeffery Michael ALV246 Licensed Representative 1, 4, 5, 9, 9FLEETHAM Ian David ASF040 Licensed Representative 1, 2FONG Sau Fun AFN729 Licensed Representative 4FONG Wai Kwan, Alice AQL851 Licensed Representative 1FONG Wai Man AFK947 Licensed Representative 4FUNG Ching Tak AFK998 Licensed Representative 4FUNG Kei Shun ARD549 Licensed Representative 2FUNG King Yin, Lawrence ART079 Licensed Representative 2FUNG Po Kam AOG286 Licensed Representative 4FUNG Sau Man, Lucy AMO426 Licensed Representative 1FUNG Siu Lun ARV778 Licensed Representative 1FUNG Siu Yung, Alex AKI961 Licensed Representative 4FUNG Wai Man ARW739 Licensed Representative 1GE Danping APJ998 Licensed Representative 1GOH Chee Keong AQM605 Licensed Representative 4, 9GOO Hanna AUH579 Licensed Representative 4GRUBER James AMX921 Licensed Representative 1, 4GUO Feng AVD005 Licensed Representative 4GUPTA Ashutosh AJE577 Licensed Representative 1, 4, 6HAN Christopher David AEO319 Licensed Representative 4HARIDH Anandh R AOV964 Licensed Representative 1, 4, 6HAU Lai See, Maria AFL551 Licensed Representative 4HAU Lai To, Loretta AFL004 Licensed Representative 4HAU Yee Ling AFL553 Licensed Representative 4HIGHFIELD Andrew Francis APP193 Licensed Representative 4, 9HO Chi Keung AFL678 Licensed Representative 4HO Chuen Yung APJ168 Licensed Representative 4HO Kam Hung AUJ460 Licensed Representative 1HO Kim Ching AMZ013 Licensed Representative 6HO Man Chi ANG473 Licensed Representative 1, 4HO Nim Chee AQC528 Licensed Representative 1

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 12/2010CE Name CE No. Licence Type Types of Regulated ActivityHO Siu Ming AJO759 Licensed Representative 4HO Suk Mei AFL989 Licensed Representative 4HO Sze Man AUK300 Licensed Representative 4HO Ting Hong, Kenny AML780 Licensed Representative 1, 4, 6HO Wai Wan, Vivien AUI394 Licensed Representative 2, 4HO Yin King AFL020 Licensed Representative 4HOLLAND Leslie George AGP543 Licensed Representative 1HON Cheuk Lam, Henry AOB634 Licensed Representative 4HON Chi Wai APF020 Licensed Representative 4HON Choi Dip AFL571 Licensed Representative 4HON Lai Yin AFN423 Licensed Representative 4HON Sik Hung AFL575 Licensed Representative 4HONG Chui Mei ART935 Licensed Representative 1HONG King Wah, Calra AFW228 Licensed Representative 4HONG Yang-Myung AMG022 Licensed Representative 4HOW Wing Sum AFL064 Licensed Representative 4HSU Chia-Ling AQB042 Licensed Representative 1HSU Icheng ALV252 Licensed Representative 4HSU Kar Yeung, Philip ABT051 Licensed Representative 1, 4HSU Lincoln ASK160 Licensed Representative 1, 4, 6HU Peng ARG547 Licensed Representative 1, 6HUANG Ching Hsiang ASZ515 Licensed Representative 1HUANG Hsiu Ling ARG431 Licensed Representative 1HUANG Hsuan-Min AQR493 Licensed Representative 1HUANG Shin-wei ARQ019 Licensed Representative 1HUI Ching Ching, Vicki AIS522 Licensed Representative 4, 9HUI Ka Ming AOB414 Licensed Representative 1, 2HUI Ka Shing ATO962 Licensed Representative 1, 2HUNG Bik Fai AGO647 Licensed Representative 1, 2HUNG Ching Shing AMX384 Licensed Representative 4HUNG Hing Ling AFP648 Licensed Representative 4HUNG Wai Fong AOO255 Licensed Representative 4IKEYA Takashi APA002 Licensed Representative 1IP Chi Kei APH593 Licensed Representative 1, 4IP Curtis Vernon ARG529 Licensed Representative 1, 2IP Kwok Lung AJB928 Licensed Representative 4IP Nung AFM034 Licensed Representative 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 12/2010CE Name CE No. Licence Type Types of Regulated ActivityIP Wai Kei, Nelson AQI520 Licensed Representative 4IP Wai Lam ANP650 Licensed Representative 1, 2, 4ITAYA Masashi AUW884 Licensed Representative 4IWATA Masataka ADF373 Licensed Representative 1JANG Hyuk ASO439 Licensed Representative 1, 4JANSEN Rolandus Gerardus Wilhelmus ALL780 Licensed Representative 1, 4, 9JIN Rong ALH876 Licensed Representative 1, 4, 6JING Shan ARQ921 Licensed Representative 4JOHNSON Iain Laurance George ANH572 Licensed Representative 1, 4JOSHI Samir AOE036 Licensed Representative 9KAM Fung Hang ATI886 Licensed Representative 1, 2, 3KAM On AFL585 Licensed Representative 4KAN Tat Shing AMS461 Licensed Representative 4KANG Le APA412 Licensed Representative 1KANG Yoon Sik Peter AMJ970 Licensed Representative 1, 6, 9KAPUR Ajay Singh ACA305 Licensed Representative 4, 9KHATRI Waqas A APC631 Licensed Representative 4, 5, 9KIM Jun Hyun ATQ904 Licensed Representative 1, 6KIM Soo Jin AHU617 Licensed Representative 1, 4KIMURA Yoshiyuki AFE839 Licensed Representative 1, 4, 6, 9KO Chen-I AOP151 Licensed Representative 1KO Min AFL113 Licensed Representative 4KO Tai Fun ABD420 Licensed Representative 1, 2, 4, 5, 9KOH Lye Thiam ARV906 Licensed Representative 4, 9KOH Whee Leng ANQ408 Licensed Representative 1, 2KONG Chun Ting ALG197 Licensed Representative 4KONG Ka Yau AFS498 Licensed Representative 4KOO Shang-Hsiu AVK958 Licensed Representative 4KOURETAS Panagiotis ATY493 Licensed Representative 1, 2, 7KUAN Su Wan ANL951 Licensed Representative 4KWAN Kin Lok ANV059 Licensed Representative 1, 4KWAN Kwan Sin AFL129 Licensed Representative 4KWAN Lai Wah, Cindy AFL131 Licensed Representative 4KWAN Oi Yi AFK803 Licensed Representative 4KWAN Pui Hung ANF145 Licensed Representative 4KWEI Latonia Mandy AFL690 Licensed Representative 4KWOK Chui Fan, Katy AQX573 Licensed Representative 1

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 12/2010CE Name CE No. Licence Type Types of Regulated ActivityKWOK Chun Tat, Anthony ATD280 Licensed Representative 4KWOK Danny Sau-Lai AGG612 Licensed Representative 1KWOK Ho Jong, Donna ASC758 Licensed Representative 4KWOK Kam Wing AMU668 Licensed Representative 1, 4, 4KWOK Raymond AIU174 Licensed Representative 1, 3KWOK Shuk Ling AFC689 Licensed Representative 1KWOK Shuk Yee, Vanessa ADM985 Licensed Representative 1, 4KWOK Siu Ping AFK849 Licensed Representative 4KWOK Wing Hei AUJ773 Licensed Representative 1KWON Sejong ARO401 Licensed Representative 1, 6KWONG Hok Yan, Alexandra ANT892 Licensed Representative 1, 6LAI Fu Hang ACT010 Licensed Representative 4LAI Ho Mei AQW346 Licensed Representative 1LAI Hoi Ki AVP642 Licensed Representative 1, 4LAI Kwai Fong AFN785 Licensed Representative 4LAI Kwan Yee, Beatrice AQX191 Licensed Representative 4LAI Shuk Mei, Clara AEM754 Licensed Representative 1, 4LAI Wai Fung, Richard AME449 Licensed Representative 1LAI Wai Yin AFK867 Licensed Representative 4LAI Wing Suet ATY357 Licensed Representative 1, 2, 9LAM Bick Wah AFK893 Licensed Representative 4LAM Chi Chung, Michael AQJ030 Licensed Representative 1, 2, 3LAM Chi Keung, Chris ACK461 Licensed Representative 3LAM Chi Kwong APF064 Licensed Representative 4LAM Ching Yee AFK948 Licensed Representative 4LAM Chun Sing AFM109 Licensed Representative 4LAM Chung Wai, Michael AOM648 Licensed Representative 4LAM Fai Lik AOV688 Licensed Representative 1LAM Fung Ching, Alice AFM107 Licensed Representative 4LAM Hang Yee, Candy AFL638 Licensed Representative 4LAM Hing Chiu AUZ899 Licensed Representative 1LAM Hon Chuen AFL032 Licensed Representative 4LAM Hon Wa AFL673 Licensed Representative 4LAM Ka Yi AMA933 Licensed Representative 4LAM Kam Kwan AFK994 Licensed Representative 4LAM Kwan AOM512 Licensed Representative 4LAM Lai Ping AFL105 Licensed Representative 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 12/2010CE Name CE No. Licence Type Types of Regulated ActivityLAM Mei Yee AFL018 Licensed Representative 4LAM Ming Fai AHK326 Licensed Representative 1, 4LAM Ngan Yin AFM106 Licensed Representative 4LAM Pui Sze APF063 Licensed Representative 1, 4LAM San Wai ATO960 Licensed Representative 4LAM Sau Kwan APJ136 Licensed Representative 1LAM Sau Kwan, Connie AFL639 Licensed Representative 4LAM Sau Mei AFM100 Licensed Representative 4LAM Siu Lun, Raymond AVE198 Licensed