ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2014

Transcription

1 CE Name CE No. Licence Type Types of Regulated Activity Arcus Investment Asia Limited BDD869 Licensed Corporation 4, 9 Ark Pacific Capital Management Limited BDI574 Licensed Corporation 4, 9 Aviate Global (Asia) Limited BBY489 Licensed Corporation 1, 4 BC Capital Management Limited BDD860 Licensed Corporation 4, 9 Dignari Capital Partners (HK) Limited BDE251 Licensed Corporation 9 efusion Capital Limited BDH468 Licensed Corporation 4, 9 FORMAX ASSET MANAGEMENT LIMITED BDG936 Licensed Corporation 9 Fulixin Global Wealth Management Limited BDA760 Licensed Corporation 4, 9 Insight Capital Management (Hong Kong) Limited BCR090 Licensed Corporation 4, 9 Mandarin Capital Limited BAU760 Licensed Corporation 9 Max Giant Limited BDH253 Licensed Corporation 9 Motilal Oswal Capital Markets (Hong Kong) Private Limited AYY301 Licensed Corporation 4 PC SECURITIES LIMITED BDC354 Licensed Corporation 1 Pedder Street Investment Management Limited AND470 Licensed Corporation 4, 9 Pleiad Investment Advisors Limited BDH770 Licensed Corporation 9 Zentrum Capital Advisors Limited BCU988 Licensed Corporation 9 ADIISARTA Adrian Joezer BCS131 Licensed Representative 4 ADISUSANTO Alvin BDL910 Licensed Representative 1 AHLUWALIA Aditya BDL929 Licensed Representative 1, 4, 9 AKIZUKI Manabu AMM295 Licensed Representative 4 ANG Weiyu BDM047 Licensed Representative 4 AOKI Daiju BDJ806 Licensed Representative 4 AU Yee Wing BDK994 Licensed Representative 4, 9 AUSTIN Gregory Charles AFP266 Licensed Representative 4 AYAMA Fukuko BDI751 Licensed Representative 2, 5 BAO Wenjing ARU022 Licensed Representative 1 BI Jingye BDM993 Licensed Representative 9 BIAGINI Bruno AZR690 Licensed Representative 1, 4, 6 BIRD Jonathon William BCW134 Licensed Representative 1, 2 BLIN Jean-Marie Ernest BCG561 Licensed Representative 9 BOH In Cher BDO022 Licensed Representative 1, 2 BONHOMME Mathieu Pierre BDL836 Licensed Representative 1, 2 BOXALL Steven Charles BDL788 Licensed Representative 1, 2 CAI Chong ANT649 Licensed Representative 1, 4, 6 CAO John AKW734 Licensed Representative 1, 6 CHAN Chak Kuen BDQ525 Licensed Representative 4, 5, 9 CHAN Chi Hang BDJ943 Licensed Representative 1 CHAN Chung Keung AFQ639 Licensed Representative 1, 4 CHAN F. W. BDM650 Licensed Representative 6 CHAN Hin Yeung BDL294 Licensed Representative 4 CHAN Ho Ming BDN235 Licensed Representative 1 CHAN Ho Yin, Biondi BDL283 Licensed Representative 1 CHAN Ka Kam BDM048 Licensed Representative 1 CHAN Kim Piu BDL418 Licensed Representative 1, 2 CHAN Koon Lik BDO850 Licensed Representative 1 CHAN Kwan Chuen, Martin BDK090 Licensed Representative 3 CHAN Maggie Chi Ying ALB562 Licensed Representative 1, 9 CHAN Ming Chun BDM024 Licensed Representative 1, 2 CHAN Shing Chung BDK078 Licensed Representative 1 CHAN Shu Fung BDJ926 Licensed Representative 2 CHAN Siu Ling BDL628 Licensed Representative 1 CHAN Wing Sze ARE665 Licensed Representative 1, 4 CHANDRA Sagarika BDL897 Licensed Representative 10 CHANIN Paul Robert Gerard ADX579 Licensed Representative 4 CHAU Aria ATB742 Licensed Representative 1 CHAU Yin APH045 Licensed Representative 1 CHEN Bo AXX169 Licensed Representative 4 CHEN Hangxia BDO018 Licensed Representative 4, 9 CHEN Jieqi BDM443 Licensed Representative 1, 6 CHEN Kairui BDL737 Licensed Representative 9 CHEN Lixue BDL308 Licensed Representative 1 CHEN Shu Har AEH999 Licensed Representative 1 CHEN Xue BCU613 Licensed Representative 1, 6 CHENG Chi Leong Christopher BDL876 Licensed Representative 1 CHENG Chin Hang BDM028 Licensed Representative 1 CHENG Chung Yan Nicole BDL393 Licensed Representative 1, 4, 6 CHENG Pak Wai AXS328 Licensed Representative 1 CHENG Wing Che AFP860 Licensed Representative 1, 4 CHENG Yan Ting AUC961 Licensed Representative 1 CHENG Yu Kan BDM256 Licensed Representative 1 CHENG Yu Nga AVW474 Licensed Representative 4, 9 Page 1 of 12

