CONDITION VARIATIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 09/2006

CE Name: JS Cresvale Securities International Limited
CE No.: ABW380
Licence Type: Licensed Corporation 
Condition Added:
In relation to Type 2 regulated activity, the licensee shall not conduct business other than:-
(a) communicating offers to effect dealings in futures contracts or options contracts to Jih Sun Futures Co. Ltd., in the names of the persons from whom those offers are received; or
(b) for hedging purposes.
Condition Level: Type 2 Regulated Activity

CE Name: Cheetah Investment Management Limited
CE No.: AHZ640
Licence Type: Licensed Corporation 
Condition Added:
For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of futures contracts for another person unless it is for hedging purpose only.
Condition Level: Type 9 Regulated Activity

CE Name: Cheetah Investment Management Limited
CE No.: AHZ640
Licence Type: Licensed Corporation 
Condition Removed:
For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of futures contracts for another person.
Condition Level: Type 9 Regulated Activity

CE Name: ISS Derivate Limited
CE No.: ALV032
Licence Type: Licensed Corporation 
Condition Removed:
The licensee shall not hold client assets. The terms "hold" and "client assets" are as defined under the Securities and Futures Ordinance.
Condition Level: Licence

CE Name: ISS Derivate Limited
CE No.: ALV032
Licence Type: Licensed Corporation 
Condition Removed:
The licensee shall only trade for its own account.
Condition Level: Licence

CE Name: LI Dominic Song Ching
CE No.: AAC878
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: CHIU Man Yee
CE No.: AAH138
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: LEUNG Chi Kin
CE No.: AAI934
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: PUN Wing Nin, Winnie
CE No.: AAK003
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: CHENG Mun Wah, Heidi
CE No.: ABT047
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: CHENG Mun Wah, Heidi
CE No.: ABT047
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 Yiu Cheong
CE No.: ACC895
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: LAU Yiu Cheong
CE No.: ACC895
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: LUI Ho Ming, Paul
CE No.: ACK409
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance.
Condition Level: Type 1 Regulated Activity

CE Name: MA So Ping
CE No.: ACR160
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 1 regulated activity, the licensee shall only perform distribution function for securities.  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: LAM Ka Keung
CE No.: ADE238
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: LAM Ka Keung
CE No.: ADE238
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: SO Mei Lun
CE No.: ADK736
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: YEU Chiu Wah
CE No.: ADR463
Licence Type: Licensed Representative 
Condition Removed:
For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance.
Condition Level: Type 1 Regulated Activity

CE Name: CHOW Kyan Mervyn
CE No.: ADS211
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance.
Condition Level: Type 1 Regulated Activity

CE Name: PAN Ming
CE No.: ADU474
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: HUNG Cheung Fuk
CE No.: ADV775
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance.
Condition Level: Type 1 Regulated Activity

CE Name: RYAN David Michael
CE No.: ADX838
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: MANN Lindsay Robert
CE No.: AEB099
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: TEOH Chin Chin
CE No.: AEM113
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: HU Ka Lam
CE No.: AEP558
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: TZE Kan Fat
CE No.: AET872
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance.
Condition Level: Type 1 Regulated Activity

CE Name: CHOW Cheuk Yin
CE No.: AFK374
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 Sai Yin
CE No.: AFN905
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: LEE Sai Yin
CE No.: AFN905
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: LEE Sai Yin
CE No.: AFN905
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: HU Zhizhi
CE No.: AFQ361
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance.
Condition Level: Type 1 Regulated Activity

CE Name: WINEGAR Steven David
CE No.: AFR303
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: TSANG Man Shun
CE No.: AFS253
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: TSANG Man Shun
CE No.: AFS253
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance.
Condition Level: Type 1 Regulated Activity

CE Name: LAKHANPAL Ranjit
CE No.: AFT173
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance.
Condition Level: Type 1 Regulated Activity

