CONDITION VARIATIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 05/2006 CE Name: CIC Investor Services Limited CE No.: AGX724 Licence Type: Licensed Corporation Condition Added: ˇ§For Type 1 regulated activity, the licensee shall not conduct business other than - (a) communicating offers to effect dealings in securities to Credit Industriel et Commercial and/or companies within the same group, in the names of the persons from whom those offers are received; and (b) introducing persons to Credit Industriel et Commercial and/or companies within the same group, in order that they may - (i) effect dealings in securities; or (ii) make offers to deal in securities.ˇ¨ Condition Level: Type 1 Regulated Activity CE Name: CIC Investor Services Limited CE No.: AGX724 Licence Type: Licensed Corporation Condition Added: For Type 4 regulated activity, The licensee shall only provide investment advice to clients of Credit Industriel et Commercial and/or companies within the same group. Condition Level: Type 4 Regulated Activity CE Name: CIC Investor Services Limited CE No.: AGX724 Licence Type: Licensed Corporation Condition Removed: The licensee shall only provide investment advice to clients of Credit Industriel et Commercial and/or companies within the same group. Condition Level: Type 4 Regulated Activity CE Name: Emperor Capital Limited CE No.: ADG809 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. Condition Level: Type 9 Regulated Activity CE Name: UBS Global Asset Management (Hong Kong) Limited CE No.: AGP568 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 except for the sole purpose of hedging and in managing the UBS A&Q Asia Property Cycle Fund which is solely marketed to professional investors. The term "professional investor" is as defined in Part 1 of Schedule 1 to the Securities and Futures Ordinance. Condition Level: Type 9 Regulated Activity CE Name: Anderson Man Asset Management Limited CE No.: ALY555 Licence Type: Licensed Corporation Condition Added: For Type 9 regulated activity, the licensee shall not conduct business involving the discretionary management of any collective investment scheme for persons other than professional investors. The terms "collective investment scheme" and "professional investor" are as defined under the Securities and Futures Ordinance. Condition Level: Type 9 Regulated Activity CE Name: Anderson Man Asset Management Limited CE No.: ALY555 Licence Type: Licensed Corporation Condition Removed: 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: CHAN Cheung Chi CE No.: AAA539 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: CHAN Cheung Chi CE No.: AAA539 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: KOO Tze Ling, Jacqueline CE No.: AAB595 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 On Wah CE No.: AAD083 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: LO Kwok Cheung, Timothy CE No.: AAU295 Licence Type: Licensed Representative - Responsible Officer Condition Added: ˇ§For Type 1 regulated activity, the licensee shall not conduct business other than - (a) communicating offers to effect dealings in securities to Credit Industriel et Commercial and/or companies within the same group, in the names of the persons from whom those offers are received; and (b) introducing persons to Credit Industriel et Commercial and/or companies within the same group, in order that they may - (i) effect dealings in securities; or (ii) make offers to deal in securities.ˇ¨ Condition Level: Type 1 Regulated Activity CE Name: YEUNG Chun Yin, Steve CE No.: ABY467 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: YEUNG Chun Yin, Steve CE No.: ABY467 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: YAN King Tang CE No.: ACD374 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: NG Pik Sze, Patsy CE No.: ACF892 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: NG Pik Sze, Patsy CE No.: ACF892 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: HO Tzu Chiang CE No.: ACS306 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 Tzu Chiang CE No.: ACS306 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: LAU Chun Hon CE No.: ACV704 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 Chi Yip, Kenny CE No.: ADH089 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: CHIN Lai Heng CE No.: AEN537 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall only engage in marketing and distribution of collective investment schemes. Condition Level: Type 1 Regulated Activity CE Name: HUNSAKER Brian Worthen CE No.: AEW810 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: HUNSAKER Brian Worthen CE No.: AEW810 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: LAM Hoi Yan, Karen CE No.: AEY346 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall only engage in corporate finance related activities. Condition Level: Type 1 Regulated Activity CE Name: LAM Hoi Yan, Karen CE No.: AEY346 Licence Type: Licensed Representative - Responsible Officer Condition Removed: For Type 1 regulated activity, the licensee shall only engage in corporate finance related activities. Condition Level: Type 1 Regulated Activity CE Name: YAP Junaidi CE No.: AFF840 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: WU Eliza Ki Lai CE No.: AFJ218 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: SAUVAGE Nicolas Patrice D. M. CE No.: AFK673 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: LAU Ka Shi, Betsy CE No.: AFP203 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: SHEN Chen CE No.: AGL159 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: SHEN Chen CE No.: AGL159 Licence Type: Licensed Representative Condition Removed: For Type 1 regulated activity, the licensee shall only engage in corporate finance related activities. Condition Level: Type 1 Regulated Activity CE Name: ANGLADA Jean-Luc, Fernand CE No.: AGY081 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 1 regulated activity, the licensee shall not conduct business other than - (a) communicating offers to effect dealings in securities to Credit Industriel et Commercial and/or companies within the same group, in the names of the persons from whom those offers are received; and (b) introducing persons to Credit Industriel et Commercial and/or companies within the same group, in order that they may - (i) effect dealings in securities; or (ii) make offers to deal in securities. Condition Level: Type 1 Regulated Activity CE Name: ANGLADA Jean-Luc, Fernand CE No.: AGY081 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: THONG Siew Wai CE No.: AIR795 Licence Type: Licensed Representative - Responsible Officer Condition Removed: 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: WANG Yang CE No.: AJG541 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: KUNG Chi Leung CE No.: AJK988 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: CHAUDHURY Bikram CE No.: ALK027 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: CHAUDHURY Bikram CE No.: ALK027 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: TEI Miranda Mei Lun CE No.: ALV256 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: TU Yanhui CE No.: ALV326 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: REILLY Bernard Patrick CE No.: AMF594 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: REILLY Bernard Patrick CE No.: AMF594 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 Peili CE No.: AMG931 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 Jing CE No.: AMI391 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: MA Xin CE No.: AMJ747 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 Huan CE No.: AMJ804 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: RYAN David Christopher CE No.: AMJ819 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: RYAN David Christopher CE No.: AMJ819 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: CAO Pei CE No.: AMK301 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 Tom Yan CE No.: AML273 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: DORE James Anthony CE No.: AML303 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: GAN Wee Leong CE No.: AML648 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: GAN Wee Leong CE No.: AML648 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: PAGAN Christopher CE No.: AML685 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: DHALIWAL Gurvinder Singh CE No.: AML714 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: NIP Wai Lin CE No.: AMM411 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: LACEY Sohee Mary CE No.: AMM501 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 Chi Hang CE No.: AMN648 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 Sze Chun, Bendy Jon CE No.: AMP252 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: GRABOWSKI Ernst-gerrit Alexander CE No.: AMP319 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: LO Sui Ping CE No.: AMQ695 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: TONG Tze Kong CE No.: AMQ919 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 Tsao Lung CE No.: AMR811 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: CHAN Wing Kay, Vivian CE No.: AMR860 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: CEDDIA Sabina Rosaria CE No.: AMS269 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 Wai Yin CE No.: AMS298 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: KAN Wai Yee, Cindy CE No.: AMS439 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: JUDGE Randeep Kaur CE No.: AMT847 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 Kar Man, Carmen CE No.: AMT881 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: SHEN Dehua CE No.: AMU085 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 Jing CE No.: AMU237 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: TENG Fredric Chien Hwa CE No.: AMU466 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: HAO Li CE No.: AMU546 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: FONG Wai Yin, Ada CE No.: AMU659 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: HUI Ka Hei CE No.: AMU686 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: WEISS Michael Steven CE No.: AMV301 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: CHANG Wei Hung CE No.: AMW350 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: TISSIER DE MALLERAIS Henri P. B. CE No.: AMW683 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 Alan Tet Chung CE No.: AMW934 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 Yat Quan CE No.: AMW935 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: BUTLER Benjamin James CE No.: AMX409 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: VERMA Rahul CE No.: AMY959 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: CHEN Xuehua CE No.: AMZ173 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: TSUI Shun Lin CE No.: ANA490 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: KANG Xiaoyang CE No.: ANB451 