2 CHENG Yu Yan Jacqueline BDL548 Licensed Representative 1 CHEUNG Kat Cheung APH300 Licensed Representative 1, 2 CHEUNG Lee Yee BDI119 Licensed Representative 1 CHEUNG Ling Chu Sally BDL895 Licensed Representative 1 CHEUNG Mei Wan BDO465 Licensed Representative 1, 4 CHEUNG Wai Sum BDL391 Licensed Representative 1, 4 CHEUNG Ying Wan BDL299 Licensed Representative 1 CHIAO Li AEC714 Licensed Representative 9 CHIU Michael Tsz-Ming BDM347 Licensed Representative 6 CHO Kin Keung, Keith BDO181 Licensed Representative 1 CHO Kwang Hyun AQM640 Licensed Representative 4 CHOI Chi Kwan BDL387 Licensed Representative 1, 2 CHOI Ka Lai BDL752 Licensed Representative 1, 4, 9 CHOI Man Hung BDM211 Licensed Representative 1, 4 CHONG Yee Wai ARM326 Licensed Representative 9 CHOW Yung BDL629 Licensed Representative 1 CHOW Alan Kai Yuu BDL020 Licensed Representative 9 CHOW Cheuk Wing BDM383 Licensed Representative 1 CHOW Lai Yee BDJ562 Licensed Representative 1, 2 CHOW Man Yee, Kitty AMZ977 Licensed Representative 1, 4, 9 CHOW Sau Sin BDN205 Licensed Representative 1, 4 CHOW Yong BDL027 Licensed Representative 1 CHOY Sze Wai BDM840 Licensed Representative 1, 2 CHU Karin AYJ499 Licensed Representative 1, 2 CHUANG Wei Lun BDM987 Licensed Representative 1, 4, 5, 9 CHUENG Man Ting Stella BDL886 Licensed Representative 1, 4 CHUNG Kim Wah BDK122 Licensed Representative 4, 9 CHUNG Lai Kan BDI918 Licensed Representative 1 CHUNG Yeung Mui BDM815 Licensed Representative 1, 4, 9 CLAYTON Luke Edmund BDJ769 Licensed Representative 1 COX Simon James BDM349 Licensed Representative 1, 4 DAI Yilun BDC500 Licensed Representative 1, 6 DESAI Mohan Kumar AOY872 Licensed Representative 1, 4, 6 DONG Hemeng BCS735 Licensed Representative 1, 4 DONG Sen BDM553 Licensed Representative 9 DONG Yanyi BDJ829 Licensed Representative 1, 4 DROUMAGUET Matthieu BDL732 Licensed Representative 1, 4 ENDO Yoshiya BDL126 Licensed Representative 4, 9 EVANS Mark Benedict Huntley ADC383 Licensed Representative 1, 4 FALLON James Thomas AMX827 Licensed Representative 9 FAN Lili AOT501 Licensed Representative 4, 9 FAN Mingzi BCR035 Licensed Representative 6 FANG Chao BDH515 Licensed Representative 1, 4 FANG Yao BDM032 Licensed Representative 1, 6 FENG Zhe AXK800 Licensed Representative 1, 4 FOK Shuang Hong Shan Cie BDK993 Licensed Representative 1, 6 FONG Sze Tik BDK813 Licensed Representative 1, 2 FOU Shuwa Bruce BDL001 Licensed Representative 1, 4, 6 FU Fuxing BDL384 Licensed Representative 1, 4, 6 FUJII Shunsuke BDM851 Licensed Representative 1, 2 FUNG Shu Hong BDM663 Licensed Representative 4 FUNG Yuk Kwan BDM522 Licensed Representative 1 GE Xiaobai BDH915 Licensed Representative 6 GHORAWAT Shreya BDE074 Licensed Representative 1, 6 GIUBIN Marco AFM575 Licensed Representative 4, 5, 9 GOH Leng Teck BDL305 Licensed Representative 1, 2 GUHA Krishna Jyoti ALF245 Licensed Representative 4 HE Jiahao BDM345 Licensed Representative 1, 2 HE Ting BDD699 Licensed Representative 1, 6 HE Yan BBF136 Licensed Representative 1 HEO Hong BDN047 Licensed Representative 1 HIROKANE Masaharu AWO791 Licensed Representative 4 HO Kwun Wah Stephon BCI813 Licensed Representative 1 HO Man Kit BDE257 Licensed Representative 4, 9 HO Ting Fung, Grammie AQI017 Licensed Representative 1, 4, 9 HO Wing Leung AKS665 Licensed Representative 1 HO Wing Sing, Vincent BDK834 Licensed Representative 1, 4 HO Winston Hon Tao BDK999 Licensed Representative 1 HO Ying Wo BDL567 Licensed Representative 1, 4, 6 HOR Hon Lam BDL394 Licensed Representative 1, 4, 9 HORIKOSHI Kosuke BDJ461 Licensed Representative 1 HOU Naicong BCU989 Licensed Representative 1, 6 Page 2 of 12

