CONDITION VARIATIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 08/2005

CE Name: Lloyd George Management (Hong Kong) Limited
CE No.: ABA410
Licence Type: Licensed Corporation 
Condition Added:
For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of futures contracts for another person unless it is for hedging purpose only.
Condition Level: Type 9 Regulated Activity

CE Name: Lloyd George Management (Hong Kong) Limited
CE No.: ABA410
Licence Type: Licensed Corporation 
Condition Removed:
For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of futures contracts for another person.
Condition Level: Type 9 Regulated Activity

CE Name: Lloyd George Investment Management (Hong Kong) Limited
CE No.: ABA448
Licence Type: Licensed Corporation 
Condition Added:
For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of futures contracts for another person unless it is for hedging purpose only.
Condition Level: Type 9 Regulated Activity

CE Name: Lloyd George Investment Management (Hong Kong) Limited
CE No.: ABA448
Licence Type: Licensed Corporation 
Condition Removed:
For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of futures contracts for another person.
Condition Level: Type 9 Regulated Activity

CE Name: Worldsec Asset Management Limited
CE No.: AAY077
Licence Type: Licensed Corporation (Deemed Licence)
Condition Removed:
The licensee shall not hold client assets. The terms ˇ§holdˇ¨ and ˇ§client assetsˇ¨ are as defined under the Securities and Futures Ordinance.
Condition Level: Licence

CE Name: Grand Alliance Asset Management Limited
CE No.: ADZ845
Licence Type: Licensed Corporation 
Condition Added:
The licensee shall not hold client assets. The terms "hold" and "client assets" are as defined under the Securities and Futures Ordinance.
Condition Level: Licence

CE Name: Fox-Pitt, Kelton (Asia) Limited
CE No.: AFU362
Licence Type: Licensed Corporation 
Condition Added:
The licensee shall seek the Commission's prior approval before extending services at retail level.
Condition Level: Licence

CE Name: HUI Pik Yung
CE No.: AAA803
Licence Type: Licensed Representative 
Condition Removed:
For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 1 Regulated Activity

CE Name: THORBURN Mark Alexander
CE No.: AAS209
Licence Type: Licensed Representative 
Condition Removed:
For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 1 Regulated Activity

CE Name: FUNG Yiu Fai, Peter
CE No.: AAW867
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 1 Regulated Activity

CE Name: TAM Ping Chung
CE No.: ABE784
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 1 Regulated Activity

CE Name: ZHANG Shou Lin
CE No.: ABY977
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: LI Kwok Tung
CE No.: ABZ281
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 1 Regulated Activity

CE Name: LI Kwok Tung
CE No.: ABZ281
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 1 Regulated Activity

CE Name: ZHANG Liping
CE No.: ACE103
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: LEUNG Sau Fan, Sylvia
CE No.: ACE865
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance.
Condition Level: Type 1 Regulated Activity

CE Name: CHAN Sau Shan, Gary
CE No.: ACH777
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 1 regulated activity, the licensee in his capacity as a responsible officer of CCB International Capital Limited shall not engage in dealing activities other than those relating to corporate finance.


Condition Level: Type 1 Regulated Activity

CE Name: CHAN Sau Shan, Gary
CE No.: ACH777
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 1 regulated activity, the licensee shall only engage in underwriting, sub-underwriting and placing of securities, and in dealing activities relating to transactions governed by the Hong Kong Codes on Takeovers and Mergers and Share Repurchases and the rules governing the listing of securities.
Condition Level: Type 1 Regulated Activity

CE Name: CHAN Sau Shan, Gary
CE No.: ACH777
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer of CCB International Securities Limited, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to CCB International Securities Limited in respect of the activity; and
(b)  not subject to this condition.


Condition Level: Type 1 Regulated Activity

CE Name: IBASCO Ronaldo D.
CE No.: ACN916
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: LAW Yuet Yee, Clara
CE No.: ACS196
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 1 regulated activity, the licensee shall only perform distribution function for collective investment schemes.  The term "distribution function" is defined in the Code on Unit Trusts and Mutual Funds issued by the Commission.
Condition Level: Type 1 Regulated Activity

CE Name: LAW Yuet Yee, Clara
CE No.: ACS196
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 1 Regulated Activity

CE Name: LAW Yuet Yee, Clara
CE No.: ACS196
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: HAU Ip Ying
CE No.: ACW179
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: HAU Ip Ying
CE No.: ACW179
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 1 Regulated Activity

CE Name: MAK Hau Lin
CE No.: ACW654
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: MAK Hau Lin
CE No.: ACW654
Licence Type: Licensed Representative 
Condition Removed:
For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 1 Regulated Activity

CE Name: SHUM Kam Chi, Eric
CE No.: ADF451
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 1 Regulated Activity

CE Name: CHEUNG Ting Kee
CE No.: ADV963
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance.
Condition Level: Type 1 Regulated Activity

CE Name: CHAN Ka Leung, Kevin
CE No.: ADW023
Licence Type: Licensed Representative 
Condition Removed:
For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance.
Condition Level: Type 1 Regulated Activity

CE Name: TSUI Chi Wai, Ivan
CE No.: ADZ842
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: TSUI Chi Wai, Ivan
CE No.: ADZ842
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 1 Regulated Activity

CE Name: HUNG Pak Cheung
CE No.: AEG822
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: HUNG Pak Cheung
CE No.: AEG822
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 1 Regulated Activity

CE Name: CHUNG Chi Yip
CE No.: AEI742
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect:
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time demonstrated to the satisfaction of the Commission that he has attended and completed a specialised course conducted by the Hong Kong Securities Institute in respect of securities dealing.