Representative 1LAM Siu Ping AFM098 Licensed Representative 4LAM Sui King ARG570 Licensed Representative 4LAM Tze Ki AFL010 Licensed Representative 4LAM Wai Han ACO581 Licensed Representative 4LAM Wing Keung ANS013 Licensed Representative 9LAM Yuen Ling ALP509 Licensed Representative 1, 4LAM Yuen Yee, Doris AUM216 Licensed Representative 1LAMBAH Ravi Mahinder ADP877 Licensed Representative 1, 4, 6LAU Chi Wai, Fred AAA314 Licensed Representative 1, 2, 3, 7LAU Chi Ying AOG226 Licensed Representative 1, 4LAU Chun Hang AQI516 Licensed Representative 4LAU Chung Yin AUQ034 Licensed Representative 1, 4LAU Geoffrey Chun Hei AUJ339 Licensed Representative 4LAU Hoi Yan AQO493 Licensed Representative 4LAU Hon Man AJO171 Licensed Representative 1, 2, 4LAU Ka Wai ASX094 Licensed Representative 4LAU Kin Wing ASX100 Licensed Representative 4LAU King Chi, Stephanie ANM363 Licensed Representative 4LAU Pui Fun ATQ934 Licensed Representative 1LAU Sheung Ng AFR030 Licensed Representative 4LAU Siu Yuk, Venus AOW799 Licensed Representative 1, 4LAU Siu Yung AEU608 Licensed Representative 1LAU Wai Yu AQO432 Licensed Representative 1LAU Wing Kiu ANQ947 Licensed Representative 1, 4, 9LAU Wing Shan AFE210 Licensed Representative 1, 4, 7LAU Yee Ping APS249 Licensed Representative 1, 4LAU Yee Wah AGH738 Licensed Representative 4LAU Yin Ling ATY263 Licensed Representative 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 12/2010CE Name CE No. Licence Type Types of Regulated ActivityLAW Chun Lung ARE630 Licensed Representative 4LAW Lik Hang ARG493 Licensed Representative 4LAW Man Yu AFT965 Licensed Representative 4LAW Wai Man AND717 Licensed Representative 1LEAVER Zoe Marie AMU296 Licensed Representative 1LEE Angelina AGP082 Licensed Representative 1LEE Chi Ming AFM209 Licensed Representative 4LEE Chun Choi AFN796 Licensed Representative 4LEE Ho ANB438 Licensed Representative 1, 4LEE Ka Man ANH881 Licensed Representative 4LEE Ka Yee APC658 Licensed Representative 1LEE Kevin ARQ490 Licensed Representative 1LEE Kwun Kwan AFL083 Licensed Representative 4LEE Lai Wa, Karah AFM139 Licensed Representative 4LEE Man Yee AOX307 Licensed Representative 1, 4, 9LEE Ming Wah AOR610 Licensed Representative 1, 4, 9LEE Suk Yin AFK800 Licensed Representative 4LEE Wai Hong, Wilson AEF114 Licensed Representative 1, 2LEE Won Jong AFU204 Licensed Representative 1LEE Ying Chi, Dianna AFL714 Licensed Representative 4LEE Yu Ming APG504 Licensed Representative 4LEE Yung Fat, Bryan AFM150 Licensed Representative 4LEUNG Bik Oi, Tammy AFL605 Licensed Representative 4LEUNG Chi Wai AAA608 Licensed Representative 1, 2LEUNG Chung Kin AFK828 Licensed Representative 4LEUNG Hoi Lun, Helen AFS598 Licensed Representative 4LEUNG Ka Yin, Bonnie ALU961 Licensed Representative 1, 4LEUNG Koon Sing ALE821 Licensed Representative 1, 2LEUNG Man Kit ANW505 Licensed Representative 1, 2LEUNG Mei Ling AFL770 Licensed Representative 4LEUNG Oi Yee AFS187 Licensed Representative 4LEUNG Pik Har, Venus AQS667 Licensed Representative 4LEUNG Pok Man AKO847 Licensed Representative 4LEUNG Siu Fai AFL768 Licensed Representative 4LEUNG Tung Lik AFN828 Licensed Representative 4LEUNG Wai Chi ARO745 Licensed Representative 4LEUNG Wai Han, Handy ANM135 Licensed Representative 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 12/2010CE Name CE No. Licence Type Types of Regulated ActivityLEUNG Wing Chuen AQI794 Licensed Representative 4LEUNG Yiu Keung AFL766 Licensed Representative 4LEWIS Paul Simon AQU410 Licensed Representative 1, 2, 9, 9LI Chi Cheung, Kilbert ABT090 Licensed Representative 1LI Chun Ming AFL764 Licensed Representative 4LI Hing Lung ATN189 Licensed Representative 1, 2, 4LI Ho Yeung ARO665 Licensed Representative 1LI Keng Ho, Oscar AQC815 Licensed Representative 4LI Ki Hong AML212 Licensed Representative 4LI Kit Ling AOK737 Licensed Representative 4LI Kwok Choi AFO158 Licensed Representative 4LI Shurong AOA897 Licensed Representative 4LI Suet Fan, Fanny AFL541 Licensed Representative 4LI Sum Chuen, Angus AQM179 Licensed Representative 1, 4LI Sum Yi APR206 Licensed Representative 4LI Ya Ru AVH080 Licensed Representative 1, 4, 6LI Yuen Kwan ANL984 Licensed Representative 4LI Yun Lim AOK966 Licensed Representative 4LIANG Hsiu-Yun AOV580 Licensed Representative 1LIAU Ai Lin Irene ARM186 Licensed Representative 9LIAUW Shu Ling AUC500 Licensed Representative 4LIEM Christopher AHK489 Licensed Representative 1, 2LIM Chun Wah, Tommy AFL538 Licensed Representative 4LIM Ning ALN989 Licensed Representative 1LIN Yu-Feng APB444 Licensed Representative 1, 4LIU Kwai King AOE663 Licensed Representative 4LIU Mei Wa AQQ393 Licensed Representative 1, 4LIU Sai Ho ACX931 Licensed Representative 1LLOYD Jonathan Ceri ADG111 Licensed Representative 1LO Hiu Yeung AVD958 Licensed Representative 1LO John AUS158 Licensed Representative 1, 2LO Ka Wing APG323 Licensed Representative 1LO King Wai AIB936 Licensed Representative 1LO Lai Hing, Philippa AEU346 Licensed Representative 4LO Mei Chun, Vivian APG145 Licensed Representative 1LO Ning Yue, Sam ASY867 Licensed Representative 1, 2LO Sau Kum AFI580 Licensed Representative 1, 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 12/2010CE Name CE No. Licence Type Types of Regulated ActivityLO Shuk Kwan, Alison AOS013 Licensed Representative 1, 2, 4, 9LO Sze Wai AMG018 Licensed Representative 4LO Wai Ngor AFK987 Licensed Representative 4LO Yuen Ching AOH948 Licensed Representative 9LOPEZ Gilbert Yanson AMO289 Licensed Representative 4LUI Hoi Yan, Jaclyn ANQ808 Licensed Representative 1, 2LUI Kun Wah AFL159 Licensed Representative 4LUI Kwok Wai, Alex ANW252 Licensed Representative 4LUI Man Yee ALW606 Licensed Representative 4, 9LUK Cho Yee, Joey APF265 Licensed Representative 4LUK Hau Yi, Priscilla AHC324 Licensed Representative 4, 4, 9LUK Mei Kam AFK929 Licensed Representative 4LUNG Chi Kuen ARA519 Licensed Representative 4LUNG Wai Shing AFK944 Licensed Representative 4LUO Menglin AMF593 Licensed Representative 1, 9MA Chi Fun ALO232 Licensed Representative 4MA Chui Yee AUI050 Licensed Representative 1, 4MA Chung Wing ALS356 Licensed Representative 4MA Ho Yi APB330 Licensed Representative 4MA Hoi Lam AQO186 Licensed Representative 1, 4MA Hon Shing AFR648 Licensed Representative 4MA Junrui ARR894 Licensed Representative 4MA Ka Fai ALZ352 Licensed Representative 4MA Pang ARL185 Licensed Representative 4MA Siu Yi APR876 Licensed Representative 1MA Sze Man AED753 Licensed Representative 1, 4MA Yeuk Ying, Rebecca AFK971 Licensed Representative 4MAGLIOCCO Matthew Thomas ARJ092 Licensed Representative 1, 4, 6MAK Hau Sum, Anita ART054 Licensed Representative 4MAK Hoi Kei ARG948 Licensed Representative 4MAK Hoi Ngan, Amy AFK972 Licensed Representative 4MAK Ka Chung, Steven ATY276 Licensed Representative 1, 9MAK Kai Fai ADJ397 Licensed Representative 1, 4, 9MAK Mio Leng ARI949 Licensed Representative 1MAK Siu Cheung, Louie ALW912 Licensed Representative 4MAK Siu Ha, Anita ARO865 Licensed Representative 1MAN Shuk Hang AFL181 Licensed Representative 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 12/2010CE Name CE No. Licence Type Types of Regulated ActivityMANALAYSAY Raphael Tablante ARP903 Licensed Representative 4MARK Tin Sek AFL003 Licensed Representative 4MARTIN Robert Frederick AOK735 Licensed Representative 1, 9MCAULIFFE John Joseph AVM431 Licensed Representative 1, 2MITCHELL Patrick Callahan AVA493 Licensed Representative 1MO Chi Kan ATJ192 Licensed Representative 1, 2MO Pik Shan, Grace ALL155 Licensed Representative 1MO Yik Wah, Terry ATW779 Licensed Representative 4MOK Hing Man AFL531 Licensed Representative 4MOK Hon Lit AFN478 Licensed Representative 4MOK Miu Ting, Maggie ANR924 Licensed Representative 4MUELLER Darryl Eric APB544 Licensed Representative 1, 4, 7MUI Chung