3 HSIEH Yuk Chun ACA339 Licensed Representative 1, 9 HU Han BDC637 Licensed Representative 4, 9 HU Jing BDJ941 Licensed Representative 1 HUANG Chuan BDA706 Licensed Representative 1, 6 HUANG Hongping BDM988 Licensed Representative 4, 9 HUANG Kuo-Wei BDK097 Licensed Representative 1 HUANG Li-wei BDM252 Licensed Representative 1, 4 HUANG Yike BDA373 Licensed Representative 6 HUI Sai Fung BDL757 Licensed Representative 1, 4, 9 HUNG Pak Yung AZC682 Licensed Representative 4, 9 HUNG Yuen Ling, Gloria BDL306 Licensed Representative 1 HUO Da BDK083 Licensed Representative 1, 6 ICHARD Laurent, David, Cyril BDO023 Licensed Representative 1, 2 IIDA Toshiro BBN511 Licensed Representative 9 IMBERTI Emmanuel Guillaume Marie BDL104 Licensed Representative 1 IP Koon Wah APZ599 Licensed Representative 1, 2 JASANI Tejas Bipin Jasani BDK832 Licensed Representative 1, 4, 6 JEONG Hyeonseok BDM376 Licensed Representative 9 JIANG Xiang BDJ974 Licensed Representative 2 JINDLE Kunal BDL108 Licensed Representative 9 JOMAN Sylvia BCN707 Licensed Representative 1 JOO Chang Han BDH641 Licensed Representative 4 KAM Hiu Man BDL106 Licensed Representative 1, 4 KAM Mou Ken AAF725 Licensed Representative 1, 2 KANG In Hwan BDN285 Licensed Representative 1, 4 KANG XIAO Paloma Blanca BDM063 Licensed Representative 1 KAO Yu Lap, Alan BDL571 Licensed Representative 1, 2, 4 KEUNG Hoi Hing BDL906 Licensed Representative 10 KEUNG Jun Chao BDK110 Licensed Representative 9 KHOO Siew Kay BDM540 Licensed Representative 1, 6 KIM Hyungjun BDI593 Licensed Representative 1 KIM Jason Yong ARF013 Licensed Representative 1, 4 KOHTANI Motoya ARF535 Licensed Representative 4 KONG Lingxin BDA769 Licensed Representative 1, 4 KUSNADI Veronica BCN530 Licensed Representative 1 KWAN Ho Yan BDF465 Licensed Representative 6 KWAN Kin Man BDL724 Licensed Representative 9 KWOK Sin Ting, Savin BDL246 Licensed Representative 1 LACZ Katie BDJ028 Licensed Representative 1 LAI Chengdi BDL588 Licensed Representative 9 LAI Wing Yan BDL928 Licensed Representative 1 LAIRD Simon BCJ356 Licensed Representative 1 LAM Ka Wai BDM257 Licensed Representative 1, 2 LAM Kin On AHU182 Licensed Representative 1 LAM Lorraine Sien-yue AOY223 Licensed Representative 1, 4 LAM Peter Gary BDL307 Licensed Representative 1, 2 LAM Shiu Ye, Philip BDL401 Licensed Representative 1 LAM Sui Fan BDM064 Licensed Representative 3 LAM Theodore Haw Huei BDL547 Licensed Representative 1, 2 LAN Jason Tian BDJ936 Licensed Representative 1, 4, 6 LAU Chau Yue BDO030 Licensed Representative 1 LAU Hoi Ki BDJ833 Licensed Representative 1 LAU Pui Ho BDO029 Licensed Representative 1 LAU Shing Fung, Matthew BDM057 Licensed Representative 1 LAU Tsz Ho AWO218 Licensed Representative 2 LAU Wa Ching BDJ444 Licensed Representative 1, 6 LAU Wai Ming, Patrick AFM339 Licensed Representative 1, 4, 9 LAU Wing Man BDM838 Licensed Representative 1 LAU Ying Tung BDI852 Licensed Representative 1 LAW Yu Ting, Aitken BDN042 Licensed Representative 1 LEE Bong Tae AQP646 Licensed Representative 1, 4 LEE David Seungwoo BDE259 Licensed Representative 4, 9 LEE Fiona BDL107 Licensed Representative 6 LEE Francis Min-See AZY794 Licensed Representative 4, 9 LEE Ho Yin BDH858 Licensed Representative 1, 2 LEE James Siu Lung BBZ816 Licensed Representative 1, 2, 4, 5 LEE Lai Shan BDM337 Licensed Representative 1, 2 LEE Sze Pui BDJ753 Licensed Representative 1, 4 LEE Yongho BDN262 Licensed Representative 1, 4 LEUNG Chi Him BDI116 Licensed Representative 1 LEUNG Ka Wun BDK088 Licensed Representative 1 LEUNG Kan Tung BDM722 Licensed Representative 1 Page 3 of 12