Condition Level: Type 1 Regulated Activity

CE Name: MEI Anthony Hsiao Tung
CE No.: AEO419
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 1 regulated activity, the licensee shall only perform distribution function for collective investment schemes.  The term "distribution function" is defined in the Code on Unit Trusts and Mutual Funds issued by the Commission.
Condition Level: Type 1 Regulated Activity

CE Name: MEI Anthony Hsiao Tung
CE No.: AEO419
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 1 Regulated Activity

CE Name: LEUNG An Loy, Derek
CE No.: AEP106
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
You are approved as a responsible officer of Shenyin Wanguo Securities (HK) Limited in respect of Type 1 regulated activity on condition that in relation to Type 1 regulated activity, you must act under the supervision of another responsible officer of Shenyin Wanguo Securities (HK) Limited approved for that regulated activity without this condition.
Condition Level: Type 1 Regulated Activity

CE Name: CHENG Pui Yan
CE No.: AEQ438
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: NG Chong Hwa
CE No.: AEU269
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: EME Philippe Jean
CE No.: AEX901
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: HO Ngar Yan
CE No.: AEY921
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: LAI Shu Fun, Francis Alvin
CE No.: AGK070
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: LAI Shu Fun, Francis Alvin
CE No.: AGK070
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 1 Regulated Activity

CE Name: LAI Shu Fun, Francis Alvin
CE No.: AGK070
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance.
Condition Level: Type 1 Regulated Activity

CE Name: ALEXANDER Michael Lewis
CE No.: AGR372
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: ALEXANDER Michael Lewis
CE No.: AGR372
Licence Type: Licensed Representative 
Condition Removed:
For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 1 Regulated Activity

CE Name: LEE Kei Leung, William
CE No.: AHP766
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: LEE Kei Leung, William
CE No.: AHP766
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 1 Regulated Activity

CE Name: SIU Mei Wan
CE No.: AJC718
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 1 regulated activity ("the activity"), the licensee must in her capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 1 Regulated Activity

CE Name: BRACKEN Michael William Robert
CE No.: AJG648
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: BRACKEN Michael William Robert
CE No.: AJG648
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 1 Regulated Activity

CE Name: YI Qingqing
CE No.: AKP052
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: CLARKE Daniel Patrick
CE No.: ALB224
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: CHOW Wai Fung, Vera
CE No.: ALK055
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: COAKLEY Paul Jeremiah
CE No.: ALK118
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: LAPPING Jason Douglas St
CE No.: ALK886
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 1 Regulated Activity

CE Name: LAPPING Jason Douglas St
CE No.: ALK886
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: FENDER Darren Michael
CE No.: ALL042
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: WONG Wai Ling
CE No.: ALL706
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: MADDOCKS Neil Edward
CE No.: ALN657
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: MADDOCKS Neil Edward
CE No.: ALN657
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 1 Regulated Activity

CE Name: GALLAGHER Joseph D.
CE No.: ALO246
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: GALLAGHER Joseph D.
CE No.: ALO246
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 1 Regulated Activity

CE Name: CHEN Ji
CE No.: ALO251
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: DURRAN Adam Lachlan
CE No.: ALP799
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: YEH Wei-Kuo
CE No.: ALQ531
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: YEH Wei-Kuo
CE No.: ALQ531
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 1 Regulated Activity

CE Name: WHITE Paul George
CE No.: ALQ641
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: LIAO Ming
CE No.: ALR740
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: SIMPSON Robert Roy Charles
CE No.: ALS066
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: SIMPSON Robert Roy Charles
CE No.: ALS066
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 1 Regulated Activity

CE Name: HIMOTO Tatsuya
CE No.: ALS814
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: HIMOTO Tatsuya
CE No.: ALS814
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 1 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 1 Regulated Activity

CE Name: TSANG Yiu Fai, Nyon
CE No.: ALT747
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: BENNETT Alex John
CE No.: ALT866
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: TAN Cheng Soon
CE No.: ALU098
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: TURTLE Simone
CE No.: ALU106
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: OLIVEIRA Fernando Furtado
CE No.: ALU108
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: CHAN Chieh-mi
CE No.: ALU162
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: KWOK Sigismund Sung Chi
CE No.: ALU450
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: PORANDLA Virinchi Narayan
CE No.: ALU601
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: CHOI Won Seok
CE No.: ALU954
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: EDGAR Jonathan George
CE No.: ALV243
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: WONG Yu Cheong, Christopher
CE No.: ALV249
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: KRISHAN Anshul
CE No.: ALV265
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: ELBIED Mehdi-Sebastien
CE No.: ALV357
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: SIU Hau Yep, Ivan
CE No.: ALW235
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months from 20 April 2005 (i.e. by 20 October 2005) or any later date as the Commission may agree in writing, 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.