Hong ATE783 Licensed Representative 1NAGLE Nikhil Sudhir AHQ353 Licensed Representative 1, 2NEOH Chee Keat APC291 Licensed Representative 1NG Chi Chung, Mickey ARH052 Licensed Representative 4NG Chi Ho AUR825 Licensed Representative 1, 4, 9NG Ching Yee, Dorothy ANR490 Licensed Representative 4NG Chui Wah ASS963 Licensed Representative 1NG Chui Yiu, Jennifer AFV208 Licensed Representative 4, 6, 9NG Ho Yan ANX196 Licensed Representative 4NG Kam Tin, Agnes ATI906 Licensed Representative 1NG Kit Mo ALY615 Licensed Representative 1, 2NG Kwok Chuen AFO771 Licensed Representative 4NG Kwong Wui ARI434 Licensed Representative 4NG Sau Har, Jane AFL022 Licensed Representative 4NG Suet Ling, Daisy ARW959 Licensed Representative 4NG Sui Kuen AQI517 Licensed Representative 4NG Wai Kam AFL457 Licensed Representative 4NG Wing Hang, Angela AFL456 Licensed Representative 4NGAI Yin Fong ALN005 Licensed Representative 1NGAN Hang Ching AFL024 Licensed Representative 4NI Fei ASI137 Licensed Representative 4NIGHJOY Oliver Leslie AMA103 Licensed Representative 1, 6OCHIAI Noboru AQJ087 Licensed Representative 1, 4OKUMA Motofumi ARJ709 Licensed Representative 4, 9OR Ka Lun, Victor AFL244 Licensed Representative 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 12/2010CE Name CE No. Licence Type Types of Regulated ActivityOR Sim Lee AFL269 Licensed Representative 4OU Ofra Sueh Hung AME527 Licensed Representative 4, 9PAN Chia Chuan AQF584 Licensed Representative 6PANG Kin Yip AUI025 Licensed Representative 4PANG Yun Sing, Miggey AFT423 Licensed Representative 4PARK Chan Ik AES125 Licensed Representative 1PASTOR Celine Marie Bernabe AVC365 Licensed Representative 1, 6PATNI Pulkit APJ236 Licensed Representative 1, 4PAU Tien Sum, Esme ATP176 Licensed Representative 4PEEL Richard Anthony Nicholas AQD702 Licensed Representative 1PENG Chai Wei AKI400 Licensed Representative 1PHILLIPS Ned AFC917 Licensed Representative 1POERWANTO Sharon Christine ARD330 Licensed Representative 4POON Cindy AGQ483 Licensed Representative 4POON Kim Ching AOH004 Licensed Representative 4POON Oi King AFL034 Licensed Representative 4POON Yuen Shan, Amy ABY416 Licensed Representative 1PUN Hau Wai ALK636 Licensed Representative 1, 2, 4PUN Wai Kwong AFL429 Licensed Representative 4QIAN Jun ALA521 Licensed Representative 1RANGWALA Abbas Asgarali AMH247 Licensed Representative 1, 6ROBISON Richard Ronald ADX487 Licensed Representative 1RYAN Thomas ASH426 Licensed Representative 1, 2, 3SAM Kwok Hong ANA178 Licensed Representative 1, 1, 2, 2, 4SAMADHIYA Ritesh AOX630 Licensed Representative 4, 9SCHUMM Stephen Scott AOY791 Licensed Representative 1, 2, 7SEBTI Karim AQS402 Licensed Representative 1, 2, 7SEET Eng Khan AUN897 Licensed Representative 4SHEN Peng ATI393 Licensed Representative 1SHEN Wenwen AUC831 Licensed Representative 4SHIA Siu Yin, Dora AFL045 Licensed Representative 4SHIU Chun Man AFL063 Licensed Representative 4SHOBAYASHI Mayu AQS048 Licensed Representative 1, 4SHROFF Manoj Mahesh AOJ010 Licensed Representative 1, 4, 5, 9SHUKLA Rahul AHH429 Licensed Representative 1, 6SHUM Wai Lam, William AUV735 Licensed Representative 1, 6SHUM Yun AFL117 Licensed Representative 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 12/2010CE Name CE No. Licence Type Types of Regulated ActivitySIU Wan Sheung AFL116 Licensed Representative 4SO Chui Yee, Clara APH103 Licensed Representative 4SO Kwan Yiu ANP521 Licensed Representative 4SO Kwei Fong AFN863 Licensed Representative 4SO Kwok Kan ANR262 Licensed Representative 1SO Lai Fong AFL114 Licensed Representative 4SO Man Yu, Joanne ALQ623 Licensed Representative 4SONG Hanqian ATO433 Licensed Representative 1SONG Honghai AME465 Licensed Representative 1SONG Joon Yong ASE698 Licensed Representative 1STRICKLAND Nathan Thomas AML211 Licensed Representative 1SUEN Mei Kuen, Idy AGD381 Licensed Representative 4SUEN Ming Mi AFL073 Licensed Representative 4SUEN Wing Chee AFL720 Licensed Representative 4SUEN Wing Sze AJC633 Licensed Representative 4SUEN Ying Pei, Andre AUW969 Licensed Representative 4SUMINO Mitsuhiko AQF030 Licensed Representative 1, 4, 6SUN Qianhui AQQ124 Licensed Representative 1, 6SZE Hun Yung AFL282 Licensed Representative 4TAM Kam Lun ASO991 Licensed Representative 1, 4TAM Lup Yun, Yoko AUS003 Licensed Representative 1, 2TAM Ping Kay AFP707 Licensed Representative 4TAM Po Ting AFL726 Licensed Representative 4TAM Sau Lan AGJ058 Licensed Representative 4TAM Wai Man AFP708 Licensed Representative 4TAM Yi Ting APY822 Licensed Representative 4TAM Yuen Ling, Eunice AED493 Licensed Representative 1, 4, 9TAM Yvonne Yuk Ching APJ124 Licensed Representative 1, 6TAN An Li ARQ985 Licensed Representative 1TAN Pik Sheung AFP950 Licensed Representative 4TANG Chun Wai, Nelson ARN983 Licensed Representative 1, 2TANG Hon Man AGD874 Licensed Representative 1TANG Jie, Janice ARB847 Licensed Representative 9TANG Man Yee AOH158 Licensed Representative 4TANG Pek Ying, Rebecca APL939 Licensed Representative 4TANG Sin Ming APJ327 Licensed Representative 4TANG Sin Yi AQN986 Licensed Representative 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 12/2010CE Name CE No. Licence Type Types of Regulated ActivityTANG Sui Ling, Doreen AFL319 Licensed Representative 4TANG Sze Wan AFK950 Licensed Representative 4TANG Yuk Ping AQO298 Licensed Representative 1TAY Chin Seng AML202 Licensed Representative 4TEHAN David Anthony AMN681 Licensed Representative 1, 4TENG Chong, Winston AGP465 Licensed Representative 1TISSIER DE MALLERAIS Henri P. B. AMW683 Licensed Representative 1, 2, 4, 6TO Chak Hung APS718 Licensed Representative 4TO Fu Wing, Kelly AGJ059 Licensed Representative 4TO Kam Lung, Danny ARA334 Licensed Representative 1, 4TO Kong Ping AFS225 Licensed Representative 4TONG Heung Wing, Tony AFK979 Licensed Representative 4TONG Ka Wa AST276 Licensed Representative 4TONG Tsun Yat ATW485 Licensed Representative 1, 2TORRES Marcos Daniel ARZ160 Licensed Representative 1TRAN Chau Hai AML161 Licensed Representative 1, 6TRAN Chuen Ka, Alton AME050 Licensed Representative 1TSAI Yi-Tang AUB319 Licensed Representative 1TSANG Chi Keung ARA098 Licensed Representative 1TSANG Kwok Leung, Duncan AML597 Licensed Representative 1TSANG Nancy AAW005 Licensed Representative 4TSANG Pui Fan, Karen ANY064 Licensed Representative 1, 2, 5TSE King Man AFL749 Licensed Representative 4TSE Kit Yuk AFK798 Licensed Representative 4TSE Sai Bun AFL753 Licensed Representative 4TSE Yuk Chun AFK821 Licensed Representative 4TSE Yuk Mei AQI491 Licensed Representative 4TSOI Hei Man, Ivy ANH562 Licensed Representative 1, 4TSOI Lei Lei AQD701 Licensed Representative 6TSOI Sze Yeung AQI788 Licensed Representative 4, 9TSUI Hing Ling ANL934 Licensed Representative 1, 2, 7TSUI Kam Ping AQC485 Licensed Representative 1TSUI Man Ching, Karen AFV760 Licensed Representative 4TSUI Man Yee AGC197 Licensed Representative 1TUNG Chia Hung, Michael AOV770 Licensed Representative 1, 2TUNG Ho Lun ANG478 Licensed Representative 1, 4TUNG Siu Man ATJ204 Licensed Representative 1, 2