4 LEUNG Kelvin Ming Yuen AWK629 Licensed Representative 1, 4 LEUNG Pak Lun BDN032 Licensed Representative 1 LEUNG Sik Hong BDJ955 Licensed Representative 1 LEUNG Stanley ADC104 Licensed Representative 1, 6 LEUNG Yiu Ki, Stephen APB446 Licensed Representative 4 LEW Cheuk Ning BDM050 Licensed Representative 1, 4 LI Mingqi BDJ446 Licensed Representative 9 LI Adrian BDJ811 Licensed Representative 1, 6 LI Bai BDM543 Licensed Representative 1, 2 LI Dongfang BDJ958 Licensed Representative 1, 4 LI Heng BDM557 Licensed Representative 9 LI Jing BDM444 Licensed Representative 1, 6 LI Mingqian BDK928 Licensed Representative 1, 2, 7 LI Peng BDD337 Licensed Representative 4 LI Ran BDL985 Licensed Representative 1, 2 LI Shuwan BDK082 Licensed Representative 1, 6 LI Wei BCS955 Licensed Representative 4, 5 LI Wing Yan, Kathy AXY631 Licensed Representative 9 LI Xin BCU037 Licensed Representative 1, 6 LIAN Daniel Da BCW815 Licensed Representative 1, 4 LIM David Aik Liang AXR836 Licensed Representative 9 LIM Pek Kueen BDL625 Licensed Representative 1, 2 LIN Jinjun BDL609 Licensed Representative 1, 6 LIN King Yeung BDK814 Licensed Representative 6 LIN Yujun AYK934 Licensed Representative 9 LIU Congbin BCS978 Licensed Representative 1, 2 LIU Danai BCU746 Licensed Representative 6 LIU Fan BDD352 Licensed Representative 1, 4 LIU Guangming BDD671 Licensed Representative 4, 9 LIU Hsin Yu Vanessa ANZ658 Licensed Representative 1 LIU Huaxin BDD150 Licensed Representative 1, 6 LIU Xiangting BDL783 Licensed Representative 1 LIU Xiaoxi BDA505 Licensed Representative 1, 4 LIU Yihe BDL890 Licensed Representative 4 LIU Zandrew Chin Tao BDO201 Licensed Representative 1, 4, 9 LO Ka Son BDM544 Licensed Representative 1 LO Siu Lung BDK089 Licensed Representative 4 LO Wai Man, Vivian BDL002 Licensed Representative 1, 4, 9 LOK Ka Fai AYL132 Licensed Representative 1, 4 LUI Chi Man BAI751 Licensed Representative 6 LUI Pui Sze, Cissy AAE565 Licensed Representative 5 LUM Wai Soon BDM726 Licensed Representative 1 MA Jin BCZ314 Licensed Representative 1 MA Sai Wun, Ginny AXL657 Licensed Representative 1 MACKAY Tristan Scott BDH664 Licensed Representative 1 MACPHILLAMY Douglas John BDJ799 Licensed Representative 4 MAK Kin Keung BDJ475 Licensed Representative 1 MAK Wing Yan AHU543 Licensed Representative 9 MAN Guoqiang BCT446 Licensed Representative 1 MAN Ka Lai BDL412 Licensed Representative 4 MARWAH Ritesh BDM859 Licensed Representative 1, 2 MCGEOCH Angus Hamilton AYP088 Licensed Representative 1 MCKEEVER Stephen James AFH236 Licensed Representative 1, 4 MCLEAN Robert BDK076 Licensed Representative 1, 4 MENG Jiao BCU745 Licensed Representative 1, 6 MILLER Daniel Owen ACU447 Licensed Representative 1, 2 MINARIK David Matthew AUW513 Licensed Representative 9 MING Wai Hong BDN056 Licensed Representative 1 MIU Yin Lark Melody BDM351 Licensed Representative 1 MO Yuen Man Anita BDM354 Licensed Representative 1 MOK Chin Ping ATV927 Licensed Representative 1 MORRISON Jessica Mary AZL269 Licensed Representative 1, 7 MOYNIHAN Daniel John BDM186 Licensed Representative 1 NG Chi Fai ACR411 Licensed Representative 1 NG Kai Yui BDJ956 Licensed Representative 1, 2 NG Kin Shing, Kenny ATN588 Licensed Representative 9 NG Michael William AZD376 Licensed Representative 4, 5, 9 NG Sau Wah, Christ BDO002 Licensed Representative 1, 2, 4 NG Yan Ting BDL442 Licensed Representative 4 NG Yuk Wai BDK988 Licensed Representative 1, 6 NING Ching, Rachel AZS063 Licensed Representative 1, 4 OHI Kanji BDN343 Licensed Representative 4, 9 Page 4 of 12

5 OKAWA Tomohiro BDJ815 Licensed Representative 4 OKUMURA Junji BDJ467 Licensed Representative 9 OOI Ling Hui BDJ466 Licensed Representative 1, 4 OW Dennis Kian Jing BDJ762 Licensed Representative 6 PAN Yuanji BCU992 Licensed Representative 1, 4, 9 PANG Ka Po BDK981 Licensed Representative 1, 6 PHAN Thu Anh BDL004 Licensed Representative 1, 4 POON Chi Chung AZK124 Licensed Representative 1, 2 PURTSCHERT Markus Anton BDJ456 Licensed Representative 1, 4, 9 QI Fei BCU239 Licensed Representative 1, 6 QIN Xiaoqing BDM496 Licensed Representative 1, 6 REID Robert Stephen AIC473 Licensed Representative 1, 4, 9 ROY GHATAK Dhiman BDJ566 Licensed Representative 1, 2, 4 SAE TOW Samrouy BDL309 Licensed Representative 1 SAITO Namiko BDL241 Licensed