Condition Level: Type 1 Regulated Activity

CE Name: KWAAN Arthur Hung Chi
CE No.: ALW378
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: LEE Ho-kei, Brian
CE No.: ALW498
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: WONG Yu Tsang, Alex
CE No.: ALY116
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: MENON Suresh Krishnankutty
CE No.: ALY362
Licence Type: Licensed Representative 
Condition Added:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: LEE Tak Ching
CE No.: ALY618
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: PADMASOLA Srinivas
CE No.: ALY619
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: FANG Hong
CE No.: ALY689
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: HO Kit Ling
CE No.: ALY890
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: CHAN Chiu Keung
CE No.: ALZ045
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: XIA Frank Qi
CE No.: ALZ059
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: CHUNG Yung-te
CE No.: ALZ064
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: LAU Keith Ka Ki
CE No.: ALZ174
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: CHENG Sandra
CE No.: ALZ459
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: PRADEEP Vasundhara
CE No.: ALZ462
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: HUNG Wai Man
CE No.: ALZ671
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: WENDEL Christopher Stewart
CE No.: ALZ848
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: TOTLA Vaibhav Vishnudas
CE No.: ALZ933
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: DAS Chandranath
CE No.: AMA147
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: LLOYD Ailsa Kuen Alice
CE No.: AMA926
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: NG Yiu Ho
CE No.: AMA948
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: BAI Hongwei
CE No.: AMB141
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: MORAN Victoria Elizabeth
CE No.: AMB456
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: VESPERINI Jean-Jacques
CE No.: AMB585
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: LEE Chin Choi
CE No.: AMB639
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: WONG Mei Ling
CE No.: AMC953
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: KHOSLA Navjeewan Jatinder
CE No.: AMC956
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: CHEUNG Ngar Che, Angie
CE No.: AME115
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: CHINNICK Michael Philip
CE No.: AME172
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: BRODER Adam Bradley
CE No.: AME266
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: BANH Oi Ling
CE No.: AMF019
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: LIU Wei
CE No.: AMF146
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: YOSHIDA Takahide
CE No.: AMF760
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: LAU Fu Man
CE No.: AMI200
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: LAW Chui Shan, Clara
CE No.: AMI503
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: TSANG Kin Hung, Andy
CE No.: AMI688
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: MOHANTY Chandrakant
CE No.: AMJ707
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: CHENG Tai Foon
CE No.: AAA899
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: CHENG Tai Foon
CE No.: AAA899
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 2 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 2 Regulated Activity

CE Name: SAKAMOTO Akira
CE No.: AAE973
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: LAI Kin Chung, Kenneth
CE No.: ABP978
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: LAI Kin Chung, Kenneth
CE No.: ABP978
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 2 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 2 Regulated Activity

CE Name: CHAN Cheong Yung
CE No.: ABX160
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: CHAN Cheong Yung
CE No.: ABX160
Licence Type: Licensed Representative 
Condition Removed:
For Type 2 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 2 Regulated Activity

CE Name: HA Ying Yu
CE No.: ADD387
Licence Type: Licensed Representative 
Condition Added:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: LAU Shun Pui
CE No.: ADF882
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 2 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 2 Regulated Activity

CE Name: KWAN Yuen Yee, Keziah
CE No.: ADW464
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 2 regulated activity, 
1.  The licensee shall not conduct business other than -
     (a) communicating offers to effect dealings in futures contracts or options contracts to an exchange participant of a recognized exchange company or a specified exchange, in the names of the persons from whom those offers are received; and
     (b) introducing persons to an exchange participant of a recognized exchange company or a specified exchange, in order that they may -
           (i) effect dealings in futures contracts or options contracts; or
           (ii) make offers to deal in futures contracts or options contracts; and
2.  In connection with the offers communicated or the persons so introduced, the licensee shall not incur any liability to any person except for its own negligence, wilful default or fraud.
Condition Level: Type 2 Regulated Activity

CE Name: PANG Kwok Kit, Kenneth
CE No.: AEO731
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: PANG Kwok Kit, Kenneth
CE No.: AEO731
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 2 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 2 Regulated Activity

CE Name: HO Chor Kuen
CE No.: AFK418
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 2 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 2 Regulated Activity

CE Name: ALEXANDER Michael Lewis
CE No.: AGR372
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: ALEXANDER Michael Lewis
CE No.: AGR372
Licence Type: Licensed Representative 
Condition Removed:
For Type 2 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 2 Regulated Activity