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: LO Yue Hin CE No.: ANB463 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 Yunna CE No.: ANB474 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 Yuk Ming, Tommy CE No.: ANB799 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: MO In Sun CE No.: AND184 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 Wei Hsien CE No.: AND584 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: FONG Ka Ho CE No.: AND841 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 Hsiu Hui, Jennifer CE No.: ANE206 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: MACPHERSON Matthew Steven CE No.: ANE735 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: PENG Vincent Shen CE No.: ANE756 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: TO Carol Chia-Pai CE No.: ANF157 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 Cham Pong, Cedric CE No.: ANF221 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: BU Yi CE No.: ANF288 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: BOLDT-CHRISTMAS Martin CE No.: ANG433 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 Benedict Quan-Yee CE No.: ANG618 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: LAM Alex Chung Wai CE No.: ANG929 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: LEE Ka Fai CE No.: ANG973 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 Hou-Min CE No.: ANH739 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 Chieh Chu CE No.: ANI665 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: HO Chi Fai, Boogie CE No.: AAX456 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: HO Chi Fai, Boogie CE No.: AAX456 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: YAMAMOTO Masahiko CE No.: ABG936 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: TURCOTTE III Vincent Joseph CE No.: ACB834 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: TURCOTTE III Vincent Joseph CE No.: ACB834 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: LAM Ka Hang CE No.: ACB908 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: LAM Ka Hang CE No.: ACB908 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: MAN Kam Cheuk CE No.: ACP181 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: MAN Kam Cheuk CE No.: ACP181 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: LAU Hung Chuen CE No.: ADZ808 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: LEUNG Wai Man CE No.: ALK478 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: YEH Wei-Kuo CE No.: ALQ531 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: YEH Wei-Kuo CE No.: ALQ531 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: CHEN Peili CE No.: AMG931 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: ROBINE Paul Gratien CE No.: AMK235 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: CAO Pei CE No.: AMK301 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: DHALIWAL Gurvinder Singh CE No.: AML714 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: FOLLOROUX Yann Michel Richard CE No.: AMO540 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: TENG Fredric Chien Hwa CE No.: AMU466 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: HO Yik Hang, Victor CE No.: AMU484 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: HAO Li CE No.: AMU546 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: CHANG Wei Hung CE No.: AMW350 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: TISSIER DE MALLERAIS Henri P. B. CE No.: AMW683 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: CHNG Stephanie Pei Pei CE No.: AMY781 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: CHEW Siang Yong CE No.: AMY782 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: LO Yue Hin CE No.: ANB463 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: LI Yuk Ming, Tommy CE No.: ANB799 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 Wei Hsien CE No.: AND584 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: FONG Ka Ho CE No.: AND841 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 Min Hee CE No.: ANE094 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: BOLDT-CHRISTMAS Martin CE No.: ANG433 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: NG Benedict Quan-Yee CE No.: ANG618 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: LAM Alex Chung Wai CE No.: ANG929 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: LEE Hou-Min CE No.: ANH739 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: FUNG Ka Ling, Catherine CE No.: ACP247 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: WAN Shing Lung CE No.: AHL499 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: WONG Chung Yin CE No.: AIB870 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: LEE Ting Fung CE No.: AKX239 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: KOO Tze Ling, Jacqueline CE No.: AAB595 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: LO Kwok Cheung, Timothy CE No.: AAU295 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity, The licensee shall only provide investment advice to clients of Credit Industriel et Commercial and/or companies within the same group. Condition Level: Type 4 Regulated Activity CE Name: LO Kwok Cheung, Timothy CE No.: AAU295 Licence Type: Licensed Representative - Responsible Officer Condition Removed: The licensee shall only provide investment advice to clients of Credit Industriel et Commercial and/or companies within the same group. Condition Level: Type 4 Regulated Activity CE Name: HO Chi Sing, Spencer CE No.: ACH921 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: WOO Adrian Chin Pang CE No.: ACS160 Licence Type: Licensed Representative - Responsible Officer Condition Removed: You are approved as a responsible officer of Transpac Capital Limited in respect of Type 4 regulated activity on condition that in relation to Type 4 regulated activity, you must act under the advice of another responsible officer of Transpac Capital Limited approved for that regulated activity without this condition. Condition Level: Type 4 Regulated Activity CE Name: HO Tzu Chiang CE No.: ACS306 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: HO Tzu Chiang CE No.: ACS306 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: WONG Hok Ko, Gordon CE No.: ADT261 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: WONG Hok Ko, Gordon CE No.: ADT261 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: MIN Ji Hong CE No.: ADU316 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: MIN Ji Hong CE No.: ADU316 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: LI Sai Ho, Shadow CE No.: AEA674 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: HUNSAKER Brian Worthen CE No.: AEW810 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: HUNSAKER Brian Worthen CE No.: AEW810 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: LOO Peck Hwee, Celene CE No.: AFC204 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: LOO Peck Hwee, Celene CE No.: AFC204 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: WU Eliza Ki Lai CE No.: AFJ218 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: YIP Yuk Kwan CE No.: AGP554 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: YIP Yuk Kwan CE No.: AGP554 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: ANGLADA Jean-Luc, Fernand CE No.: AGY081 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 4 regulated activity, The licensee shall only provide investment advice to clients of Credit Industriel et Commercial and/or companies within the same group. Condition Level: Type 4 Regulated Activity CE Name: ANGLADA Jean-Luc, Fernand CE No.: AGY081 Licence Type: Licensed Representative - Responsible Officer Condition Removed: The licensee shall only provide investment advice to clients of Credit Industriel et Commercial and/or companies within the same group. Condition Level: Type 4 Regulated Activity CE Name: CHAUDHURY Bikram CE No.: ALK027 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: CHAUDHURY Bikram CE No.: ALK027 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: FISHER Jeffery Michael CE No.: ALV246 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: REILLY Bernard Patrick CE No.: AMF594 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: REILLY Bernard Patrick CE No.: AMF594 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: YU Wai Ting, Judy CE No.: AMJ822 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 Kwong Wui CE No.: AMK297 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: WONG Kwong Wui CE No.: AMK297 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: LIU Tom Yan CE No.: AML273 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: MITCHELL Max Anthony CE No.: AML638 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: NAAYEN Roy CE No.: AMM071 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: FREMONT-SMITH Matthew Thayer CE No.: AMN770 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: BRUESCHKE Jason Douglas CE No.: AMO605 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: CHEUNG Pui Yee CE No.: AMO613 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 Sze Chun, Bendy Jon CE No.: AMP252 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: GRABOWSKI Ernst-gerrit Alexander CE No.: AMP319 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 Jian Huan CE No.: AMQ520 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: CEDDIA Sabina Rosaria CE No.: AMS269 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: CHAN Wai Yin CE No.: AMS298 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: LO Philip CE No.: AMT669 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: TSE Jacqueline Kar Yue CE No.: AMU495 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: WU Jie CE No.: AMW888 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: MIU Shew Keng CE No.: AMX383 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 Sun Ming, Simon CE No.: AMX405 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: YEUNG Ka Lee CE No.: ANA541 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: KWOK Hoi Yan CE No.: ANB388 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: KANG Xiaoyang CE No.: ANB451 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: LUO Gaobo CE No.: ANC049 Licence Type: Licensed Representative 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: WONG Hsiu Hui, Jennifer CE No.: ANE206 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: TAO Hui CE No.: ANE418 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: CHEUK Hon Fu CE No.: ANE705 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: CHOW Ting Fai, Stephen Benny CE No.: ANE749 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: LIU Qianli CE No.: ANE763 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: TO Carol Chia-Pai CE No.: ANF157 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: HUANG Yanqing CE No.: ANG755 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: LEE Ka Fai CE No.: ANG973 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: YAMAMOTO Masahiko CE No.: ABG936 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: POON Yuk Ki CE No.: AEN150 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: CHAN Yeung CE No.: AKX956 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: CHAN Yeung CE No.: AKX956 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: REILLY Bernard Patrick CE No.: AMF594 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: REILLY Bernard Patrick CE No.: AMF594 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: KELLIE-SMITH Sam Anthony CE No.: AMG968 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: WONG Kwong Wui CE No.: AMK297 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: WONG Kwong Wui CE No.: AMK297 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: LAM Haw Shun, Dennis CE No.: AAE615 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: LAM Haw Shun, Dennis CE No.: AAE615 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 Codes on Takeovers and Mergers and Share Repurchases issued by the Commission. Condition Level: Type 6 Regulated Activity CE Name: SPENCE Susannah Mary CE No.: AAK751 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: CHOW Yin Kwan CE No.: ACB033 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: ZEE Patrick CE No.: ADA339 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: ZEE Patrick CE No.: ADA339 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: LAU Mi Yi, Fiona CE No.: ADD059 Licence Type: Licensed Representative Condition Removed: 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 Kwok Ting, Sunny CE No.: ADG917 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: LAI Voon Wai CE No.: ADO300 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 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: MIN Ji Hong CE No.: ADU316 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: MIN Ji Hong CE No.: ADU316 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: MIN Ji Hong CE No.: ADU316 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: LAM Hoi Yan, Karen CE No.: AEY346 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: LAM Hoi Yan, Karen CE No.: AEY346 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: MUI Ho Cheung, Gary CE No.: AFL987 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: MUI Ho Cheung, Gary CE No.: AFL987 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: LO Kwong Shun, Wilson CE No.: AFQ413 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: LO Kwong Shun, Wilson CE No.: AFQ413 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: LO Kwong Shun, Wilson CE No.: AFQ413 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: TSE Yee Hin, Tony CE No.: AHY113 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: TSE Yee Hin, Tony CE No.: AHY113 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: KWONG Hoi Yan CE No.: AIX578 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: KWONG Hoi Yan CE No.: AIX578 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: KWONG Hoi Yan CE No.: AIX578 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 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 Condition Removed: 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: LEUNG Ka Man CE No.: AJO081 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: LI Jing CE No.: AMI391 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 Xin CE No.: AMJ747 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: LIU Tom Yan CE No.: AML273 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: LACEY Sohee Mary CE No.: AMM501 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: FREMONT-SMITH Matthew Thayer CE No.: AMN770 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: GRABOWSKI Ernst-gerrit Alexander CE No.: AMP319 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: TONG Tze Kong CE No.: AMQ919 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: CEDDIA Sabina Rosaria CE No.: AMS269 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: KAN Wai Yee, Cindy CE No.: AMS439 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: JUDGE Randeep Kaur CE No.: AMT847 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: SHEN Dehua CE No.: AMU085 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: WEISS Michael Steven CE No.: AMV301 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: WONG Alan Tet Chung CE No.: AMW934 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: CHEN Xuehua CE No.: AMZ173 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: LUO Gaobo CE No.: ANC049 Licence Type: Licensed Representative 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: PENG Vincent Shen CE No.: ANE756 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: LIU Qianli CE No.: ANE763 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: TO Carol Chia-Pai CE No.: ANF157 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: BU Yi CE No.: ANF288 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: LEE Ka Fai CE No.: ANG973 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: KOO Tze Ling, Jacqueline CE No.: AAB595 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: SHE Chiu Shun Ernest CE No.: AAC032 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: WOO Ping, Peter CE No.: AAC289 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 for persons other than professional investors. The terms "collective investment scheme" and "professional investor" are as defined under the Securities and Futures Ordinance. Condition Level: Type 9 Regulated Activity CE Name: WOO Ping, Peter CE No.: AAC289 Licence Type: Licensed Representative - Responsible Officer Condition Removed: 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: LUI Pui Sze, Cissy CE No.: AAE565 Licence Type: Licensed Representative Condition Removed: 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: CHONG Chin Huei, Violet CE No.: AAY400 Licence Type: Licensed Representative - Responsible Officer Condition Added: For Type 9 regulated activity, the licensee shall seek the Commission's prior approval before extending services at retail level. Condition Level: Type 9 Regulated Activity CE Name: CHONG Chin Huei, Violet CE No.: AAY400 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: LAI Kin Chung, Kenneth CE No.: ABP978 Licence Type: Licensed Representative Condition Removed: 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: YEUNG Wai Kin CE No.: ACC364 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: YEUNG Wai Kin CE No.: ACC364 Licence Type: Licensed Representative - Responsible Officer Condition Removed: 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: YEUNG Kin Wah CE No.: ACE842 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 for persons other than professional investors. The terms "collective investment scheme" and "professional investor" are as defined under the Securities and Futures Ordinance. Condition Level: Type 9 Regulated Activity CE Name: YEUNG Kin Wah CE No.: ACE842 Licence Type: Licensed Representative - Responsible Officer Condition Removed: 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: WOO Adrian Chin Pang CE No.: ACS160 Licence Type: Licensed Representative - Responsible Officer Condition Removed: You are approved as a responsible officer of Transpac Capital Limited in respect of Type 9 regulated activity on condition that in relation to Type 9 regulated activity, you must act under the advice of another responsible officer of Transpac Capital Limited approved for that regulated activity without this condition. Condition Level: Type 9 Regulated Activity CE Name: WERTHEIMER Richard Miles CE No.: ACT127 Licence Type: Licensed Representative 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: WERTHEIMER Richard Miles CE No.: ACT127 Licence Type: Licensed Representative 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: CHOI Nga Chung CE No.: ADG746 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: YIM Kam Kin CE No.: ADK344 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: MIN Ji Hong CE No.: ADU316 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: MIN Ji Hong CE No.: ADU316 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: MIN Ji Hong CE No.: ADU316 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: KEUNG Kelvin CE No.: AEI320 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: RIGBY Simon John CE No.: AEO842 Licence Type: Licensed Representative Condition Removed: For Type 9 regulated activity, the person shall not provide a service of managing a portfolio of futures contracts for another person. Condition Level: Type 9 Regulated Activity CE Name: YIP Sau Hoi CE No.: AEO868 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: LOO Peck Hwee, Celene CE No.: AFC204 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: LOO Peck Hwee, Celene CE No.: AFC204 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: LOO Peck Hwee, Celene CE No.: AFC204 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: WU Eliza Ki Lai CE No.: AFJ218 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: SAUVAGE Nicolas Patrice D. M. CE No.: AFK673 Licence Type: Licensed Representative - Responsible Officer Condition Removed: 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: TSE Tak Wah CE No.: AIX141 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: GROVER Gaurav CE No.: AMB195 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: REILLY Bernard Patrick CE No.: AMF594 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: REILLY Bernard Patrick CE No.: AMF594 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: WONG Kwong Wui CE No.: AMK297 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: WONG Kwong Wui CE No.: AMK297 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: LIU Yongjie CE No.: AMP628 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: LIU Yongjie CE No.: AMP628 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: LAU Jin Tin, Don CE No.: AMP629 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: ZHU Jian Huan CE No.: AMQ520 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: YU Man Fung, Lora CE No.: AMQ585 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: LI Jing CE No.: AMU237 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: FONG Wai Yin, Ada CE No.: AMU659 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: YEUNG Ka Lee CE No.: ANA541 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: KANG Xiaoyang CE No.: ANB451 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 Hsiu Hui, Jennifer CE No.: ANE206 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: LUI Pui Sze, Cissy CE No.: AAE565 Licence Type: Licensed Representative Condition Removed: The licensee shall only provide services to Sofaer Global Research (UK) Limited. Condition Level: Licence CE Name: PHILLIPS Ned CE No.: AFC917 Licence Type: Licensed Representative - Responsible Officer Condition Added: The licensee, when directly supervising the business of any regulated activity in his capacity as a responsible officer while he is residing outside Hong Kong, must do so under the advice of another responsible officer who is: (a)accredited to the principal concerned of the licensee in respect of the same activity; and (b)not subject to any condition pursuant to which restriction is or will be placed on his supervision of the regulated activity. Condition Level: Licence CE Name: YOO Steve Ernest CE No.: AGF151 Licence Type: Licensed Representative Condition Removed: The licence is conditional upon no adverse comment on the licensee being subsequently received from the Korea Securities Dealers Association. Condition Level: Licence CE Name: WANG Yang CE No.: AJG541 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: TU Yanhui CE No.: ALV326 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: PARK Ceyong CE No.: ALZ844 Licence Type: Licensed Representative Condition Removed: The licence is conditional upon no adverse comment on the licensee being subsequently received from the Korea Securities Dealers Association. Condition Level: Licence CE Name: LIM Dong Soo CE No.: AME244 Licence Type: Licensed Representative Condition Removed: The licence is conditional upon no adverse comment on the licensee being subsequently received from the Korea Securities Dealers Association. Condition Level: Licence CE Name: KIM Jin Sang CE No.: AME245 Licence Type: Licensed Representative Condition Removed: The licence is conditional upon no adverse comment on the licensee being subsequently received from the Korea Securities Dealers Association. Condition Level: Licence CE Name: GAN Wee Leong CE No.: AML648 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 not provide related services to any person other than a professional investor. The term "professional investor" is as defined in Part 1 of Schedule 1 to the Securities and Futures Ordinance but does not include any person of a class which is prescribed by the Securities and Futures (Professional Investor) Rules. Condition Level: Licence CE Name: CHUNG Sun Myung CE No.: AMO834 Licence Type: Licensed Representative Condition Removed: The licence is conditional upon no adverse comment on the licensee being subsequently received from the Korea Securities Dealers Association. Condition Level: Licence CE Name: NAM Kee Young CE No.: AMP175 Licence Type: Licensed Representative Condition Removed: The licence is conditional upon no adverse comment on the licensee being subsequently received from the Korea Securities Dealers Association. Condition Level: Licence CE Name: SON Yong Suk CE No.: AMY256 Licence Type: Licensed Representative Condition Removed: The licence is conditional upon no adverse comment on the licensee being subsequently received from the Korea Securities Dealers Association. Condition Level: Licence CE Name: KIM Jae Eun CE No.: AMY263 Licence Type: Licensed Representative Condition Removed: The licence is conditional upon no adverse comment on the licensee being subsequently received from the Korea Securities Dealers Association. Condition Level: Licence CE Name: LEE Hee Seung CE No.: AMY281 Licence Type: Licensed Representative Condition Removed: The licence is conditional upon no adverse comment on the licensee being subsequently received from the Korea Securities Dealers Association. Condition Level: Licence CE Name: KIM So Young CE No.: AMY841 Licence Type: Licensed Representative Condition Removed: The licence is conditional upon no adverse comment on the licensee being subsequently received from the Korea Securities Dealers Association. Condition Level: Licence CE Name: Bayerische Hypo- und Vereinsbank Aktiengesellschaft CE No.: AAK827 Licence Type: Registered Institution Condition Removed: (i) For each of Types 1 and 4 regulated activities, the person shall have at least one executive officer approved by the Hong Kong Monetary Authority available at all times in Hong Kong to supervise such regulated activities; (ii) Regarding the conduct of regulated activities in Hong Kong, the person may only deal with the financial institutions and corporates who are its existing clients; and (iii) This condition is to be valid until ˇV (a) the Hong Kong Monetary Authority's approval of second executive officer of the person for its Types 1 and 4 regulated activities where that executive officer fulfils all relevant requirements as stipulated in the Guidelines on Competence issued by the Commission; or (b) 6 months from 13 April 2006 (or such later date agreed by the Commission in writing), whichever is earlier. Condition Level: Registration CE Name: ABRAHAM Avinash Thomas CE No.: AMW974 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: CHAN Sau Shan, Gary CE No.: ACH777 Licence Type: Licensed Representative Condition Removed: 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 Condition Removed: 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: CHAN Sau Shan, Gary CE No.: ACH777 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: CHENG Ling Ling, Caroline CE No.: AMX599 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 Ling Ling, Caroline CE No.: AMX599 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: KERINS William Francis CE No.: AJI695 Licence Type: Licensed Representative 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: SHRIDHARAN Vasan CE No.: AMU555 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: YIP Sau Hoi CE No.: AEO868 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