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 12/2010CE Name CE No. Licence Type Types of Regulated ActivityUCHIYAMA Akiko ANQ462 Licensed Representative 1, 2WAN Carmen Ka Yan ATL503 Licensed Representative 4WAN Nga Lee AQU103 Licensed Representative 4WAN Sau Chun ACA485 Licensed Representative 1, 4WAN Siu Kin ASL738 Licensed Representative 1WANG Chang-Jen ARD578 Licensed Representative 1WANG Haibin ARK365 Licensed Representative 1, 6WANG Hsin-Yi AQR485 Licensed Representative 1WANG Li APC463 Licensed Representative 1WANG Li-Ting ANO992 Licensed Representative 1, 2WANG Minzhi AVD532 Licensed Representative 1, 2WANG Nai APF192 Licensed Representative 4WANG Ningwei ATM264 Licensed Representative 4WANG Tong AMO844 Licensed Representative 6WANG Xin APD062 Licensed Representative 1, 4, 6WANG Yang AJG541 Licensed Representative 1, 4, 6WANG Yau Lun, Richard APD437 Licensed Representative 1, 2, 4WANG Yingpei AQA932 Licensed Representative 1, 4, 6WEI Hao AMJ786 Licensed Representative 9WEN Wen ALC212 Licensed Representative 1, 4, 6WHITTALL Matthew St Clair AQU887 Licensed Representative 4WINEGAR Steven David AFR303 Licensed Representative 1, 6WONG Ay Mei, Shirley AFZ367 Licensed Representative 1WONG Chi Ping AFL916 Licensed Representative 4WONG Chieh Lu, Jenny AGL441 Licensed Representative 4, 9WONG Chin Kow, Jefrey AEU539 Licensed Representative 1WONG Chin Ying ARR898 Licensed Representative 4WONG Ching Yi AOR629 Licensed Representative 4WONG Chun Kit ANF049 Licensed Representative 4WONG Chun Kwok ADM207 Licensed Representative 4WONG Fu Fong AMX443 Licensed Representative 4WONG Helen AGO805 Licensed Representative 1WONG Ho Lap AJJ573 Licensed Representative 4WONG Hoi Sun APJ224 Licensed Representative 1, 2WONG Hon Wa ALW558 Licensed Representative 4WONG Ka Hang ATO876 Licensed Representative 1WONG Kam Ming, Richard AFL909 Licensed Representative 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 12/2010CE Name CE No. Licence Type Types of Regulated ActivityWONG Kin Man AUW416 Licensed Representative 2WONG Kit Wah AFK833 Licensed Representative 4WONG Koi Shun AFK835 Licensed Representative 4WONG Kwai Sun AGN688 Licensed Representative 1, 4WONG Kwan Shing AFK836 Licensed Representative 4WONG Kwan Tak AFV766 Licensed Representative 4WONG Kwok San AUI885 Licensed Representative 1, 2WONG Lai Chu AFT713 Licensed Representative 4WONG Lai Kuen AFP603 Licensed Representative 4WONG Lai Man, Mandy ASD064 Licensed Representative 4WONG Man Ling, Ernie AGH685 Licensed Representative 4WONG Man Wai AFK967 Licensed Representative 4WONG Man Yi, Vera APJ748 Licensed Representative 4WONG Mei Ling AFL911 Licensed Representative 4WONG Pan Ying AFK842 Licensed Representative 4WONG Pik Lin AFN888 Licensed Representative 4WONG Pui Lun, Alan ALN588 Licensed Representative 1, 4, 5, 9WONG Pui Yi APK561 Licensed Representative 4WONG Sau Wai AQI850 Licensed Representative 1WONG Shui Wen, Peggy AGP120 Licensed Representative 1WONG Suk Han, Violet AFL833 Licensed Representative 4WONG Tze Kin ACY785 Licensed Representative 1WONG Wai Fun AFS606 Licensed Representative 4WONG Wai Hong ANG976 Licensed Representative 1WONG Wai Ling APA031 Licensed Representative 4WONG Wai Yu AGD412 Licensed Representative 4WONG Wai Yu ALL202 Licensed Representative 4WONG Wing Sze ARI070 Licensed Representative 4WONG Yiu Hong AFK874 Licensed Representative 4WONG Yuen Ha AFW395 Licensed Representative 4WONG Yuk Chun AFL915 Licensed Representative 4WONG Yuk Han AFL844 Licensed Representative 4WOO Chi Hung AQD780 Licensed Representative 4WOO Kai Bun, Andrew AFO556 Licensed Representative 4WOO Kar Tung, Raymond AEL509 Licensed Representative 1, 4, 6WOOD Malcolm Ross John ALT902 Licensed Representative 9WU Kai Ping AFL875 Licensed Representative 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 12/2010CE Name CE No. Licence Type Types of Regulated ActivityWU Mei Ling AFP605 Licensed Representative 4WU Xing AOJ006 Licensed Representative 6XIANG Siying ALG502 Licensed Representative 4, 6XIE Peng ARN827 Licensed Representative 1, 2XING Guangshun ALU606 Licensed Representative 1YAM Lai Ching APR829 Licensed Representative 1, 2, 3YANG Bok Sun AFX849 Licensed Representative 1, 2, 4, 5, 7YANG Fan ARM895 Licensed Representative 1, 2, 4YANG Guang AOW963 Licensed Representative 1, 4, 6YANG Li-Shan AOV583 Licensed Representative 1YANG Tsun-lan AOV658 Licensed Representative 1, 2YAO Kai ATS734 Licensed Representative 4YAU Yim Han AFN337 Licensed Representative 4YEN Sau Man, Janice ANA831 Licensed Representative 4YEN Tai Wai, David AAC020 Licensed Representative 2, 4, 9YEUNG Chi Yiu, Thomas ATB857 Licensed Representative 1, 2, 4YEUNG Chui Ha AFL873 Licensed Representative 4YEUNG Kwok Fai AFN636 Licensed Representative 4YEUNG Lai Fong ANQ190 Licensed Representative 4YEUNG Pui Yee ATD294 Licensed Representative 1YEUNG Shuk Wan, Jennifer ANP081 Licensed Representative 4YEUNG Sze Leung, Philip AFK895 Licensed Representative 4YEUNG Wing Keung AFF782 Licensed Representative 4YEUNG Wing Keung AFL918 Licensed Representative 4YIM Tsz Ching APV917 Licensed Representative 1, 2YIM Yeuk Yu AGH389 Licensed Representative 4YIN Yin ATY281 Licensed Representative 1YIP Ho Lun ALI067 Licensed Representative 4YIP Ho Yan AUS286 Licensed Representative 2YIP Omar Ming Yeung AOH560 Licensed Representative 1YIP Shu Wing ANC066 Licensed Representative 4YIP Sing Fung AFO579 Licensed Representative 4YIP Tsz To APD110 Licensed Representative 1, 2, 9YU Fa AFK963 Licensed Representative 4YU Heather AVI027 Licensed Representative 1YU Hiu To AGM902 Licensed Representative 6YU Hoi Long APY811 Licensed Representative 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 12/2010CE Name CE No. Licence Type Types of Regulated ActivityYU Ka Ho ARD482 Licensed Representative 1, 4, 6YU Sau San, Susan ALN380 Licensed Representative 4YU Shun Man, Jenny APL471 Licensed Representative 4YU Shun Yan, Verda AQI848 Licensed Representative 1, 2YU Sin Tak, Chris AWF530 Licensed Representative 1, 6YU Wai Sum, Fanny AFK920 Licensed Representative 4YU Yu Hang AFK926 Licensed Representative 4YU Yuen Kwan, Yvonne AFL859 Licensed Representative 4YUE Ngan Bing AFS255 Licensed Representative 4YUEN Kin Yuk APL591 Licensed Representative 1YUEN Ko Yuen ANL006 Licensed Representative 1, 2, 9YUNG Suk Han, Joana AAA958 Licensed Representative 1ZHANG Gerald ATS686 Licensed Representative 1, 6ZHANG Peng AUP569 Licensed Representative 1, 2, 7ZHANG Wei ARB949 Licensed Representative 4ZHOU Ye AQO264 Licensed Representative 4ZHU Minyue AUE243 Licensed Representative 1ZHU Xuhua AUK284 Licensed Representative 1ZHU Yuan ATS925 Licensed Representative 1, 4ZHUANG Qi AOX586 Licensed Representative 1, 4BADENHOP Henning AUR975 Licensed Representative - Responsible Officer 9BAGNALL Andrew Edward James ADB034 Licensed Representative - Responsible Officer 1CHAN Mang Kiu AIS524 Licensed Representative - Responsible Officer 4CHOU Se-Fen AHM522 Licensed Representative - Responsible Officer 1CROSS David Frederick AAB227 Licensed Representative - Responsible Officer 1FILDES Ewart John AEA178 Licensed Representative - Responsible Officer 1, 4, 7HAN Wan Hoon AFS787 Licensed Representative - Responsible Officer 4, 9HAYEK Rami Gebran AQN510 Licensed Representative - Responsible Officer 1, 4HO Chu, Manfred ACE758 Licensed Representative - Responsible Officer 4HO Lei AGO285 Licensed Representative - Responsible Officer 9HOLLAND Lewis Richard Edward AME971 Licensed Representative - Responsible Officer 1, 2HUNG Luzia Rosa AFJ988 Licensed Representative - Responsible Officer 4HUTTON Andrew Paul Garth ASK902 Licensed Representative - Responsible Officer 1, 2, 3KIM Linha ATD901 Licensed Representative - Responsible Officer 1, 4KOWALCZYK Dariusz Jan ALH857 Licensed Representative - Responsible Officer 4KWAI Kwok On ADY812 Licensed Representative - Responsible Officer 4, 9KWOK Shuk Yee, Vanessa ADM985 Licensed Representative - Responsible Officer 6