CE Name: LIU Qiang
CE No.: AKJ280
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 2 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 2 Regulated Activity

CE Name: TSANG Yiu Fai, Nyon
CE No.: ALT747
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: CHAN Chieh-mi
CE No.: ALU162
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: LAU Tsz Wing
CE No.: ALW219
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: KWAAN Arthur Hung Chi
CE No.: ALW378
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: LEE Ho-kei, Brian
CE No.: ALW498
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: CHAN Sheung Yan, Andrew
CE No.: ALY156
Licence Type: Licensed Representative 
Condition Added:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: MENON Suresh Krishnankutty
CE No.: ALY362
Licence Type: Licensed Representative 
Condition Added:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: NG Yat Ming, Mike
CE No.: ALY905
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: CHAN Chiu Keung
CE No.: ALZ045
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: XIA Frank Qi
CE No.: ALZ059
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: LAU Keith Ka Ki
CE No.: ALZ174
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: WENDEL Christopher Stewart
CE No.: ALZ848
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: PAU Matthew Haw Ming
CE No.: AMA888
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: VESPERINI Jean-Jacques
CE No.: AMB585
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: KHOSLA Navjeewan Jatinder
CE No.: AMC956
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: BRODER Adam Bradley
CE No.: AME266
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: LIU Wei
CE No.: AMF146
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: TSANG Kin Hung, Andy
CE No.: AMI688
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: CHEUNG Lai Ping
CE No.: ACJ211
Licence Type: Licensed Representative 
Condition Added:
For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients.
Condition Level: Type 3 Regulated Activity

CE Name: LAW Cho Kin
CE No.: ACN478
Licence Type: Licensed Representative 
Condition Added:
For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients.
Condition Level: Type 3 Regulated Activity

CE Name: YIP Ching Shan
CE No.: ACZ125
Licence Type: Licensed Representative 
Condition Removed:
For type 3 regulated activity, the licensee shall not provide discretionary account services.
Condition Level: Type 3 Regulated Activity

CE Name: HON Man Kwong
CE No.: ADX159
Licence Type: Licensed Representative 
Condition Added:
For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients.
Condition Level: Type 3 Regulated Activity

CE Name: LEUNG Shuk Ting, Sharon
CE No.: AGM457
Licence Type: Licensed Representative 
Condition Added:
For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients.
Condition Level: Type 3 Regulated Activity

CE Name: LI Shui Hong
CE No.: AHK070
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients.
Condition Level: Type 3 Regulated Activity

CE Name: LI Shui Hong
CE No.: AHK070
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients.
Condition Level: Type 3 Regulated Activity

CE Name: YIP Kwok Lueng
CE No.: AHZ271
Licence Type: Licensed Representative 
Condition Added:
For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients.
Condition Level: Type 3 Regulated Activity

CE Name: CHEN Chi Hing
CE No.: AJV389
Licence Type: Licensed Representative 
Condition Added:
For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients.
Condition Level: Type 3 Regulated Activity

CE Name: CHENG Wai Hong
CE No.: ALO598
Licence Type: Licensed Representative 
Condition Added:
For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients.
Condition Level: Type 3 Regulated Activity

CE Name: NG Tai Chiu
CE No.: AAV210
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: TROUGHTON Edward Thomas Albert
CE No.: AAW142
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: TROUGHTON Edward Thomas Albert
CE No.: AAW142
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: JACOBSEN William Keith
CE No.: ABR188
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: JACOBSEN William Keith
CE No.: ABR188
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: ZHANG Liping
CE No.: ACE103
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: ZHANG Liping
CE No.: ACE103
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: CHAN Chi Sheung, Henry
CE No.: ADC128
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: CHENG Pui Yan
CE No.: AEQ438
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: CHOY Tsz Hong, David
CE No.: AFB505
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: CHOY Tsz Hong, David
CE No.: AFB505
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: YOUNG Mai San
CE No.: AFC441
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: YOUNG Mai San
CE No.: AFC441
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: CHUNG Wai Shing
CE No.: AFP827
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: LAI Ming Fung
CE No.: AGC971
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: HO Kum Loon, Patrick
CE No.: AGH918
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: HO Kum Loon, Patrick
CE No.: AGH918
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: CHEUNG Lap Wong, Paul
CE No.: AHC739
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: CHEUNG Lap Wong, Paul
CE No.: AHC739
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
The licensee shall only carry on the regulated activity of advising on securities in relation to unit trusts and mutual funds.
Condition Level: Type 4 Regulated Activity