CE Name: SU Paul Qi
CE No.: AGC573
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance.
Condition Level: Type 1 Regulated Activity

CE Name: CHANG Lambert Jen Hsiung
CE No.: AGN715
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: MOSS Alister Grahame
CE No.: AIR657
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: MOSS Alister Grahame
CE No.: AIR657
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: LI Hu
CE No.: AJG540
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: WANG Yang
CE No.: AJG541
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 Kok Fai
CE No.: ALG045
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: DORE James Anthony
CE No.: AML303
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: LIAN Lian
CE No.: AMO372
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: CHAU Man Ching, Gladys
CE No.: AMR815
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: KARKHANIS Vrugvad
CE No.: AMT916
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: CHUI Bing Sun
CE No.: AMU554
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: CHUI Bing Sun
CE No.: AMU554
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: KIM Seong Rak
CE No.: AMY441
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: CASIRAGHI Francesco
CE No.: AMZ109
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: WOO Bong Lam, John
CE No.: AMZ222
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: LIN Chang-Chung
CE No.: ANC156
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: CHUA Kim Leng
CE No.: AND877
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: SCHUETTLER Hans Joerg Horst
CE No.: ANE014
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: LAU Cheng Soon
CE No.: ANE280
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: ASKAR Kamel
CE No.: ANE702
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: PANG Matthew Man Yat
CE No.: ANE767
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: MAHOUE Frederic, Jean, Olivier
CE No.: ANE856
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: SRIVASTAVA Manish
CE No.: ANE868
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: TOM Edward
CE No.: ANF158
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: LEI Liang
CE No.: ANG311
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: ZHANG Wei
CE No.: ANG359
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: CORNAIRE Christophe Louis Jacques
CE No.: ANG360
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: VAN JAARSVELD Johannes Gert Stefanus
CE No.: ANG435
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: YEN Anna
CE No.: ANG466
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: LIANG Xiaoli
CE No.: ANG867
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: SORDET Nicolas,Olivier,Francois,Marie
CE No.: ANG960
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: DING Lin
CE No.: ANH057
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: HU Tianzong Angela
CE No.: ANH100
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: JIANG Yongqing
CE No.: ANH107
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 Wing To, Alex
CE No.: ANH516
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 Hoi Hin, William
CE No.: ANJ133
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: DRAYCOTT Andrew Liam
CE No.: ANJ356
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: BUTTERWORTH Gregory John
CE No.: ANJ643
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: SAISI Jack
CE No.: ANK164
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: PENKIN Jonathan Mark
CE No.: ANK387
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: KUMAR Abhishek
CE No.: ANK432
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 Sydney Chung Hin
CE No.: ANK516
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 Min
CE No.: ANK574
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: XU Ying
CE No.: ANK771
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: LAM Chun Kwan, Kelvin
CE No.: ANM107
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 Poh Kiat
CE No.: ANM131
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: ANG Kok Thye Ian
CE No.: ANM185
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: ZARIN Heath Brian
CE No.: ANM356
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: BECHTLER Alexander Walter
CE No.: ANM693
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: CHEAH Sim Ee
CE No.: ANM987
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: RAINA Amit
CE No.: ANN013
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: ZHANG Kun
CE No.: ANN417
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 Jin-sen
CE No.: ANN471
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 Lap Yee, Letty
CE No.: ANO984
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: WANG Li-Ting
CE No.: ANO992
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: HA David
CE No.: ANP445
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: AGNE Mark Edward
CE No.: ANP670
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: AGNE Mark Edward
CE No.: ANP670
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: HONG Colin Chor Lok
CE No.: ANQ007
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 Yan
CE No.: ANQ250
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: SZE Morgan Chia-Wen
CE No.: ANQ330
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: MACLEAN Hamish Alexander
CE No.: ANQ332
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 Fei
CE No.: ANQ366
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: FUNG Jane Lorraine Kit Han
CE No.: ANQ383
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 Cheong Ping, Stephen
CE No.: ANQ401
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: FANG Ruofan
CE No.: ANQ625
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: LEUNG Daphne Yik See
CE No.: ANQ754
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 Tak Yin, George
CE No.: ANQ846
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: LIN Wan-ying
CE No.: ANR833
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: YU Colleen Mo Chong
CE No.: ANR834
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: KOO Anna-mae Mei Jong
CE No.: ANR847
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: KIM Eugene Hwang
CE No.: ANR849
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: HUTTON Ian
CE No.: ANR984
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: VALLE Charles Emmanuel
CE No.: ANS079
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: LY Roland
CE No.: ANS268
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: SMITH Adam Alexander
CE No.: ANT189
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: INAIDA Yosuke
CE No.: ANT239
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: CHEUK Siu Yuen, Ferdinand
CE No.: ANT280
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: TUNG Ya-ching
CE No.: ANT465
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: WANG Le-sheng
CE No.: ANT488
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 Tai Hung, Anthony
CE No.: ANT823
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: SHIH Leung Leung
CE No.: ANU233
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: LAU Yat Ji, Vicci
CE No.: ANU807
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 Lok Tin, Timothy
CE No.: ANY093
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: LI Dominic Song Ching
CE No.: AAC878
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: CHIU Man Yee
CE No.: AAH138
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: KWOK Shu To, Banny
CE No.: AAI621
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: KWOK Shu To, Banny
CE No.: AAI621
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 2 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 2 Regulated Activity