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 12/2010CE Name CE No. Licence Type Types of Regulated ActivityLEE Cheuk Shun AAJ224 Licensed Representative - Responsible Officer 4, 9LIN Su-Yuan ARA550 Licensed Representative - Responsible Officer 1LORD Nicholas Peter ANB704 Licensed Representative - Responsible Officer 4LU Edmund Lingjian AGL936 Licensed Representative - Responsible Officer 1, 4, 5, 9LUK Wai Kit AJL679 Licensed Representative - Responsible Officer 9LUNG Philip Edwin AQM691 Licensed Representative - Responsible Officer 9MALIK Farhat Abbas AIO088 Licensed Representative - Responsible Officer 4, 9MOORE Ross James AMV249 Licensed Representative - Responsible Officer 1MULLARD David Andrew APK729 Licensed Representative - Responsible Officer 9NG Chui Yiu, Jennifer AFV208 Licensed Representative - Responsible Officer 1NG Wai Huk, Allan AAY716 Licensed Representative - Responsible Officer 4NICHOLS Stephen James ACJ658 Licensed Representative - Responsible Officer 1, 2PICKERELL Blair Chilton AAC683 Licensed Representative - Responsible Officer 1, 9STURMEY Jonathan William ARS748 Licensed Representative - Responsible Officer 1, 6TAO Hung-te APA643 Licensed Representative - Responsible Officer 1, 2TSE Yvonne AFT821 Licensed Representative - Responsible Officer 9TUNG Kenneth Hoi-yi AEJ830 Licensed Representative - Responsible Officer 1, 4, 6VAN BRUGGE Robert Pieter AUA340 Licensed Representative - Responsible Officer 1, 4YEN Tai Wai, David AAC020 Licensed Representative - Responsible Officer 1YEUNG Yat Sing, Arvin ASQ571 Licensed Representative - Responsible Officer 1YU Fangwei AUN909 Licensed Representative - Responsible Officer 6ZHAO Qian AOH251 Licensed Representative - Responsible Officer 9AGGARWAL Sumit AWK330 Licensed Representative (Provisional Licence) 1, 2, 7ALEXANDER Alisha Nicole AWE175 Licensed Representative (Provisional Licence) 1, 2ALVES Marcio AVH407 Licensed Representative (Provisional Licence) 1AMARAL DE ALMEIDA ROCHA Roberto AVH402 Licensed Representative (Provisional Licence) 1ARORA Bhanu AWE899 Licensed Representative (Provisional Licence) 1, 4, 9AZZOUZ Hecham AVS590 Licensed Representative (Provisional Licence) 1, 2BAI Yue AWI797 Licensed Representative (Provisional Licence) 4, 9BANG Edward Soo Jong ADA664 Licensed Representative (Provisional Licence) 4, 9BENITEZ Gaia Joanna Selene De Asis AWE837 Licensed Representative (Provisional Licence) 1, 2, 7BI Rumai AWK536 Licensed Representative (Provisional Licence) 4BIRRELL David Andrew AWF135 Licensed Representative (Provisional Licence) 1BODOR Thomas AWH545 Licensed Representative (Provisional Licence) 4BONG Peng Leong Terence AWD298 Licensed Representative (Provisional Licence) 1, 4, 9BROMBERG Bruce AIR490 Licensed Representative (Provisional Licence) 1, 6BUCKWORTH Piers Edward Grainger AUT718 Licensed Representative (Provisional Licence) 1, 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 12/2010CE Name CE No. Licence Type Types of Regulated ActivityBUDHRANI Sanam Gobind AWE947 Licensed Representative (Provisional Licence) 1, 4CABANEL Sebastien Nicolas Romain AWC701 Licensed Representative (Provisional Licence) 1, 4, 9CAI Tsz Yeung AWH561 Licensed Representative (Provisional Licence) 1, 2CAI Xiaoxiao AWH776 Licensed Representative (Provisional Licence) 1, 4, 9CANAL Lino Mario AWF523 Licensed Representative (Provisional Licence) 1, 4CHAI Tak Loon AWH859 Licensed Representative (Provisional Licence) 1CHAN Hin Hong ARI672 Licensed Representative (Provisional Licence) 1, 2CHAN Lok Man AWI318 Licensed Representative (Provisional Licence) 1CHAN Ming Hang APK743 Licensed Representative (Provisional Licence) 4CHAN Ming Wing AWH504 Licensed Representative (Provisional Licence) 1CHAN Mong Har AHT095 Licensed Representative (Provisional Licence) 1, 4CHAN On Kei, Angel ALN635 Licensed Representative (Provisional Licence) 1, 4, 9CHAN Siu Ping AWJ730 Licensed Representative (Provisional Licence) 1, 4CHAN Tai Yeung AWE573 Licensed Representative (Provisional Licence) 1CHAN Tai Yu AWI794 Licensed Representative (Provisional Licence) 1, 2CHAN Tat Fung ADO182 Licensed Representative (Provisional Licence) 1CHAN Ut Ieong AWF498 Licensed Representative (Provisional Licence) 4CHAN Wayne Holt AMH139 Licensed Representative (Provisional Licence) 6CHAN Wing Hei, Jason AWF756 Licensed Representative (Provisional Licence) 1, 2CHAN Wing Yee AWF337 Licensed Representative (Provisional Licence) 1CHAN Yin Tsung ATY748 Licensed Representative (Provisional Licence) 6CHANG Man Wai, Lawrence AWF164 Licensed Representative (Provisional Licence) 1CHAU Chun Wun AWH522 Licensed Representative (Provisional Licence) 1, 2CHAU Yuen Kit AWH565 Licensed Representative (Provisional Licence) 1, 6CHEN Amanda AWF103 Licensed Representative (Provisional Licence) 1, 6CHEN Chen AWI296 Licensed Representative (Provisional Licence) 6CHEN Jennifer Chen AWI665 Licensed Representative (Provisional Licence) 1, 6CHEN Jianwu AWG059 Licensed Representative (Provisional Licence) 1CHEN Ke AWG860 Licensed Representative (Provisional Licence) 1, 6CHEN Mu-Hsuan AWI094 Licensed Representative (Provisional Licence) 1CHEN Po-jen APN593 Licensed Representative (Provisional Licence) 1, 4CHENG Gao AWE189 Licensed Representative (Provisional Licence) 4CHENG Hoi Kwong AWH509 Licensed Representative (Provisional Licence) 1, 2CHENG Ka Ming AWG075 Licensed Representative (Provisional Licence) 1, 2CHENG Kam Wa AWJ164 Licensed Representative (Provisional Licence) 1, 2, 4CHENG Lai Yee AWH237 Licensed Representative (Provisional Licence) 1CHENG Mee Mee, Lina ASY524 Licensed Representative (Provisional Licence) 1, 2, 3

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 12/2010CE Name CE No. Licence Type Types of Regulated ActivityCHENG Ngan Chau AWD953 Licensed Representative (Provisional Licence) 1CHENG Tsz Yeung AWJ019 Licensed Representative (Provisional Licence) 1CHENG Wen Fei AVG908 Licensed Representative (Provisional Licence) 1, 4CHEUNG Hoi Yee Sue Ann AWH828 Licensed Representative (Provisional Licence) 1CHEUNG Mei Kuen Amy AWJ405 Licensed Representative (Provisional Licence) 1, 2CHEUNG Pui Hei, Christopher AWJ345 Licensed Representative (Provisional Licence) 9CHEUNG Sek Lim AME624 Licensed Representative (Provisional Licence) 1CHHUOR Vithaya AWI764 Licensed Representative (Provisional Licence) 4, 9CHIBA Lisa Herrell AWI663 Licensed Representative (Provisional Licence) 9CHIN Yuen Hung AWH920 Licensed Representative (Provisional Licence) 1CHIU Ho Ming AWI112 Licensed Representative (Provisional Licence) 4CHIU Wing Fai ADS695 Licensed Representative (Provisional Licence) 4CHO Ichio AWE957 Licensed Representative (Provisional Licence) 1, 4CHO Young Suk AWE411 Licensed Representative (Provisional Licence) 1CHOI Sae Joon AWF683 Licensed Representative (Provisional Licence) 1, 4, 9CHONG Wing Luk AWE952 Licensed Representative (Provisional Licence) 1CHOY Chu Fu Prudence AWJ707 Licensed Representative (Provisional Licence) 1, 2CHOY Phoebe Sin Ting AWJ867 Licensed Representative (Provisional Licence) 1CHU James Hendon AWJ622 Licensed Representative (Provisional Licence) 1, 9CHU Wai Ting, Eddie ABX990 Licensed Representative (Provisional Licence) 1, 4, 9CHU Xian AWI938 Licensed Representative (Provisional Licence) 4CHUI Cho Yiu, Joewick ADC848 Licensed Representative (Provisional Licence) 1, 9CHUN Man Kit, Vic AWE774 Licensed Representative (Provisional Licence) 6CHUNG Hoi Kei, Ronald AWF152 Licensed Representative (Provisional Licence) 1, 4CLARK Bettina Gay AHL626 Licensed Representative (Provisional Licence) 1COGHILL James Arthur Lawrence AWC079 Licensed Representative (Provisional Licence) 4DE CARVALHO Erick Warner AVH403 Licensed Representative (Provisional Licence) 1DELEPAU Yves Andre Pierre AWI266 Licensed Representative (Provisional Licence) 1DEN Izumi AWH496 Licensed Representative (Provisional Licence) 1DENG Zhenquan AWI748 Licensed Representative (Provisional Licence) 1, 2DONALD Robert Anthony AWI235 Licensed Representative (Provisional Licence) 9DONG Yujia AWH332 Licensed Representative (Provisional Licence) 1, 6EDANAMI Sawa AWH500 Licensed Representative (Provisional Licence) 1FAN Chi Wai AFU087 Licensed Representative (Provisional Licence) 1FANG Yuan APB792 Licensed Representative (Provisional Licence) 1, 6FANG Zhiying AWK007 Licensed Representative (Provisional Licence) 1FANNING Clive Rupert AWH503 Licensed Representative (Provisional Licence) 1