CE Name: CHEUNG Lap Wong, Paul
CE No.: AHC739
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: IP Kwong Sum
CE No.: AHK680
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: IP Kwong Sum
CE No.: AHK680
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: LEE Kei Leung, William
CE No.: AHP766
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: LEE Kei Leung, William
CE No.: AHP766
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: REID Robert Stephen
CE No.: AIC473
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: REID Robert Stephen
CE No.: AIC473
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: LAI Ting Ngai, Annie
CE No.: AKP262
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: TONG King Hang
CE No.: AKX333
Licence Type: Licensed Representative 
Condition Removed:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: CHIU Kitty Man Wai
CE No.: ALF635
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: LEE Kenneth Jue
CE No.: ALI364
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: COAKLEY Paul Jeremiah
CE No.: ALK118
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: NICHOLLS Dale Owen
CE No.: ALK264
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: GALLAGHER Joseph D.
CE No.: ALO246
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: GALLAGHER Joseph D.
CE No.: ALO246
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: HONG Kin Choy
CE No.: ALO601
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: CHALLIS Robin Edward
CE No.: ALQ454
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: ANTWEILER III John Christian
CE No.: ALQ494
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: YEH Wei-Kuo
CE No.: ALQ531
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: YEH Wei-Kuo
CE No.: ALQ531
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: TANG Haibo
CE No.: ALQ981
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: LIAO Ming
CE No.: ALR740
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: CHAPMAN James Richard
CE No.: ALS060
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: LAM Yik Yu
CE No.: ALS769
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: TAN Cheng Soon
CE No.: ALU098
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: KWOK Sigismund Sung Chi
CE No.: ALU450
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: CHU Kar Kui
CE No.: ALU453
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: PORANDLA Virinchi Narayan
CE No.: ALU601
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: RAUSIS Yannick Lionel
CE No.: ALU610
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: TRAN Phu Anthony
CE No.: ALU611
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: WONG Yu Cheong, Christopher
CE No.: ALV249
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: NATH Nikhil
CE No.: ALW163
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: SIU Hau Yep, Ivan
CE No.: ALW235
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months from 20 April 2005 (i.e. by 20 October 2005) or any later date as the Commission may agree in writing, 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.

Condition Level: Type 4 Regulated Activity

CE Name: GODWIN Richard Maxwell
CE No.: ALW546
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: HASKINS Andrew Robin Alexander
CE No.: ALY617
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: LEE Tak Ching
CE No.: ALY618
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: CHENG Sandra
CE No.: ALZ459
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: YU Wen Chi
CE No.: ALZ926
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: TUCKER Robert Denis
CE No.: ALZ927
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: VAN DER LINDE Hendrik Jan Herald
CE No.: ALZ931
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: LLOYD Ailsa Kuen Alice
CE No.: AMA926
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: NG Yiu Ho
CE No.: AMA948
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: LEE Chin Choi
CE No.: AMB639
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: WONG Chung Ho, Ian
CE No.: AMC785
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: KOHLER David Hermann
CE No.: AMC977
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: SHIMIZU Hiromi
CE No.: AMD092
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: CHINNICK Michael Philip
CE No.: AME172
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: LO Wing Ki, Vickie
CE No.: AME580
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: ZHU Wendy Wenwen
CE No.: AMF185
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: SHI Lin
CE No.: AMF516
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: YOSHIDA Takahide
CE No.: AMF760
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: SAKAMOTO Akira
CE No.: AAE973
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 5 Regulated Activity

CE Name: IP Gar Bo, Victoria
CE No.: AAF813
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 5 Regulated Activity

CE Name: IP Gar Bo, Victoria
CE No.: AAF813
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 5 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 5 Regulated Activity

CE Name: NG Tai Chiu
CE No.: AAV210
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 5 Regulated Activity

CE Name: LAI Kin Chung, Kenneth
CE No.: ABP978
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 5 Regulated Activity

CE Name: LAI Kin Chung, Kenneth
CE No.: ABP978
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 5 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 5 Regulated Activity

CE Name: CHU Kuan Hsun
CE No.: ADR539
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 5 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 5 Regulated Activity

CE Name: HO Kum Loon, Patrick
CE No.: AGH918
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 5 Regulated Activity

CE Name: HO Kum Loon, Patrick
CE No.: AGH918
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 5 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 5 Regulated Activity

CE Name: NALLAMALA Mayur Raoul
CE No.: AGL487
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 5 Regulated Activity

CE Name: LIU Qiang
CE No.: AKJ280
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 5 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 5 Regulated Activity

CE Name: LAI Ting Ngai, Annie
CE No.: AKP262
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 5 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 5 Regulated Activity

CE Name: LAI Ting Ngai, Annie
CE No.: AKP262
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 5 regulated activity, the licensee may only provide services for hedging purpose.
Condition Level: Type 5 Regulated Activity

CE Name: TAN Cheng Soon
CE No.: ALU098
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 5 Regulated Activity

CE Name: TAN Cheng Soon
CE No.: ALU098
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 5 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 5 Regulated Activity

CE Name: LAU Tsz Wing
CE No.: ALW219
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 5 Regulated Activity

CE Name: GODWIN Richard Maxwell
CE No.: ALW546
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 5 Regulated Activity

CE Name: PAU Matthew Haw Ming
CE No.: AMA888
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 5 Regulated Activity