CE Name: KWAN Wai Man
CE No.: ACJ105
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
In relation to Type 2 regulated activity, the licensee shall not conduct business other than:-
(a) communicating offers to effect dealings in futures contracts or options contracts to Jih Sun Futures Co. Ltd., in the names of the persons from whom those offers are received; or
(b) for hedging purposes.
Condition Level: Type 2 Regulated Activity

CE Name: WONG Yuen Sze, Angel
CE No.: ACU945
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: PAN Ming
CE No.: ADU474
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: RYAN David Michael
CE No.: ADX838
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: CHU Yik Shan
CE No.: AEA289
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: CHU Yik Shan
CE No.: AEA289
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: HUNG Jung-Tsung
CE No.: AJD359
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
In relation to Type 2 regulated activity, the licensee shall not conduct business other than:-
(a) communicating offers to effect dealings in futures contracts or options contracts to Jih Sun Futures Co. Ltd., in the names of the persons from whom those offers are received; or
(b) for hedging purposes.
Condition Level: Type 2 Regulated Activity

CE Name: HUNG Jung-Tsung
CE No.: AJD359
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: BURR Alan John Phillip
CE No.: AJO422
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: BURR Alan John Phillip
CE No.: AJO422
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: CHUA Kim Leng
CE No.: AND877
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: PANG Matthew Man Yat
CE No.: ANE767
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: TOM Edward
CE No.: ANF158
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: CORNAIRE Christophe Louis Jacques
CE No.: ANG360
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: YEN Anna
CE No.: ANG466
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: SORDET Nicolas,Olivier,Francois,Marie
CE No.: ANG960
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: WATANABE Kunio
CE No.: ANI941
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: WATANABE Kunio
CE No.: ANI941
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: BUTTERWORTH Gregory John
CE No.: ANJ643
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: SAISI Jack
CE No.: ANK164
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: CHEAH Sim Ee
CE No.: ANM987
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: CHEN Jin-sen
CE No.: ANN471
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: WANG Li-Ting
CE No.: ANO992
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: AGNE Mark Edward
CE No.: ANP670
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: AGNE Mark Edward
CE No.: ANP670
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: AGNE Mark Edward
CE No.: ANP670
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: HONG Colin Chor Lok
CE No.: ANQ007
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: MACLEAN Hamish Alexander
CE No.: ANQ332
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 Fei
CE No.: ANQ366
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 Jane Lorraine Kit Han
CE No.: ANQ383
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 Tak Yin, George
CE No.: ANQ846
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: YU Colleen Mo Chong
CE No.: ANR834
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: KIM Eugene Hwang
CE No.: ANR849
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: VALLE Charles Emmanuel
CE No.: ANS079
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: AU Chi Chung
CE No.: ANS132
Licence Type: Licensed Representative 
Condition Added:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: LY Roland
CE No.: ANS268
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: INAIDA Yosuke
CE No.: ANT239
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: CHEUK Siu Yuen, Ferdinand
CE No.: ANT280
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: TUNG Ya-ching
CE No.: ANT465
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: AU Wing Kai, Aric
CE No.: AEH253
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: LAU Suk Tung
CE No.: AFD150
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 3 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 3 Regulated Activity

CE Name: LAU Suk Tung
CE No.: AFD150
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 3 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 3 Regulated Activity

CE Name: LAM Kai Chiu
CE No.: AJE179
Licence Type: Licensed Representative 
Condition Removed:
For type 3 regulated activity, the licensee shall not provide discretionary account services.
Condition Level: Type 3 Regulated Activity

CE Name: SHIKITA Yoshikazu
CE No.: ALS678
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: OKADA Toshiyuki
CE No.: AMR827
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: LAI Chun Wing
CE No.: ANA177
Licence Type: Licensed Representative 
Condition Removed:
For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients.
Condition Level: Type 3 Regulated Activity

CE Name: LEE Pak Shing
CE No.: ANB855
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: TIN Yuk
CE No.: ANH344
Licence Type: Licensed Representative 
Condition Removed:
For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients.
Condition Level: Type 3 Regulated Activity

CE Name: CHIU Man Yee
CE No.: AAH138
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: LUI Ho Ming, Paul
CE No.: ACK409
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 4 regulated activity, the licensee shall not engage in advising activities other than those relating to corporate finance.
Condition Level: Type 4 Regulated Activity

CE Name: DONALDSON Nicholas John
CE No.: ACP433
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: LAM Ka Keung
CE No.: ADE238
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: LAM Ka Keung
CE No.: ADE238
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: KANJI Hanif
CE No.: ADW981
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: MANN Lindsay Robert
CE No.: AEB099
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: TEOH Chin Chin
CE No.: AEM113
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 Cheuk Yin
CE No.: AFK374
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 Sai Yin
CE No.: AFN905
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: LEE Sai Yin
CE No.: AFN905
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: LEUNG Wing Man, Kitty
CE No.: AFV787
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: LUK Terence
CE No.: AGI503
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: LUK Terence
CE No.: AGI503
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: WAN Maurine
CE No.: AGJ125
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: WILLIAMS Mark Andrew
CE No.: AGJ168
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: WILLIAMS Mark Andrew
CE No.: AGJ168
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: MOSS Alister Grahame
CE No.: AIR657
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: MOSS Alister Grahame
CE No.: AIR657
Licence Type: Licensed Representative 
Condition Removed:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: LI Hu
CE No.: AJG540
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: YAN Kam Tong
CE No.: ALT703
Licence Type: Licensed Representative 
Condition Removed:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: CHUI Bing Sun
CE No.: AMU554
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: CHUI Bing Sun
CE No.: AMU554
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: CASIRAGHI Francesco
CE No.: AMZ109
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: MAGER Michael Johanan
CE No.: AMZ966
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: WEN Hong
CE No.: ANB174
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: CRIVELLI Patrick Marcel
CE No.: ANB909
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: LIN Chang-Chung
CE No.: ANC156
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: WILKINS Nigel Phillip
CE No.: AND904
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 Kyung Koo
CE No.: AND942
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: SCHUETTLER Hans Joerg Horst
CE No.: ANE014
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: LAU Cheng Soon
CE No.: ANE280
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: LEI Liang
CE No.: ANG311
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: ZHANG Wei
CE No.: ANG359
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: VAN JAARSVELD Johannes Gert Stefanus
CE No.: ANG435
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: TENG Kai-Ling
CE No.: ANG458
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: YEN Anna
CE No.: ANG466
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: CAI Mingyan
CE No.: ANG572
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: ZWAANSTRA Todd David
CE No.: ANH002
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: ZWAANSTRA Todd David
CE No.: ANH002
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: ZWAANSTRA Todd David
CE No.: ANH002
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: HU Tianzong Angela
CE No.: ANH100
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: LUN Chuen Yun, Ivy
CE No.: ANI753
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: LI Yanlin
CE No.: ANI899
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: KO Hiu Lui
CE No.: ANJ394