Representative 1 SALGAOCAR Rohit Anil AIU565 Licensed Representative 1 SANDAYA Hiroyoshi BDD021 Licensed Representative 1, 2 SENER Fatih AWA028 Licensed Representative 1, 2 SHAFIK Michael Samir BAW673 Licensed Representative 1, 2 SHAO Zuoyin BDM007 Licensed Representative 4 SHEN Yi BCS498 Licensed Representative 6 SHI Fang BDD154 Licensed Representative 1, 6 SHI Mingda BDK856 Licensed Representative 1, 4, 9 SHUM Wan Hung BDM350 Licensed Representative 1, 4 SIN Ka Wai BDL790 Licensed Representative 1, 2 SIU Pui Sun APR500 Licensed Representative 1, 4, 9 SO Chi Kay BDM977 Licensed Representative 1, 4 SOH David AEI247 Licensed Representative 1, 4 SONG Chaoran BDL242 Licensed Representative 1, 2 SONG Hubin BDJ828 Licensed Representative 1, 4 SONG Tianxiao BDM518 Licensed Representative 1, 4, 9 SONG Xiao Feng BDM714 Licensed Representative 1 STOREY Benjamin Lee BDJ961 Licensed Representative 1, 2, 7 SUN Wanxing BDJ929 Licensed Representative 1, 4 SUN Yuhong AXW919 Licensed Representative 1, 4 TAM Chi Fu, Julian AOE685 Licensed Representative 9 TAM Chiu Kin BDL026 Licensed Representative 1, 2 TAM Wai Ho Joseph BDJ927 Licensed Representative 1 TAN I-JOU BDK100 Licensed Representative 1 TANG Hao BDJ944 Licensed Representative 1, 4 TANG Hoi Man, Heymman ANW846 Licensed Representative 1, 4 TANG Wai BDJ826 Licensed Representative 1, 4 TANG Yi BCT445 Licensed Representative 1 TANG Yiqi BDO486 Licensed Representative 1, 6 TANG Yong BCT447 Licensed Representative 1 TENG Chia-Wen BDM861 Licensed Representative 1, 4 TIAN Yuan BCV868 Licensed Representative 6 TIN Ho Nam BDN055 Licensed Representative 1 TIN Yip Wing AGF342 Licensed Representative 1, 2 TO Hin Hang BDL553 Licensed Representative 1, 4 TONG Francis Ho Yuen BDN346 Licensed Representative 9 TONG Jiazhen BDL440 Licensed Representative 1, 4, 6 TONG Sze Chung BDH293 Licensed Representative 1 TONG Wai Pang BDJ303 Licensed Representative 1 TROJANOW Padideh Nora BCX240 Licensed Representative 1, 2 TSAI Sze Wui AVH108 Licensed Representative 9 TSANG Kam Wa ASD601 Licensed Representative 1 TSE Hau Yin Yvonne BDI546 Licensed Representative 1, 2 TSE Wai Chor BDL744 Licensed Representative 4, 9 TSUI Man San Michelle AVJ446 Licensed Representative 1, 4 TSUI Moon Sze BDK825 Licensed Representative 1 TSUI Pui Sze Bessy BDK980 Licensed Representative 1, 4 TUNG Yuk Yu, Anthony BDL726 Licensed Representative 1 VENET Thierry Victor BBJ307 Licensed Representative 9 WAN Ka Wai BDM260 Licensed Representative 1, 4, 9 WAN Kam Sing AMB767 Licensed Representative 1 WANG Yifen David BDL759 Licensed Representative 1, 4, 9 WANG Andrew Hao BDJ171 Licensed Representative 1, 6 WANG Fanrong BCS752 Licensed Representative 1 WANG Feiran BCZ178 Licensed Representative 1, 2, 9 WANG Haichen BDB885 Licensed Representative 1, 6 WANG Jiewei AZY919 Licensed Representative 6 Page 5 of 12

6 WANG Lu BDM346 Licensed Representative 9 WANG Vivien Wen BDL896 Licensed Representative 4, 9 WANG Wenbei BCS501 Licensed Representative 6 WANG Zhuqiong BCZ526 Licensed Representative 1, 6 WARHURST Paul Simon APN838 Licensed Representative 1 WAT Chi Wang BDM636 Licensed Representative 1, 2 WEI Qian BDI858 Licensed Representative 6 WENG Ryan AZD385 Licensed Representative 1, 4 WHITAKER II William Ray BDE263 Licensed Representative 4, 9 WONG Ka Yiu BDL398 Licensed Representative 1 WONG Kin Keung BBR218 Licensed Representative 1 WONG Kit Yee BDM238 Licensed Representative 1 WONG Kwei Hoi BDJ773 Licensed Representative 1, 4 WONG Kwok Chung ATL699 Licensed Representative 1, 2, 3 WONG Leung Yiu Wallace BDL642 Licensed Representative 1, 4, 6 WONG Man San, Benny ADN019 Licensed Representative 4 WONG Micah En Teck BDK995 Licensed Representative 1 WONG Ming Hei BDJ431 Licensed Representative 1 WONG Shuk Kwan AOU619 Licensed Representative 1 WONG Shuk Yan, Michelle BDJ760 Licensed Representative 1 WONG Siu Yin BDN280 Licensed Representative 1, 4 WONG Suet Kwan, Phoebe BDM520 Licensed Representative 1, 6 WONG Suet Yi ALH739 Licensed Representative 1 WONG Tak Hung AMS556 Licensed Representative 1, 2 WONG Ting Yuen BDM053 Licensed Representative 1, 2, 9 WONG Wai Ting BDI841 Licensed Representative 1 WU Dan BDA716 Licensed Representative 1, 6 WU Huai-En BDM852 Licensed Representative 1, 4 WU Kei Shan AFV098 Licensed Representative 1, 2 WU Stella Xueyao BDJ451 Licensed Representative 1 WU Xiaoyu BDL577 Licensed Representative 4 XIN Ming BDM445 Licensed Representative 6 XING Ping Ping BDM853 Licensed Representative 10 XU Linjie BCR066 Licensed Representative 6 XU Yanjing BDI760 Licensed Representative 4 YAMANE Masaaki BDM387 Licensed Representative 9 YAN Wai Ling BDJ573 Licensed Representative 1 YANG Fan BDD668 Licensed Representative 4, 9 YANG Shiyu BDL544 Licensed Representative 4, 6 YANG Suo BCQ590 Licensed Representative 1, 6 YANG Xi BCO758 Licensed Representative 1 YANG Ying BDK831 Licensed Representative 4, 9 YAO Kai ATS734 Licensed Representative 4, 9 YAP Hing Man, Bonnie ALZ589 Licensed Representative 1, 4, 9 YEUNG Chor Fung ALQ130 Licensed Representative 1 YIN Jianbo BDM666 Licensed Representative 4, 6 YING Chongxi BDL301 Licensed Representative 4 YIP Ka Ho ALQ922 Licensed Representative 1, 4 YIP Wing Shan AQE312 Licensed Representative 1 YIP Yuen Ting Regina BDO997 Licensed Representative 4, 9 YIU Ching Fong AWU849 Licensed Representative 1, 2 YIU Hon Wang Henry BDM179 Licensed Representative 9 YU Chi Tak BDM382 Licensed Representative 1 YU Chunmei BDD497 Licensed Representative 1, 4, 9 YU Hing Chun ARP333 Licensed Representative 1, 2 YU Hoi Yan BDM258 Licensed Representative 4, 9 YU Hoi Yiu BDJ782 Licensed Representative 1, 4 YU Qing BDG026 Licensed Representative 4 YU Siu Kee BDM536 Licensed Representative 1 YU Xiaobo BDL605 Licensed Representative 1, 4, 9 YUAN Feiwen BCQ810 Licensed Representative 4, 5 YUAN Ren Jie BDL789 Licensed Representative 10 YUEN Ka Shing BDM670 Licensed Representative 1, 4, 9 YUNG Wing Kei BDM982 Licensed Representative 1 ZHANG Guopeng BCT507 Licensed Representative 1, 2 ZHANG Qin AUV596 Licensed Representative 9 ZHANG Shengqiao BDM737 Licensed Representative 6 ZHANG Shuyu BDM441 Licensed Representative 1, 6 ZHANG Su BDJ817 Licensed Representative 1 ZHANG Wei AVI825 Licensed Representative 6 ZHANG Xiaoning BDI527 Licensed Representative 4 ZHANG Yang BDM026 Licensed Representative 4 Page 6 of 12

7 ZHANG Yu BDN241 Licensed Representative 1, 2 ZHANG Ziyun BDL274 Licensed Representative 9 ZHAO Jianchi BDA721 Licensed Representative 1, 6 ZHAO Yun BDF779 Licensed Representative 4 ZHENG Rui BCY424 Licensed Representative 1, 6 ZHENG Xuedong ARV905 Licensed Representative 4 ZHENG Zhen BCZ940 Licensed Representative 2 ZHOU Junyang BDL803 Licensed Representative 4 ZHOU Shifei BDM526 Licensed Representative 1, 4, 9 ZHOU Yun BCS988 Licensed Representative 1, 2 ZHU Mantian Myron AMQ629 Licensed Representative 4, 9 ZHU Ran BDK820 Licensed Representative 4 AKIYAMA Norifumi BDM900 Licensed Representative - Responsible Officer 1, 2, 4, 5, 6, 9 ARNOTT Robert Lauriston John BBY536 Licensed Representative - Responsible Officer 1, 4 BOTELHO BASTOS Pedro Augusto ATV304 Licensed Representative - Responsible Officer 1, 4, 9 BROOKS Nicholas John BDD878 Licensed Representative - Responsible Officer 4, 9 BUCKLEY Robert James Hugh BBY530 Licensed Representative - Responsible Officer 1, 4 CHIN Ching Lan ACZ592 Licensed Representative - Responsible Officer 1, 2 CHOW Mei Shi, Juliana AHR793 Licensed Representative - Responsible Officer 1 CHUNG Shu Woon BDJ116 Licensed Representative - Responsible Officer 1 HO Kum Loon Patrick AGH918 Licensed Representative - Responsible Officer 1, 4 KING Yue Shan Audrey BCU978 Licensed Representative - Responsible Officer 9 KWOK Raymond AUT715 Licensed Representative - Responsible Officer 4, 9 LAU Tak Kei, Arthur ANA187 Licensed Representative - Responsible Officer 4, 9 LAW Wai Hung AVZ536 Licensed Representative - Responsible Officer 1, 4 LEE David AHX965 Licensed Representative - Responsible Officer 4, 9 LEUNG Man Wai AEU886 Licensed Representative - Responsible Officer 4, 9 LIU Ying Chen AHP730 Licensed Representative - Responsible Officer 6 MARMION Myles Columba BDM368 Licensed Representative - Responsible Officer 9 PAN Colin Stephen BDE138 Licensed Representative - Responsible Officer 1, 4 PEARSON Mark Anthony BDD874 Licensed Representative - Responsible Officer 4, 9 SUZUKI Kosuke BDI115 Licensed Representative - Responsible Officer 4, 9 TAN Yen Keng AOA645 Licensed Representative - Responsible Officer 1, 4 TARE Abhijit Anil AYY297 Licensed Representative - Responsible Officer 4 TSANG Hing Shun, Thomas APJ744 Licensed Representative - Responsible Officer 9 VAN DER GRAAF Roderik Cornelis APV504 Licensed Representative - Responsible Officer 9 WANG Jian BDD861 Licensed Representative - Responsible Officer 4, 9 WANG Zhenyu BDH954 Licensed Representative - Responsible Officer 9 WOO Wing Sum, Samuel ALN679 Licensed Representative - Responsible Officer 4, 9 WU Shangzhi AFN509 Licensed Representative - Responsible Officer 9 XU Ruqi BDD863 Licensed Representative - Responsible Officer 4, 9 AL-KARIMI Syed Daanish BDN977 Licensed Representative (Provisional Licence) 1, 4 ARNOLD Benjamin Richard BDM658 Licensed Representative (Provisional Licence) 1, 2, 7 AUSTIN Gregory Charles AFP266 Licensed Representative (Provisional Licence) 4 BAI Xiangliang BDO575 Licensed Representative (Provisional Licence) 3 BAI Yang BDQ057 Licensed Representative (Provisional Licence) 1, 4, 9 BANSAL Neha BDO172 Licensed Representative (Provisional Licence) 4, 5 BAO Wenjing ARU022 Licensed Representative (Provisional Licence) 1 BEDFORD Jason Kyle BDO004 Licensed Representative (Provisional Licence) 4 BEVINAHAL Rahul BDO184 Licensed Representative (Provisional Licence) 1, 7 BHARADWAJ Goutham BDP709 Licensed Representative (Provisional Licence) 1, 2 BI Jingye BDM993 Licensed Representative (Provisional Licence) 9 BOH In Cher BDO022 Licensed Representative (Provisional Licence) 1, 2 BONHOMME Mathieu Pierre BDL836 Licensed Representative (Provisional Licence) 1, 2 BONIFANT Patrick Clark-Hall BDL774 Licensed Representative (Provisional Licence) 1, 2 BOTELHO BASTOS Pedro Augusto ATV304 Licensed Representative (Provisional Licence) 1, 4, 9 BROWN Alexander David BDP481 Licensed Representative (Provisional Licence) 1 BROWN Andrew Ollie ACZ477 Licensed Representative (Provisional Licence) 1, 2 CAMPBELL Lesley Anne BDM818 Licensed Representative (Provisional Licence) 2 CHAMOIS Pierrick BDP227 Licensed Representative (Provisional Licence) 1 CHAN Chiu Fu BDO342 Licensed Representative (Provisional Licence) 1, 2 CHAN Chung Keung AFQ639 Licensed Representative (Provisional Licence) 1, 4 CHAN Francesco Chi Ho AXK441 Licensed Representative (Provisional Licence) 4, 9 CHAN Hin Man BAL117 Licensed Representative (Provisional Licence) 1, 6 CHAN Hiu Wa BDN158 Licensed Representative (Provisional Licence) 1, 4 CHAN Shiu Tong, Terence BDP694 Licensed Representative (Provisional Licence) 1, 2 CHAN Veronica Fung Chu BDP442 Licensed Representative (Provisional Licence) 1 CHAN Yat Sing ANI726 Licensed Representative (Provisional Licence) 1, 6 CHAN Yee Ming BDO787 Licensed Representative (Provisional Licence) 1, 4 CHAN Yin Chi BDQ633 Licensed Representative (Provisional Licence) 4, 6, 9 CHEN Feifan BDM896 Licensed Representative (Provisional Licence) 1, 6 CHEN Lin AOX336 Licensed Representative (Provisional Licence) 4 Page 7 of 12

8 CHEN Sihan BDO731 Licensed Representative (Provisional Licence) 9 CHEN Yujie BDP287 Licensed Representative (Provisional Licence) 1, 4 CHEONG Yew Choong, Ronald BDM439 Licensed Representative (Provisional Licence) 9 CHEUNG Chi Yan ARE601 Licensed Representative (Provisional Licence) 1 CHEUNG Hoi Hang ANM164 Licensed Representative (Provisional Licence) 1 CHEUNG Wing Wah, Jeff AEG141 Licensed Representative (Provisional Licence) 1 CHEUNG Ying Hei AQN588 Licensed Representative (Provisional Licence) 1, 2, 3 CHINOY Yezdi Phiroze BDQ782 Licensed Representative (Provisional Licence) 1, 4, 5, 9 CHIU Sen Mo AGK818 Licensed Representative (Provisional Licence) 1 CHO Jong Ug AQD245 Licensed Representative (Provisional Licence) 1 CHOI Chak Lam, William BDO350 Licensed Representative (Provisional Licence) 1 CHONG Lee Len BDO847 Licensed Representative (Provisional Licence) 4 CHOW Chun Pang AWH239 Licensed Representative (Provisional Licence) 1 CHOY Ka Chai BDO840 Licensed Representative (Provisional Licence) 1 CHU Chaoyang BDM532 Licensed Representative (Provisional Licence) 6 CHU Wan Chi BDQ950 Licensed Representative (Provisional Licence) 1 CHUANG Yung-Chi BDO973 Licensed Representative (Provisional Licence) 1, 4, 9 CORONES Zachary Alexander BCA233 Licensed Representative (Provisional Licence) 1, 2 D'SOUZA Daniel BDO551 Licensed Representative (Provisional Licence) 1, 2, 4, 5, 7 FAN Junhao BDO986 Licensed Representative (Provisional Licence) 1, 4 FAN Xiaoming BDO247 Licensed Representative (Provisional Licence) 4 FAN Zhenling BDQ884 Licensed Representative (Provisional Licence) 4 FANG Cheng BDO477 Licensed Representative (Provisional Licence) 1, 6 FANG Siying BDN258 Licensed Representative (Provisional Licence) 1 FENG Nancy Yu Qian BDM550 Licensed Representative (Provisional Licence) 6 FENG Zhe AXK800 Licensed Representative (Provisional Licence) 1, 4 FONG Yuen BDP840 Licensed Representative (Provisional Licence) 2 FONG Kam Chung ANX889 Licensed Representative (Provisional Licence) 4 FU Hsiang Chuan ALR024 Licensed Representative (Provisional Licence) 1 FU Xinyu BDO845 Licensed Representative (Provisional Licence) 2 FUJII Shunsuke BDM851 Licensed Representative (Provisional Licence) 1, 2 FUNG Man Heng BDN973 Licensed Representative (Provisional Licence) 6 FUNG Shu Hong BDM663 Licensed Representative (Provisional Licence) 4 FUNG Tat Sun Patrick BDQ778 Licensed Representative (Provisional Licence) 1, 4, 6 GANDOL Thibault Henri Rene Patrick BDP719 Licensed Representative (Provisional Licence) 1 GAO Bing BDO411 Licensed Representative (Provisional Licence) 1, 4 GAO Shuqi BDQ208 Licensed Representative (Provisional Licence) 9 GE Yingming BDO882 Licensed Representative (Provisional Licence) 6 GONG Siwei BDM733 Licensed Representative (Provisional Licence) 1, 6 GU Chunhui BDO358 Licensed Representative (Provisional Licence) 1, 4 GUAN Jie BDP231 Licensed Representative (Provisional Licence) 4 GUHA Krishna Jyoti ALF245 Licensed Representative (Provisional Licence) 4 HAN Yi BDO027 Licensed Representative (Provisional Licence) 1, 2 HAO Bingxin BDP650 Licensed Representative (Provisional Licence) 4 HO Kwun Wah Stephon BCI813 Licensed Representative (Provisional Licence) 1 HO Ming Wai, Alberta AFR432 Licensed Representative (Provisional Licence) 1 HO Nga Wing BDO473 Licensed Representative (Provisional Licence) 1, 6 HO Pui Lam ARP168 Licensed Representative (Provisional Licence) 1, 2, 3 HONG Yu BDQ501 Licensed Representative (Provisional Licence) 1, 4, 6 HOU Yutong BDO983 Licensed Representative (Provisional Licence) 1, 4 HOY Leslie Foster BDO188 Licensed Representative (Provisional Licence) 1 HSIEH Chang-chih BDO164 Licensed Representative (Provisional Licence) 9 HU Yunyun BDM703 Licensed Representative (Provisional Licence) 4 HUANG Chung-yu BDN266 Licensed Representative (Provisional Licence) 1 HUANG Jiaqi BDQ027 Licensed Representative (Provisional Licence) 4, 6 HUANG Wenjun AUT504 Licensed Representative (Provisional 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