CE Name: WONG Chung Ho, Ian
CE No.: AMC785
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 5 Regulated Activity

CE Name: CHUANG Eugene Yue-chien
CE No.: AAA132
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission.
Condition Level: Type 6 Regulated Activity

CE Name: YAN Yuk Fung
CE No.: AAF939
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: WONG Chi Keung
CE No.: ABM030
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission.
Condition Level: Type 6 Regulated Activity

CE Name: SUM Wai Kei, Wilfred
CE No.: ABW953
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: SUM Wai Kei, Wilfred
CE No.: ABW953
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Hong Kong Codes on Takeovers and Mergers and Share Repurchases.
Condition Level: Type 6 Regulated Activity

CE Name: SUM Wai Kei, Wilfred
CE No.: ABW953
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
You are approved as a responsible officer of Taiwan Securities (Hong Kong) Company Limited in respect of Type 6 regulated activity on condition that in relation to Type 6 regulated activity, you must act under the advice of another responsible officer of Taiwan Securities (Hong Kong) Company Limited approved for that regulated activity without this condition.
Condition Level: Type 6 Regulated Activity

CE Name: YIP Kwok Kwan
CE No.: ABX510
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: ZHANG Shou Lin
CE No.: ABY977
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: AU-YONG Shong, Samuel
CE No.: ACH857
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: AU-YONG Shong, Samuel
CE No.: ACH857
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 6 regulated activity, the licensee shall not, in the capacity as a sole adviser to a client, advise on  matters/transactions falling within the ambit of the Hong Kong Codes on Takeovers and Mergers and Share Repurchases.
Condition Level: Type 6 Regulated Activity

CE Name: IBASCO Ronaldo D.
CE No.: ACN916
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: CHOI Nga Chung
CE No.: ADG746
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: CHOI Nga Chung
CE No.: ADG746
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: CHOI Nga Chung
CE No.: ADG746
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission.
Condition Level: Type 6 Regulated Activity

CE Name: CHOI Nga Chung
CE No.: ADG746
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 6 regulated activity, the licensee shall not provide advice concerning compliance with or in respect of rules made by the Stock Exchange of Hong Kong Limited or the Commission under section 23 or 36 of the Securities and Futures Ordinance governing the listing of securities.
Condition Level: Type 6 Regulated Activity

CE Name: WONG Siu Nam
CE No.: ADM812
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: CHEUNG Ting Kee
CE No.: ADV963
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission.
Condition Level: Type 6 Regulated Activity

CE Name: CHAN Ka Leung, Kevin
CE No.: ADW023
Licence Type: Licensed Representative 
Condition Removed:
For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: NG Kwok Fai
CE No.: AEK364
Licence Type: Licensed Representative 
Condition Removed:
For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: MILTON Colin Holland
CE No.: AEU887
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: MILTON Colin Holland
CE No.: AEU887
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: CHUNG Wai Shing
CE No.: AFP827
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: MA Hon Yeung
CE No.: AFR770
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: MA Hon Yeung
CE No.: AFR770
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: MA Hon Yeung
CE No.: AFR770
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: TSE Charlton
CE No.: AGE035
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 6 regulated activity, the licensed person shall only in his capacity as a responsible officer advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission. 
Condition Level: Type 6 Regulated Activity

CE Name: TSE Charlton
CE No.: AGE035
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: HO Connie
CE No.: AGL152
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters / transactions falling within the ambit of the Hong Kong Codes on Takeovers and Mergers and Share Repurchases issued by the Securities and Futures Commission, act together with another adviser (to the client) not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: LAU Wan Po
CE No.: AGS501
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: LAU Wan Po
CE No.: AGS501
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: LAU Wan Po
CE No.: AGS501
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: REID Robert Stephen
CE No.: AIC473
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: REID Robert Stephen
CE No.: AIC473
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: DAVISON Mark Patrick Hay
CE No.: AJD531
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: BRACKEN Michael William Robert
CE No.: AJG648
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: BRACKEN Michael William Robert
CE No.: AJG648
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: KUNG Chi Leung
CE No.: AJK988
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: KUNG Chi Leung
CE No.: AJK988
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission.
Condition Level: Type 6 Regulated Activity

CE Name: GALLAGHER Joseph D.
CE No.: ALO246
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: GALLAGHER Joseph D.
CE No.: ALO246
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: HONG Kin Choy
CE No.: ALO601
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: LIAO Ming
CE No.: ALR740
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: CHAPMAN James Richard
CE No.: ALS060
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: LAM Yik Yu
CE No.: ALS769
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: KWOK Sigismund Sung Chi
CE No.: ALU450
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: PORANDLA Virinchi Narayan
CE No.: ALU601
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: NATH Nikhil
CE No.: ALW163
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: SIU Hau Yep, Ivan
CE No.: ALW235
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months from 20 April 2005 (i.e. by 20 October 2005) or any later date as the Commission may agree in writing, 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.