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: GLAVAN Jeffrey Lawrence
CE No.: ANJ480
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: PARK Joon Young
CE No.: ANJ489
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: CHEN Min
CE No.: ANK574
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: MA Nan
CE No.: ANK808
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: RAN Peng
CE No.: ANL967
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: LAM Chun Kwan, Kelvin
CE No.: ANM107
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: ZARIN Heath Brian
CE No.: ANM356
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: HONG Tianfeng
CE No.: ANM666
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: CHELLAPPA Karthik
CE No.: ANN265
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: SHIH Chau Pui
CE No.: ANN278
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 Lap Yee, Letty
CE No.: ANO984
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: AGNE Mark Edward
CE No.: ANP670
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: AGNE Mark Edward
CE No.: ANP670
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 King Lok, Janet
CE No.: ANQ157
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: CHEN Qi
CE No.: ANQ771
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 Kwok Tao, Gladys
CE No.: ANR064
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: KOO Anna-mae Mei Jong
CE No.: ANR847
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: KENNEDY Brynne Shanahan
CE No.: ANS123
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: CHU Vanessa Mei I
CE No.: ANS129
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: INAIDA Yosuke
CE No.: ANT239
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: KIM Han Chul
CE No.: ANT252
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: LEUNG Curtis Yan Wing
CE No.: ANT253
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 Yu
CE No.: ANT257
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: SHIH Leung Leung
CE No.: ANU233
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: KENNEDY Matthew
CE No.: ANU294
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: LUK Terence
CE No.: AGI503
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: LUK Terence
CE No.: AGI503
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: YAN Kam Tong
CE No.: ALT703
Licence Type: Licensed Representative 
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: YEN Anna
CE No.: ANG466
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 5 Regulated Activity

CE Name: ZWAANSTRA Todd David
CE No.: ANH002
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: ZWAANSTRA Todd David
CE No.: ANH002
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: ZWAANSTRA Todd David
CE No.: ANH002
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: WATANABE Kunio
CE No.: ANI941
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: WATANABE Kunio
CE No.: ANI941
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: CHEN Jin-sen
CE No.: ANN471
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 5 Regulated Activity

CE Name: LI Dominic Song Ching
CE No.: AAC878
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: CHIU Man Yee
CE No.: AAH138
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: LAU Mi Yi, Fiona
CE No.: ADD059
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: CHOW Kyan Mervyn
CE No.: ADS211
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: HUNG Cheung Fuk
CE No.: ADV775
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: SHIH Shun Ching
CE No.: AEG459
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: HU Zhizhi
CE No.: AFQ361
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: WINEGAR Steven David
CE No.: AFR303
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: POON Siu Kuen, Calvin
CE No.: AFR783
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: POON Siu Kuen, Calvin
CE No.: AFR783
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: TSANG Man Shun
CE No.: AFS253
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: LAKHANPAL Ranjit
CE No.: AFT173
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: SU Paul Qi
CE No.: AGC573
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: CHUNG Ho Tung
CE No.: AGC693
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: CHUNG Ho Tung
CE No.: AGC693
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: CHUNG Ho Tung
CE No.: AGC693
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: CHANG Lambert Jen Hsiung
CE No.: AGN715
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: MOSS Alister Grahame
CE No.: AIR657
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: MOSS Alister Grahame
CE No.: AIR657
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: MOSS Alister Grahame
CE No.: AIR657
Licence Type: Licensed Representative 
Condition Removed:
For Type 6 regulated activity, the licensee shall not provide advice concerning compliance with or in respect of rules made by the Stock Exchange of Hong Kong Limited or the Commission under section 23 or 36 of the Securities and Futures Ordinance governing the listing of securities.
Condition Level: Type 6 Regulated Activity

CE Name: MOSS Alister Grahame
CE No.: AIR657
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: LI Hu
CE No.: AJG540
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: LIAN Lian
CE No.: AMO372
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: CASIRAGHI Francesco
CE No.: AMZ109
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: CHOW Man Yee, Kitty
CE No.: AMZ977
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: BARAM Geoffrey Ian
CE No.: ANA198
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: SCHUETTLER Hans Joerg Horst
CE No.: ANE014
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: SCHUETTLER Hans Joerg Horst
CE No.: ANE014
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: ZHANG Wei
CE No.: ANG359
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: VAN JAARSVELD Johannes Gert Stefanus
CE No.: ANG435
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: FANG Lingya
CE No.: ANG581
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: LIANG Xiaoli
CE No.: ANG867
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: DING Lin
CE No.: ANH057
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: HU Tianzong Angela
CE No.: ANH100
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: JIANG Yongqing
CE No.: ANH107
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 Wing To, Alex
CE No.: ANH516
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: WAKIZAKI Emi
CE No.: ANH732
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: AKAIWA Sumiyuki
CE No.: ANH760
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: AKAIWA Sumiyuki
CE No.: ANH760
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: LUN Chuen Yun, Ivy
CE No.: ANI753
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: CHAN Hoi Hin, William
CE No.: ANJ133
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: GLAVAN Jeffrey Lawrence
CE No.: ANJ480
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: PARK Joon Young
CE No.: ANJ489
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 Min
CE No.: ANK574
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: XU Ying
CE No.: ANK771
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: LAM Chun Kwan, Kelvin
CE No.: ANM107
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: ZARIN Heath Brian
CE No.: ANM356
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: ZHANG Kun
CE No.: ANN417
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: WU Lap Yee, Letty
CE No.: ANO984
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: KENNEDY Brynne Shanahan
CE No.: ANS123
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: CHU Vanessa Mei I
CE No.: ANS129
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: INAIDA Yosuke
CE No.: ANT239
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: LEUNG Curtis Yan Wing
CE No.: ANT253
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: HUANG Yu
CE No.: ANT257
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: SHUM Wai Nap
CE No.: AAE469
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: SHUM Wai Nap
CE No.: AAE469
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: SHUM Wai Nap
CE No.: AAE469
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: HONG Shu Kin, James
CE No.: AAK376
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: HONG Shu Kin, James
CE No.: AAK376
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of futures contracts for another person.
Condition Level: Type 9 Regulated Activity

CE Name: YEH V Nee
CE No.: AAX565
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of futures contracts for another person unless it is for hedging purpose only and relating to his accreditation to Cheetah Investment Management Limited.
Condition Level: Type 9 Regulated Activity

CE Name: YEH V Nee
CE No.: AAX565
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of futures contracts for another person.
Condition Level: Type 9 Regulated Activity

CE Name: POON Po Lan
CE No.: ABV535
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: SCOTT Elisabeth Charlotte
CE No.: ACI103
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: SCOTT Elisabeth Charlotte
CE No.: ACI103
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 except for the sole purpose of hedging and in managing the Schroder Japan Long/Short 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: TANG Wing Kin
CE No.: ADN455
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: CHAN Yat Kei
CE No.: ADQ466
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: CHAN Yat Kei
CE No.: ADQ466
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: KANJI Hanif
CE No.: ADW981
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: WEISBERG Oliver Paul
CE No.: AES828
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: NAKAZATO Takayuki
CE No.: AFD914
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: NAKAZATO Takayuki
CE No.: AFD914
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of futures contracts for another person.
Condition Level: Type 9 Regulated Activity