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 12/2010CE Name CE No. Licence Type Types of Regulated ActivityFARMER Kaitlin Marie AWF328 Licensed Representative (Provisional Licence) 1, 2FEI Peng AWH287 Licensed Representative (Provisional Licence) 4, 9FENG Wei AWI297 Licensed Representative (Provisional Licence) 6FENG Yue AWD853 Licensed Representative (Provisional Licence) 1, 6FISHER Kane Christian AWC457 Licensed Representative (Provisional Licence) 1, 2FONG Chi Wang AWD664 Licensed Representative (Provisional Licence) 1FOO Sung Way Nigel AVY265 Licensed Representative (Provisional Licence) 4, 9FRENCH Charles David AWI079 Licensed Representative (Provisional Licence) 2FUNG Chi Kei, Jackie AWH854 Licensed Representative (Provisional Licence) 1, 4, 9FUNG Chun Wai AWG917 Licensed Representative (Provisional Licence) 1FUNG Shuk Chong, Angela AWE944 Licensed Representative (Provisional Licence) 1GAO Fei AWD994 Licensed Representative (Provisional Licence) 1, 6GAO Hao AWH335 Licensed Representative (Provisional Licence) 1, 6GASSER Karin AWK318 Licensed Representative (Provisional Licence) 1, 4GAYNOR Kevin Brendan AWE840 Licensed Representative (Provisional Licence) 4, 5GOH Eng Kiat AWH794 Licensed Representative (Provisional Licence) 1, 6GOH Nicole Sue Yi AWE537 Licensed Representative (Provisional Licence) 4GOLDSHTEIN Simon AWI075 Licensed Representative (Provisional Licence) 1GROSE George Francis AWH234 Licensed Representative (Provisional Licence) 4GU Peng AWE910 Licensed Representative (Provisional Licence) 6GUERRA Pedro Luiz AVH400 Licensed Representative (Provisional Licence) 1GUHA ROY Tathagata ALN138 Licensed Representative (Provisional Licence) 4GUI Po Lung, Paul AGK580 Licensed Representative (Provisional Licence) 1GUO Jieyi AWH106 Licensed Representative (Provisional Licence) 1, 2GUPTA Rajeev AEY382 Licensed Representative (Provisional Licence) 1HAPARNAS Tal AWA426 Licensed Representative (Provisional Licence) 1, 4HAYES-GRIFFIN Alexander AWI108 Licensed Representative (Provisional Licence) 1, 6HITSCH Rudolf AEX704 Licensed Representative (Provisional Licence) 1, 2HO Chi Ming AWJ080 Licensed Representative (Provisional Licence) 1, 2HO Pui Hung AWE954 Licensed Representative (Provisional Licence) 1, 4HO See Wing AVS193 Licensed Representative (Provisional Licence) 1HO Sze Yuen AWH560 Licensed Representative (Provisional Licence) 1, 2HOLMES II Albert Dudley AWD589 Licensed Representative (Provisional Licence) 1, 2HONG Won Myong AWD856 Licensed Representative (Provisional Licence) 1, 6HONG Xiaohua AWH557 Licensed Representative (Provisional Licence) 1, 2, 9HOROWITZ Barry Alan AWC497 Licensed Representative (Provisional Licence) 1HU Mingjun AWF553 Licensed Representative (Provisional Licence) 1

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 12/2010CE Name CE No. Licence Type Types of Regulated ActivityHUA Andrew Sir AWH867 Licensed Representative (Provisional Licence) 1HUANG Chi Kiu AWH119 Licensed Representative (Provisional Licence) 1, 4HUANG Jiajun AWH242 Licensed Representative (Provisional Licence) 1, 6HUANG Julie Yu Hsin ARV795 Licensed Representative (Provisional Licence) 1, 2HUI Siu Wing ACM355 Licensed Representative (Provisional Licence) 1, 4, 9HUNG Kam Chan AWJ605 Licensed Representative (Provisional Licence) 1IP Cheuk Hon, Nathan AQH652 Licensed Representative (Provisional Licence) 1ISOBE Mahito AVZ835 Licensed Representative (Provisional Licence) 1JANG Eunjae AWG077 Licensed Representative (Provisional Licence) 1, 4, 9JIN Xiaolong AWJ022 Licensed Representative (Provisional Licence) 1JU Peirong AWJ167 Licensed Representative (Provisional Licence) 9JUILLARD Pierre-Emmanuel Yves AWH518 Licensed Representative (Provisional Licence) 1, 2KAN Yue Kai Edward AWJ921 Licensed Representative (Provisional Licence) 1KANO Sera Reika AWH549 Licensed Representative (Provisional Licence) 1KE Hiu Sing AUP719 Licensed Representative (Provisional Licence) 1KIM Yoon Hong AWI664 Licensed Representative (Provisional Licence) 1, 6KIRKWOOD Daniel Andreas AWH536 Licensed Representative (Provisional Licence) 1KOBAYASHI Toshio AWH556 Licensed Representative (Provisional Licence) 4KONG Sum Ying AFS337 Licensed Representative (Provisional Licence) 1, 4, 9KONISHI Gerson Hideaki AOG353 Licensed Representative (Provisional Licence) 1KOVACS Joseph James AWI763 Licensed Representative (Provisional Licence) 1, 4KRAUTHEIM Erica Shao-Ning AWG056 Licensed Representative (Provisional Licence) 1, 2KUMAR Manu AWJ819 Licensed Representative (Provisional Licence) 9KUNG Hwei Kuok AWI434 Licensed Representative (Provisional Licence) 1, 2KUO Yan Ki AWE687 Licensed Representative (Provisional Licence) 4KWAN Ka Yin AWF338 Licensed Representative (Provisional Licence) 1KWOK Chun Wai, Kenny AWE951 Licensed Representative (Provisional Licence) 1, 2KWONG Wai Chi AWF597 Licensed Representative (Provisional Licence) 4, 9LAI Hiu Yan, Lenny AWJ008 Licensed Representative (Provisional Licence) 1LAI Sze Nga ALQ190 Licensed Representative (Provisional Licence) 1, 2LAM Ho Yu AWF133 Licensed Representative (Provisional Licence) 1, 6LAM Lok Ki AWI153 Licensed Representative (Provisional Licence) 1LAM Pui Wai Peony AWJ625 Licensed Representative (Provisional Licence) 1, 2LAM Shue Wing AWG919 Licensed Representative (Provisional Licence) 1, 3LAM Sze Yuen AWJ748 Licensed Representative (Provisional Licence) 1LAM Yik Wa AWH855 Licensed Representative (Provisional Licence) 1LAU Ho Fai Keith AWJ157 Licensed Representative (Provisional Licence) 1, 2

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 12/2010CE Name CE No. Licence Type Types of Regulated ActivityLAU Mak Chi AWG054 Licensed Representative (Provisional Licence) 1, 2LAU Mimi Hong Ting AFR679 Licensed Representative (Provisional Licence) 1, 2, 4, 6, 7LAU Tsz Yan AWJ623 Licensed Representative (Provisional Licence) 1, 2LAU Wai Bun AWH043 Licensed Representative (Provisional Licence) 4LAU Yuen Ling, Pauline AEY548 Licensed Representative (Provisional Licence) 1, 4, 9LAW Chi Yuen ARI745 Licensed Representative (Provisional Licence) 3LEE Bertha AWB702 Licensed Representative (Provisional Licence) 1, 2LEE Chun Man AWJ497 Licensed Representative (Provisional Licence) 1LEE Gar Chung, Jason AWC884 Licensed Representative (Provisional Licence) 1, 4, 9LEE Jooho AWH795 Licensed Representative (Provisional Licence) 1, 4, 6LEE Ka Ho AWE955 Licensed Representative (Provisional Licence) 1, 2LEE Ling Lei, Linda AWF555 Licensed Representative (Provisional Licence) 1LEE Tak Wai AWI111 Licensed Representative (Provisional Licence) 1LEE Tin Ming AOU142 Licensed Representative (Provisional Licence) 1LEHNER JR Charles Warren AWI800 Licensed Representative (Provisional Licence) 1, 4LEI Pui Yuk, Winnie AWF642 Licensed Representative (Provisional Licence) 1, 4, 9LEONG Ai Lin AWF418 Licensed Representative (Provisional Licence) 1, 6LEUNG Chun Wah AWD533 Licensed Representative (Provisional Licence) 1LEUNG Ka Leung AWJ764 Licensed Representative (Provisional Licence) 2LEUNG Kai Cheung AWD952 Licensed Representative (Provisional Licence) 1LEUNG Kin Yip AWH336 Licensed Representative (Provisional Licence) 1, 6LEUNG Wai Kit AWI333 Licensed Representative (Provisional Licence) 1LEUNG Yuk Hei, Thomas AWD636 Licensed Representative (Provisional Licence) 1, 6LI Chenkan AWI078 Licensed Representative (Provisional Licence) 1, 6LI Feng AWJ613 Licensed Representative (Provisional Licence) 1, 2LI Jian AWF297 Licensed Representative (Provisional Licence) 4LI Linxuan Katrina AWI947 Licensed Representative (Provisional Licence) 1, 4, 6LI Ming Liang AWI068 Licensed Representative (Provisional Licence) 4, 9LI Ni AWK538 Licensed Representative (Provisional Licence) 4LI Shih-hui AWG925 Licensed Representative (Provisional Licence) 1, 4LI Shu AWH337 Licensed Representative (Provisional Licence) 1, 6LI Wing Kan, Blanche AWK455 Licensed Representative (Provisional Licence) 1, 4LIANG Chen-chung ABW695 Licensed Representative (Provisional Licence) 1, 6LIANG Ka Kit AWH505 Licensed Representative (Provisional Licence) 1LIM Cheng Kiat Eugene ADI136 Licensed Representative (Provisional Licence) 1LIN Huan Chih ADO049 Licensed Representative (Provisional Licence) 1, 2LIN Longbi AWF207 Licensed Representative (Provisional Licence) 1, 2, 7

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 12/2010CE Name CE No. Licence Type Types of Regulated ActivityLING Ka Man AWE723 Licensed Representative (Provisional Licence) 1LIU Bo AWF420 Licensed Representative (Provisional Licence) 1, 4, 6LIU Fang-ying AWH799 Licensed Representative (Provisional Licence) 1, 4LIU Hua AWJ588 Licensed Representative (Provisional Licence) 1LIU Jia AVX016 Licensed Representative (Provisional Licence) 6LIU Min AWI092 Licensed Representative (Provisional Licence) 1, 4, 9LIU Tian AWJ079 Licensed Representative (Provisional Licence) 4LIU Wanyun AUE706 Licensed Representative (Provisional Licence) 4, 9LIU Wei Cheng Wayne ANB756 Licensed Representative (Provisional Licence) 4LIU Yonggang AWE778 Licensed Representative (Provisional Licence) 1, 4, 9LO Eric, Hung Yin AWH123 Licensed Representative (Provisional Licence) 4, 5, 9LO Jia En, Benedict AWH796 Licensed Representative (Provisional Licence) 1, 6LO Sai Kit AVY257 Licensed Representative (Provisional Licence) 1, 3LO Wan Wai, Isaac AGR427 Licensed Representative (Provisional Licence) 9LONG Say Huan AWI085 Licensed Representative (Provisional Licence) 1, 6LU Yang AWI773 Licensed Representative (Provisional Licence) 1, 4LUI Tin Nang AFN679 Licensed Representative (Provisional Licence) 1LUK Pui Chi AWJ279 Licensed Representative (Provisional Licence) 1, 6LUO Yixin AWJ276 Licensed Representative (Provisional Licence) 4MAK Kwok Kei AWH798 Licensed Representative (Provisional Licence) 1, 4, 6MAN Lok Si, Lobsey AWJ159 Licensed Representative (Provisional Licence) 1MAN Pui Kuen AED063 Licensed Representative (Provisional Licence) 1MAN Tsz Ming AWH563 Licensed Representative (Provisional Licence) 1, 2MARIN GARAT Gustavo Carlos AVH404 Licensed Representative (Provisional Licence) 1MARRABLE Timothy John AVX728 Licensed Representative (Provisional Licence) 1, 4MCALLISTER Rory Edward Richard AAD523 Licensed Representative (Provisional Licence) 1MCDOUGALL Alexander Henry AWH550 Licensed Representative (Provisional Licence) 1, 9MILLER James Ian Mac Gregor AWH546 Licensed Representative (Provisional Licence) 1, 2MISZPUTEN Eduardo AVH408 Licensed Representative (Provisional Licence) 1MIYAUCHI Yuko AWH499 Licensed Representative (Provisional Licence) 1MOK King Lun, Philip AWF599 Licensed Representative (Provisional Licence) 1, 4NG Chi Keung AWH341 Licensed Representative (Provisional Licence) 1NG Eng Beng, Gary AWE924 Licensed Representative (Provisional Licence) 9NG Fuk Yee, Lily AWJ007 Licensed Representative (Provisional Licence) 1NG Wai Yin AWI746 Licensed Representative (Provisional Licence) 1, 2NG Yick Lun ALI460 Licensed Representative (Provisional Licence) 1, 4NG Yuk Wing AWH132 Licensed Representative (Provisional Licence) 1

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 12/2010CE Name CE No. Licence Type Types of Regulated ActivityNGAN Siu Keung Cliff AWI158 Licensed Representative (Provisional Licence) 1, 2, 3NIU Zhengguang AWI950 Licensed Representative (Provisional Licence) 1, 4, 6O'DONNELL Daniel Eugene AWH134 Licensed Representative (Provisional Licence) 1, 4, 6OBERG Oscar Donald Angus AWH340 Licensed Representative (Provisional Licence) 4OLIVEIRA Ana Luiza Ayres Barroca AWH885 Licensed Representative (Provisional Licence) 1, 2OLIVEIRA Rafael De Oliveira AWF157 Licensed Representative (Provisional Licence) 1, 2ONG Boon Kin, Lloyd AFJ463 Licensed Representative (Provisional Licence) 1PHAN Vee Leung AWE835 Licensed Representative (Provisional Licence) 1, 2, 7POON Chi Yeung AWI329 Licensed Representative (Provisional Licence) 1, 4QUEK Chong Wee AWI324 Licensed Representative (Provisional Licence) 1, 6RAMCHANDANI Sanam Raju AEO646 Licensed Representative (Provisional Licence) 1, 4, 9REN Na AWF620 Licensed Representative (Provisional Licence) 4, 9REYNOLDS Lance George AWF627 Licensed Representative (Provisional Licence) 4SCHNEIDER MAUNOURY Su AWF571 Licensed Representative (Provisional Licence) 1, 4, 9SCHROEDER Mary Colleen AJN967 Licensed Representative (Provisional Licence) 4SEBBAN Shimon Meir AWH872 Licensed Representative (Provisional Licence) 1SEROCOLD Mark Joseph Pearce AWI427 Licensed Representative (Provisional Licence) 1, 4, 9SHAO Chen AWE331 Licensed Representative (Provisional Licence) 4SHI Feng AWI080 Licensed Representative (Provisional Licence) 1, 6SHUM Ben AWJ362 Licensed Representative (Provisional Licence) 1, 4, 6SHVETS Viktor ACQ231 Licensed Representative (Provisional Licence) 4SIM Ryan Gerard Hock Chye AWK454 Licensed Representative (Provisional Licence) 1, 4SIN Hau Yi ANR892 Licensed Representative (Provisional Licence) 3SIU Kin Wa AWH334 Licensed Representative (Provisional Licence) 1, 4SO Chun Yung AWJ020 Licensed Representative (Provisional Licence) 1SO Ting Fung AWJ003 Licensed Representative (Provisional Licence) 6SONG Hong Fang AEA167 Licensed Representative (Provisional Licence) 1, 6SONG Yang AWJ028 Licensed Representative (Provisional Licence) 4SORIANO Pamela Bianca De Venecia AWH532 Licensed Representative (Provisional Licence) 1SOROS Robert Daniel AVQ819 Licensed Representative (Provisional Licence) 9STEPHANIE Natasha Simon Kudus AWF414 Licensed Representative (Provisional Licence) 1, 4, 6STROVER Edward Jason AUZ302 Licensed Representative (Provisional Licence) 1, 4SUBRAMANIAN Balakrishnan AWF074 Licensed Representative (Provisional Licence) 4, 9SUN He AWF650 Licensed Representative (Provisional Licence) 6SUN Yueming AWE532 Licensed Representative (Provisional Licence) 9SURYA Fonny AWJ109 Licensed Representative (Provisional Licence) 4SWIFT Anthony Nicholas AWH857 Licensed Representative (Provisional Licence) 1, 4, 9

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 12/2010CE Name CE No. Licence Type Types of Regulated ActivityTAI Timon AWG055 Licensed Representative (Provisional Licence) 4TAM Yat Kan AWG907 Licensed Representative (Provisional Licence) 1, 2TAN Geok Hua AJM691 Licensed Representative (Provisional Licence) 1TANG Siu Yee Connie AWJ624 Licensed Representative (Provisional Licence) 1, 2TANG Tsz Kin Michael AWK217 Licensed Representative (Provisional Licence) 6TANPRASERT Nattanee AWH913 Licensed Representative (Provisional Licence) 4TAO Liyuan AWK183 Licensed Representative (Provisional Licence) 1, 4TONG Wai Kei, William AIU544 Licensed Representative (Provisional Licence) 1, 2TRACHLI Mouhssine AWA048 Licensed Representative (Provisional Licence) 1, 2TRUELOVE Keith Alan AWF626 Licensed Representative (Provisional Licence) 1, 2TSANG Siu Wah AIO026 Licensed Representative (Provisional Licence) 1TSANG Yim Fan, Florence AWJ932 Licensed Representative (Provisional Licence) 1, 2TSENG Chia Hui AWF342 Licensed Representative (Provisional Licence) 1TSENG Hsien Hsu AVX017 Licensed Representative (Provisional Licence) 1, 2TSO Sin Cheung AWJ365 Licensed Representative (Provisional Licence) 1TSOI Man AIU275 Licensed Representative (Provisional Licence) 4TSOI Man Yu, Phyllis ADH901 Licensed Representative (Provisional Licence) 4, 6TSOI Yiu Yeung AWH564 Licensed Representative (Provisional Licence) 1TSUCHIMOTO Takehiro AWF625 Licensed Representative (Provisional Licence) 1, 2VISAIRAS RATTO Santos Martin APW262 Licensed Representative (Provisional Licence) 1VITRY Frantz AWH797 Licensed Representative (Provisional Licence) 1VOON Yee Woan AUX115 Licensed Representative (Provisional Licence) 4WALKER Alicia AWD560 Licensed Representative (Provisional Licence) 1, 2, 7WANG Bin AVZ046 Licensed Representative (Provisional Licence) 2WANG Huan AWI425 Licensed Representative (Provisional Licence) 4WANG Li-xian AWF057 Licensed Representative (Provisional Licence) 1, 2WANG Mengting AWJ513 Licensed Representative (Provisional Licence) 1, 6WANG Qian AWI081 Licensed Representative (Provisional Licence) 1, 6WANG Yinghui AWI338 Licensed Representative (Provisional Licence) 1, 6WEN Zhongjie AWF840 Licensed Representative (Provisional Licence) 1, 4, 6WONG Chi Kit, Amas AWG979 Licensed Representative (Provisional Licence) 1, 3WONG Christine, Taijia AWH511 Licensed Representative (Provisional Licence) 1, 2WONG Chun Lang, Johann AWJ931 Licensed Representative (Provisional Licence) 1, 2WONG Fung Lung AMN581 Licensed Representative (Provisional Licence) 4WONG Kin AWI152 Licensed Representative (Provisional Licence) 1WONG Lung Ngong AWG928 Licensed Representative (Provisional Licence) 4WONG Man Chun AWH342 Licensed Representative (Provisional Licence) 1

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 12/2010CE Name CE No. Licence Type Types of Regulated ActivityWONG Muk Wing Jimmy AWF681 Licensed Representative (Provisional Licence) 1WONG Pui Ying AWF281 Licensed Representative (Provisional Licence) 1WONG Wai Pui AWF166 Licensed Representative (Provisional Licence) 1, 2, 3WONG Wai Sing AWI330 Licensed Representative (Provisional Licence) 1, 2WONG Wan Kin AVM904 Licensed Representative (Provisional Licence) 1, 2WONG Yan Leung AWH117 Licensed Representative (Provisional Licence) 1, 2WONG Yuk Fong AWH238 Licensed Representative (Provisional Licence) 1WONG Yuk Kwan AOI977 Licensed Representative (Provisional Licence) 4WONG Yuk Man Erica AVE426 Licensed Representative (Provisional Licence) 1WU Chi-tai AWC499 Licensed Representative (Provisional Licence) 1WU Jeremy On Joon AOZ049 Licensed Representative (Provisional Licence) 1, 6WU Limin AWK245 Licensed Representative (Provisional Licence) 1WU Man AWH055 Licensed Representative (Provisional Licence) 1, 2WU Vicky Way Kay AWI156 Licensed Representative (Provisional Licence) 1WU Wing Hong, Simon AWH566 Licensed Representative (Provisional Licence) 1, 2XIE Na AVV222 Licensed Representative (Provisional Licence) 4, 9XU Huang Jian AWE777 Licensed Representative (Provisional Licence) 1, 4, 9YAN Kwok Kit AWJ610 Licensed Representative (Provisional Licence) 1YAN Si AWK174 Licensed Representative (Provisional Licence) 1, 6YANG Bohan AWH555 Licensed Representative (Provisional Licence) 1, 4YANG Hsin Yu AWJ406 Licensed Representative (Provisional Licence) 1, 2YANG Liqun ASE818 Licensed Representative (Provisional Licence) 1YANG Ruo AWD859 Licensed Representative (Provisional Licence) 1, 6YAO Xue AWK470 Licensed Representative (Provisional Licence) 4YE Feng ATO412 Licensed Representative (Provisional Licence) 1, 2YEH Hsin-Hsin AWK238 Licensed Representative (Provisional Licence) 1YEOLAWALA Mohammed Firoz AWC343 Licensed Representative (Provisional Licence) 1, 6YEUNG Tsz Fung ANJ834 Licensed Representative (Provisional Licence) 1, 2YIP Chin Ho AWE953 Licensed Representative (Provisional Licence) 1, 2YIP Chung Leung AWF608 Licensed Representative (Provisional Licence) 1YIP Man Yan, Abbie AWI435 Licensed Representative (Provisional Licence) 1YOON Ki Jong AWH133 Licensed Representative (Provisional Licence) 1, 4YOU Jingfeng ADK262 Licensed Representative (Provisional Licence) 1, 4, 6YU Man Tung AWH559 Licensed Representative (Provisional Licence) 1, 2YU Sin Tak, Chris AWF530 Licensed Representative (Provisional Licence) 1, 6YUAN Hang AWI220 Licensed Representative (Provisional Licence) 1, 4, 6ZENG Jupeng AWE950 Licensed Representative (Provisional Licence) 1, 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 12/2010CE Name CE No. Licence Type Types of Regulated ActivityZHANG Guilin AWF886 Licensed Representative (Provisional Licence) 6ZHANG Steve Sheng AWC639 Licensed Representative (Provisional Licence) 4ZHANG Ting AWF800 Licensed Representative (Provisional Licence) 1ZHANG Xi AWI936 Licensed Representative (Provisional Licence) 1, 6ZHANG Xia AWG867 Licensed Representative (Provisional Licence) 1, 6ZHANG Yiwen AVY269 Licensed Representative (Provisional Licence) 6ZHENG Wanshi AWI159 Licensed Representative (Provisional Licence) 9ZHENG Xiaoxi AWF326 Licensed Representative (Provisional Licence) 1ZHOU Quan AWI798 Licensed Representative (Provisional Licence) 1, 2ZHU Diwu AWG058 Licensed Representative (Provisional Licence) 1, 4ZHU Zhengben AWI937 Licensed Representative (Provisional Licence) 1, 6AHUJA Vivek Manohar ARI512 Licensed Representative (Temporary Licence) 1ANDERSON Eric Herbert AVT369 Licensed Representative (Temporary Licence) 1BAN Chong Wook AWH517 Licensed Representative (Temporary Licence) 4BARATON Xavier Francois AVC110 Licensed Representative (Temporary Licence) 1BROWN Adrian Peter Rudwick AWK213 Licensed Representative (Temporary Licence) 4BURKE John Patrick AWF162 Licensed Representative (Temporary Licence) 4CHELLAPPA Govindarajan AUX265 Licensed Representative (Temporary Licence) 4CHUNG Ji Bak AWK854 Licensed Representative (Temporary Licence) 1, 2CORNELL James Campbell ART873 Licensed Representative (Temporary Licence) 1DALTON Kurt Evan AWK466 Licensed Representative (Temporary Licence) 1DAS Rajeev Ranjan AWJ403 Licensed Representative (Temporary Licence) 1, 4DEROLD Christian AVW188 Licensed Representative (Temporary Licence) 1DUFOURNET Thierry Jean ATQ807 Licensed Representative (Temporary Licence) 1EMMETT Anthony James AVX215 Licensed Representative (Temporary Licence) 1, 2FERRAGU Pierre, Charles, Louis, Hubert, Marie AWJ160 Licensed Representative (Temporary Licence) 4FU Siu Lan AWH344 Licensed Representative (Temporary Licence) 1, 2GANDLER Lawrence J AWG927 Licensed Representative (Temporary Licence) 4GOH Eng Siang AUX124 Licensed Representative (Temporary Licence) 4GUPTA Ashish AWJ087 Licensed Representative (Temporary Licence) 4HALTERLEIN Dylan Stephen AVX418 Licensed Representative (Temporary Licence) 1, 2HARADA Sonoko APR256 Licensed Representative (Temporary Licence) 1ILARDI Francesco Saverio ATY957 Licensed Representative (Temporary Licence) 1KIEL Christopher Howard ARF108 Licensed Representative (Temporary Licence) 1LEE Tom Wai ABY974 Licensed Representative (Temporary Licence) 1MEHTA Nilang Jitendra AUW826 Licensed Representative (Temporary Licence) 1MORGAN Glenn David AWK540 Licensed Representative (Temporary Licence) 1

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 12/2010CE Name CE No. Licence Type Types of Regulated ActivityNG Kheng Siang AWH494 Licensed Representative (Temporary Licence) 1ROBERTS Thomas Angus Lysle AWK468 Licensed Representative (Temporary Licence) 1SASAKI Keiko AWH343 Licensed Representative (Temporary Licence) 1SHAH Sujay Girish AWL919 Licensed Representative (Temporary Licence) 1SHRIVASTAVA Deepak AQA679 Licensed Representative (Temporary Licence) 1, 6SOHN Myungwoo AWH514 Licensed Representative (Temporary Licence) 4TAN Ting Min AUX128 Licensed Representative (Temporary Licence) 4THAYER Scott Griffith AWK329 Licensed Representative (Temporary Licence) 1TOTH Gina Marie ARV876 Licensed Representative (Temporary Licence) 4VECHT Samuel Joseph AWE736 Licensed Representative (Temporary Licence) 1, 4WIRZ Pascal Francois Marie AUV421 Licensed Representative (Temporary Licence) 1YAMAMOTO Morihiro AVH184 Licensed Representative (Temporary Licence) 1Mitsubishi UFJ Securities (HK), Limited AAA889 Registered Institution 1, 4, 6, 9

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