Condition Level: Type 6 Regulated Activity

CE Name: HO Kit Ling
CE No.: ALY890
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: WILSON Stuart Richard
CE No.: ALZ457
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: LLOYD Ailsa Kuen Alice
CE No.: AMA926
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: MORAN Victoria Elizabeth
CE No.: AMB456
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: YOSHIDA Takahide
CE No.: AMF760
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: LLOYD GEORGE Robert John Daniel
CE No.: AAB351
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of futures contracts for another person unless it is for hedging purpose only.
Condition Level: Type 9 Regulated Activity

CE Name: LLOYD GEORGE Robert John Daniel
CE No.: AAB351
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of futures contracts for another person.
Condition Level: Type 9 Regulated Activity

CE Name: YAN Yuk Fung
CE No.: AAF939
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 9 regulated activity, the licensee shall not conduct business involving the discretionary management of any collective investment scheme.  The term "collective investment scheme" is as defined under the Securities and Futures Ordinance.
Condition Level: Type 9 Regulated Activity

CE Name: YAN Yuk Fung
CE No.: AAF939
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of futures contracts for another person.
Condition Level: Type 9 Regulated Activity

CE Name: SUN Patrick
CE No.: AAI271
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 9 Regulated Activity

CE Name: SUN Patrick
CE No.: AAI271
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of futures contracts for another person.
Condition Level: Type 9 Regulated Activity

CE Name: NG Tai Chiu
CE No.: AAV210
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: TROUGHTON Edward Thomas Albert
CE No.: AAW142
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: TROUGHTON Edward Thomas Albert
CE No.: AAW142
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 9 Regulated Activity

CE Name: KERR William Walter Raleigh
CE No.: ABC844
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of futures contracts for another person unless it is for hedging purpose only.
Condition Level: Type 9 Regulated Activity

CE Name: KERR William Walter Raleigh
CE No.: ABC844
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of futures contracts for another person.
Condition Level: Type 9 Regulated Activity

CE Name: LAI Kin Chung, Kenneth
CE No.: ABP978
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 9 regulated activity, the licensee shall not conduct business involving the discretionary management of any collective investment scheme.  The term "collective investment scheme" is as defined under the Securities and Futures Ordinance.
Condition Level: Type 9 Regulated Activity

CE Name: TAM Eddie Sun-keung
CE No.: ABY970
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 9 Regulated Activity

CE Name: TAM Eddie Sun-keung
CE No.: ABY970
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of futures contracts for another person.
Condition Level: Type 9 Regulated Activity

CE Name: TAM Eddie Sun-keung
CE No.: ABY970
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 9 Regulated Activity

CE Name: HO Hsiang Ming
CE No.: ACD346
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: KO Kwong Woon, Ivan
CE No.: ACF179
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: VINIK Steven Hilyard
CE No.: ADA772
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of futures contracts for another person.
Condition Level: Type 9 Regulated Activity

CE Name: LEUNG Tat Ming
CE No.: ADF631
Licence Type: Licensed Representative 
Condition Removed:
For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 9 Regulated Activity

CE Name: CHEN Yi Hua
CE No.: ADY731
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of futures contracts for another person unless it is for hedging purpose only.
Condition Level: Type 9 Regulated Activity

CE Name: CHOY Tsz Hong, David
CE No.: AFB505
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: CHOY Tsz Hong, David
CE No.: AFB505
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 9 Regulated Activity

CE Name: YOUNG Mai San
CE No.: AFC441
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: SO Chun Ki, Louis
CE No.: AFO812
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect 6 months after the grant of the licence for carrying on that regulated activity (or on such later date as the Commission may agree in writing), unless the licensee has by that time passed one of the relevant recognized local regulatory framework papers pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: SO Chun Ki, Louis
CE No.: AFO812
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 9 Regulated Activity

CE Name: CHUNG Wai Shing
CE No.: AFP827
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: WAN Ming Kwan
CE No.: AFU394
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: WAN Ming Kwan
CE No.: AFU394
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 9 Regulated Activity

CE Name: HO Kum Loon, Patrick
CE No.: AGH918
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: HO Kum Loon, Patrick
CE No.: AGH918
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 9 Regulated Activity

CE Name: PETER Edouard Fernen
CE No.: AGO822
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of futures contracts for another person.
Condition Level: Type 9 Regulated Activity

CE Name: HARRIS Stephen Paul
CE No.: AGO825
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of futures contracts for another person.
Condition Level: Type 9 Regulated Activity

CE Name: HASEGAWA Yoshiaki
CE No.: AHT306
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of futures contracts for another person.
Condition Level: Type 9 Regulated Activity

CE Name: KWAN Kok Wah
CE No.: AJJ552
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of futures contracts for another person.
Condition Level: Type 9 Regulated Activity