CE Name: CHING Kerry Kim Wai
CE No.: AFF128
Licence Type: Licensed Representative 
Condition Removed:
For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 9 Regulated Activity

CE Name: LEE Sai Yin
CE No.: AFN905
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: LEE Sai Yin
CE No.: AFN905
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 9 Regulated Activity

CE Name: LEE Sai Yin
CE No.: AFN905
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: WONG Kin Jeon, Raymond
CE No.: AFS828
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of futures contracts for another person unless it is for hedging purpose only.
Condition Level: Type 9 Regulated Activity

CE Name: WONG Kin Jeon, Raymond
CE No.: AFS828
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of futures contracts for another person.
Condition Level: Type 9 Regulated Activity

CE Name: LUK Terence
CE No.: AGI503
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: LUK Terence
CE No.: AGI503
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: WILLIAMS Mark Andrew
CE No.: AGJ168
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: WILLIAMS Mark Andrew
CE No.: AGJ168
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: WILLIAMS Mark Andrew
CE No.: AGJ168
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: SINCLAIR Andrew Mark
CE No.: AGP545
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: SINCLAIR Andrew Mark
CE No.: AGP545
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: EICHACKER Markus Karl Eugen
CE No.: AGP574
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: EICHACKER Markus Karl Eugen
CE No.: AGP574
Licence Type: Licensed Representative - Responsible Officer 
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: FAN Kei Shun, Lester
CE No.: AGT998
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: FAN Kei Shun, Lester
CE No.: AGT998
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 9 Regulated Activity

CE Name: LEE Mei Chi
CE No.: ALL205
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: LEE Mei Chi
CE No.: ALL205
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: MONDOVITS Andreas Georg
CE No.: ALO012
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: MONDOVITS Andreas Georg
CE No.: ALO012
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of futures contracts for another person.
Condition Level: Type 9 Regulated Activity

CE Name: COPLESTONE John Clayton
CE No.: ALP565
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: YAN Kam Tong
CE No.: ALT703
Licence Type: Licensed Representative 
Condition Removed:
For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 9 Regulated Activity

CE Name: RITTER Eric J
CE No.: AMQ693
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: RITTER Eric J
CE No.: AMQ693
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: CASTO Scott Allan
CE No.: AMS005
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: MAGER Michael Johanan
CE No.: AMZ966
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: CRIVELLI Patrick Marcel
CE No.: ANB909
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: DUTT Tanuj
CE No.: AND955
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: LAI Hau Sze, Esther
CE No.: ANG416
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: LIAW Irene Milin
CE No.: ANG854
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: ZWAANSTRA Todd David
CE No.: ANH002
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: ZWAANSTRA Todd David
CE No.: ANH002
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: ZWAANSTRA Todd David
CE No.: ANH002
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: GUPTA Sandeep
CE No.: ANH450
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: JEONG Young Taek
CE No.: ANJ423
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: CHUNG Ka Po
CE No.: ANN404
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 King Lok, Janet
CE No.: ANQ157
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: LEE John Jay
CE No.: ANR647
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: SHIH Leung Leung
CE No.: ANU233
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: KAPITO Robert Steven
CE No.: AGO907
Licence Type: Licensed Representative 
Condition Removed:
For Type 4 & 9 regulated activities ("the activities"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activities, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activities; and
(b)  not subject to this condition.


Condition Level: Licence

CE Name: KUSHEL John Richard
CE No.: AGO909
Licence Type: Licensed Representative 
Condition Removed:
For Type 4 & 9 regulated activities ("the activities"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activities, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activities; and
(b)  not subject to this condition.


Condition Level: Licence

CE Name: FINK Laurence Douglas
CE No.: AGO910
Licence Type: Licensed Representative 
Condition Removed:
For Type 4 & 9 regulated activities ("the activities"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activities, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activities; and
(b)  not subject to this condition.


Condition Level: Licence

CE Name: SCHLOSSTEIN Ralph Lewis
CE No.: AGO911
Licence Type: Licensed Representative 
Condition Removed:
For Type 4 & 9 regulated activities ("the activities"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activities, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activities; and
(b)  not subject to this condition.


Condition Level: Licence

CE Name: TAN Wai, Edward
CE No.: ALS128
Licence Type: Licensed Representative 
Condition Removed:
The licence is conditional upon no adverse comment on the licensee being subsequently received from the police.
Condition Level: Licence

CE Name: LIAN Lian
CE No.: AMO372
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: RAN Peng
CE No.: ANL967
Licence Type: Licensed Representative 
Condition Removed:
The licensee:
(1)	shall not carry out the regulated activity(ies) in Hong Kong for more than 30 days in each calendar year; and
(2)	shall not provide related services to any person other than a professional investor unless the licensee is accompanied at all times by a licensed person in performing the regulated activity(ies) in Hong Kong.  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: FUJII Akemi
CE No.: ANP294
Licence Type: Licensed Representative 
Condition Removed:
The licence is conditional upon no adverse comment on the licensee being subsequently received from the Japan Securities Dealers Association.
Condition Level: Licence

CE Name: MOUILHADE Claire Beatrice Claude
CE No.: ANQ817
Licence Type: Licensed Representative 
Condition Removed:
The licence is conditional upon no adverse comment on the licensee being subsequently received from the Eurex Deutschland.
Condition Level: Licence


CE Name: CHOI Yunna
CE No.: ANB474
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: HARRISON David Martin
CE No.: AKO500
Licence Type: Licensed Representative 
Condition Removed:
For Type 1 regulated activity, the licensee shall seek the Commissionˇ¦s prior approval before extending services to retail level.
Condition Level: Type 1 Regulated Activity

CE Name: HARRISON David Martin
CE No.: AKO500
Licence Type: Licensed Representative 
Condition Removed:
For Type 2 regulated activity, the licensee shall seek the Commissionˇ¦s prior approval before extending services to retail level.
Condition Level: Type 2 Regulated Activity

CE Name: LAI Mo Ying
CE No.: AGL460
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 Ka Yip, Eddy
CE No.: ACD286
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: LAU Ka Yip, Eddy
CE No.: ACD286
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: LAU Ka Yip, Eddy
CE No.: ACD286
Licence Type: Licensed Representative 
Condition Removed:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: LAU Ka Yip, Eddy
CE No.: ACD286
Licence Type: Licensed Representative 
Condition Removed:
For Type 5 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 5 Regulated Activity

CE Name: LAU Ka Yip, Eddy
CE No.: ACD286
Licence Type: Licensed Representative 
Condition Removed:
For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 9 Regulated Activity

CE Name: LAU Ka Yip, Eddy
CE No.: ACD286
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: LEE Wai Fun, Patra
CE No.: ADU032
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: LIM Pak Fu
CE No.: AAV508
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: LIM Pak Fu
CE No.: AAV508
Licence Type: Licensed Representative 
Condition Removed:
The licensee shall only provide securities dealing services in relation to the fund management business.
Condition Level: Type 1 Regulated Activity

CE Name: LIM Pak Fu
CE No.: AAV508
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: SAN TO Hok Kwan
CE No.: AID493
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: WONG Kok Fai
CE No.: ALG045
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: WU Alan
CE No.: AFH037
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: YAO Yuen-jen, Michael
CE No.: ACL978
Licence Type: Licensed Representative 
Condition Removed:
For Type 1 regulated activity, the licensee shall not engage in dealing activities other than those relating to corporate finance.
Condition Level: Type 1 Regulated Activity

CE Name: YAO Yuen-jen, Michael
CE No.: ACL978
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: YU Ping Tong
CE No.: AAV676
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