CE Name: LIU Qiang
CE No.: AKJ280
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 9 regulated activity ("the activity"), the licensee must, in the capacity as a responsible officer in managing or supervising the management of portfolios containing futures contracts for another person, act under the advice of another responsible officer who is: 
(a)  licensed for the activity without any condition which prohibits him/her from providing a service of managing a portfolio of futures contracts for another person;
(b)  accredited to the principal concerned of the licensee in respect of the activity; and
(c)  not subject to this condition.
Condition Level: Type 9 Regulated Activity

CE Name: LIU Qiang
CE No.: AKJ280
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of futures contracts for another person.
Condition Level: Type 9 Regulated Activity

CE Name: LAI Ting Ngai, Annie
CE No.: AKP262
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 9 Regulated Activity

CE Name: LEE Kenneth Jue
CE No.: ALI364
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: NICHOLLS Dale Owen
CE No.: ALK264
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: CHEN Ji
CE No.: ALO251
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: LAM Yik Yu
CE No.: ALS769
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: TAN Cheng Soon
CE No.: ALU098
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: NOEL-PATON Lora Elisabeth
CE No.: ALU158
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: RAUSIS Yannick Lionel
CE No.: ALU610
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: TRAN Phu Anthony
CE No.: ALU611
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: CHEONG Mei Yi Flavia
CE No.: ALV351
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: CHEONG Mei Yi Flavia
CE No.: ALV351
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 9 Regulated Activity

CE Name: GODWIN Richard Maxwell
CE No.: ALW546
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: LEE Tak Ching
CE No.: ALY618
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: CHENG Sandra
CE No.: ALZ459
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: TUCKER Robert Denis
CE No.: ALZ927
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: NG Yiu Ho
CE No.: AMA948
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: WONG Chung Ho, Ian
CE No.: AMC785
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: KOHLER David Hermann
CE No.: AMC977
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: ZHU Wendy Wenwen
CE No.: AMF185
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: LOW Whye Choong
CE No.: AGE237
Licence Type: Licensed Representative 
Condition Removed:
The licence is conditional upon no adverse comment on the licensee being subsequently received from The Monetary Authority of Singapore. 
Condition Level: Licence

CE Name: HASEGAWA Yoshiaki
CE No.: AHT306
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
The licensee must not contravene the requirements of the Immigration Ordinance
Condition Level: Licence

CE Name: CHEONG Mei Yi Flavia
CE No.: ALV351
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
The licence is conditional upon no adverse comment on the licensee being subsequently received from the Monetary Authority of Singapore.
Condition Level: Licence

CE Name: MENON Suresh Krishnankutty
CE No.: ALY362
Licence Type: Licensed Representative 
Condition Removed:
The licensee shall not carry out the regulated activity(ies) in Hong Kong for more than 30 days in each calendar year and shall at all times be accompanied by a licensed person in performing the regulated activity(ies) in Hong Kong.
Condition Level: Licence

CE Name: Fubon Bank (Hong Kong) Limited
CE No.: AAA582
Licence Type: Registered Institution 
Condition Removed:
For Type 6 regulated activity, the person shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission.
Condition Level: Type 6 Regulated Activity

CONDITION VARIATIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 08/2005

CE Name: CHAN Hoi Ling
CE No.: ALR712
Licence Type: Licensed Representative 
Condition Removed:
The licence is conditional upon no adverse comment on the licensee being subsequently received from the police.
Condition Level: Licence

CE Name: CHENG Yi-Fang
CE No.: ALV047
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: CHENG Yi-Fang
CE No.: ALV047
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: DEAHL Jan David
CE No.: ALP919
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: DEAHL Jan David
CE No.: ALP919
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: HEE Leo Keen Loong
CE No.: ALN801
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: HUGGER Thomas Eugen
CE No.: ACR505
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: HUGGER Thomas Eugen
CE No.: ACR505
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: HUGGER Thomas Eugen
CE No.: ACR505
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: LAU Wai Man
CE No.: ALW732
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: LAU Wai Man
CE No.: ALW732
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: LIAO Ya-Tsz
CE No.: ALN825
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: LIAO Ya-Tsz
CE No.: ALN825
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: LUNG Wing Cheung
CE No.: AMC683
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: LUNG Wing Cheung
CE No.: AMC683
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: MCNAB Scott Melville
CE No.: ALS463
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: MCNAB Scott Melville
CE No.: ALS463
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: OKUNO Katsuo
CE No.: AJC136
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: OKUNO Katsuo
CE No.: AJC136
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 9 Regulated Activity

CE Name: SEABOLT Christopher John
CE No.: ALP933
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: SEABOLT Christopher John
CE No.: ALP933
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 5 Regulated Activity

CE Name: SUZAT Alexis Dominique
CE No.: AIR658
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: TAM Yuk Kwan
CE No.: AAE592
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 5 Regulated Activity

CE Name: TSANG Kin Hung
CE No.: AFT414
Licence Type: Licensed Representative 
Condition Removed:
For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: WANG Wei-Tao
CE No.: ALZ562
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: WANG Wei-Tao
CE No.: ALZ562
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: YUNG Pik Ka
CE No.: ALU157
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity