ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2017 CE Name CE No. Licence Type Types of Regulated Activity Aesop Asset Management Limited BJB903 Licensed Corporation 4, 9 AMTD Wealth Management Solutions Group Limited BIJ009 Licensed Corporation 1, 4, 9 BMP Wealth Limited BIO512 Licensed Corporation 4, 9 BOCOM International Futures Limited BGZ962 Licensed Corporation 2, 5 Cogito Investments Limited BIQ909 Licensed Corporation 4, 9 Deep Data Capital Management Limited BJG759 Licensed Corporation 9 East Purple Capital Company Limited BIV166 Licensed Corporation 4, 9 Ever-Long Futures Limited BIL619 Licensed Corporation 2 Fairy Ambition Limited BIE318 Licensed Corporation 4, 9 Great Honour Capital Limited BJI417 Licensed Corporation 4, 9 Heavenly Wealth Management Limited BJC173 Licensed Corporation 1, 4, 9 Innovation Asset Management Co., Limited BIJ878 Licensed Corporation 4, 9 Inter Capital Resources Limited BJF121 Licensed Corporation 1, 4, 9 Paragon Securities Limited BIC431 Licensed Corporation 1 Pinerion Investment Advisory Limited BJI194 Licensed Corporation 4 Pixiu Asset Management Limited BJI787 Licensed Corporation 4, 9 Right Time Asset Management Company Limited BIX929 Licensed Corporation 4, 9 Rock Hill Asset Management Limited BJD184 Licensed Corporation 4, 9 RUIFENG SECURITIES LIMITED BJG526 Licensed Corporation 1, 4 SAR Pine Asset Management Limited BIT424 Licensed Corporation 9 Shanggu Asset Management (Asia) Limited BJD133 Licensed Corporation 1, 4, 9 Silk Road Finance Asia Limited BIR392 Licensed Corporation 6, 9 Sinocon Capital International Limited BIV273 Licensed Corporation 4, 9 TIAA Global Asset Management Hong Kong Limited BJH146 Licensed Corporation 1, 4 Topper Dragon Securities Limited BJG650 Licensed Corporation 1 Wealthy Securities Limited BJH108 Licensed Corporation 1, 4, 9 Winsome Asset Management Limited BJC758 Licensed Corporation 1, 4, 9 Yellow River Securities Limited BIX927 Licensed Corporation 1 AGOSTINI John Edward Cobcroft AGN388 Licensed Representative 1 AO Man ANT251 Licensed Representative 1, 4 AU Alan BFO819 Licensed Representative 1, 2, 9 AU Ka Ying BJP290 Licensed Representative 9 AU YEUNG Hoi Yi AYK865 Licensed Representative 1, 4 BALDING Jeremy Andrew BJN274 Licensed Representative 1 BEAUGRAND Sacha Elie BJP216 Licensed Representative 1 CAI Min BJD809 Licensed Representative 1, 4 CAI Yulong AXT416 Licensed Representative 1, 6 CARRARA Victoria Kim Eleonore BJR825 Licensed Representative 1, 2 CHAK Yim Fan BJP048 Licensed Representative 1, 2 CHAN Albert ARL119 Licensed Representative 3 CHAN Cheuk Ying, Jeffrey BJM078 Licensed Representative 1, 6 CHAN Chi Hang BJM363 Licensed Representative 1, 2 Page 1 of 24 ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2017 CE Name CE No. Licence Type Types of Regulated Activity CHAN Eric Yuet Phong BJL971 Licensed Representative 4, 9 CHAN Hiu Kwan Rebecca BJO783 Licensed Representative 1, 2, 9 CHAN Kang Muk AUL922 Licensed Representative 4, 9 CHAN Kit Wah, Kazier ANJ136 Licensed Representative 1 CHAN Lai Ying BJM188 Licensed Representative 4, 9 CHAN Sum Yi BJL716 Licensed Representative 1 CHAN Tat Yin BJP055 Licensed Representative 6 CHAN Tsz Kam BJP431 Licensed Representative 6 CHAN Tsz Kwan BJM225 Licensed Representative 1 CHAN Tsz Ling BJM399 Licensed Representative 4, 9 CHAN Wai Hon BIL860 Licensed Representative 1 CHAN Wai Sun BJG673 Licensed Representative 6 CHAN Yee Kiu BJL884 Licensed Representative 6 CHANG Huili BJC906 Licensed Representative 1, 4 CHANG Jason AOR636 Licensed Representative 1 CHAU Cho Lin BJR645 Licensed Representative 1 CHAU Hui Wa BJO626 Licensed Representative 1 CHAU Kong San AYR628 Licensed Representative 9 CHAU Yin Wai BJN487 Licensed Representative 1, 2, 4 CHEN Hsiang-Ju AQY429 Licensed Representative 1, 2 CHEN Jianing BBE592 Licensed Representative 4 CHEN Le BJI827 Licensed Representative 1 CHEN Li BJR217 Licensed Representative 10 CHEN Mingwei BJO679 Licensed Representative 1 CHEN Yanfeng BJT162 Licensed Representative 3 CHEN YUEZHI BJD176 Licensed Representative 1, 4, 6 CHEN Zhe BJQ823 Licensed Representative 4, 9 CHEN Zhizhong BAV692 Licensed Representative 4 CHENG Chiu BJM355 Licensed Representative 1, 2 CHENG Man Man BJM105 Licensed Representative 1 CHENG Pui Ki, Hildi BJN999 Licensed Representative 1, 4, 9 CHENG Toi Fan BJO847 Licensed Representative 6 CHENG Yin Lai AOR820 Licensed Representative 1, 4, 9 CHENG Yu Hin, Jeffrey BJN542 Licensed Representative 1, 4 CHEUK Hoi Ki BJQ675 Licensed Representative 1 CHEUK Jonathan Loang BJP587 Licensed Representative 1, 2, 4, 5 CHEUNG Chun Ho ATW460 Licensed Representative 1, 4 CHEUNG Chun Yin, Alexander BJL959 Licensed Representative 4, 9 CHEUNG Ka Ho BJQ006 Licensed Representative 1 CHEUNG Ka Man BJM101 Licensed Representative 1, 4, 6 CHEUNG Lai Ping ACJ211 Licensed Representative 1, 4 CHEUNG Yi Shan, Anna BJQ379 Licensed Representative 9 Page 2 of 24 ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2017 CE Name CE No. Licence Type Types of Regulated Activity CHIA Shaw Ming BJM103 Licensed Representative 1, 4, 6 CHIN Brian Fong BJL659 Licensed Representative 9 CHING Kwong Lai BJL197 Licensed Representative 1 CHIU Wai Lung BJM086 Licensed Representative 1, 4 CHO Yu Kwan, Stephen ACO193 Licensed Representative 1 CHOBTUANGTHONG Pongsagon AFQ785 Licensed Representative 4, 9 CHOI Lai Hung, Venus BJP064 Licensed Representative 1, 2 CHONG Ka Fai APY423 Licensed Representative 1 CHOW Kwun Chung BJN275 Licensed Representative 10 CHOW Sik Hong BJQ189 Licensed Representative 1 CHOY Chak Po BJL730 Licensed Representative 1 CHU Chia Hsien ADC440 Licensed Representative 1, 2, 4 CHU King Tin BJL958 Licensed Representative 1, 2 CHU Wing See, Winnie BJP793 Licensed Representative 1, 4 CHU Wing Shing ATW451 Licensed Representative 9 CHUANG Pak Lam BJM404 Licensed Representative 1, 4 CUI Bin AUP749 Licensed Representative 4, 9 CUI Yue BJB858 Licensed Representative 1, 4, 6 DAI Wen BFI915 Licensed Representative 4 DENG Suk Yee, Florence AIG234 Licensed Representative 1 DENUIT Richard AWY094 Licensed Representative 1 DING Fangya BJN368 Licensed Representative 1, 2, 4 DOWNING Christopher Thomas BJC238 Licensed Representative 1, 4, 9 DU CHAO BJP470 Licensed Representative 1 FALK Matthew Benjamin BJQ469 Licensed Representative 1, 2 FAN Xinyi BAX677 Licensed Representative 4, 9 FENG Jin BEN176 Licensed Representative 1, 6 FIORENTINO Fabrizia BJJ495 Licensed Representative 1, 4, 6 FOK Ka Chun BGW829 Licensed Representative 1, 6 FOLAND Steven Robert ACH758 Licensed Representative 1, 4, 6 FONG Joseph J AUQ951 Licensed Representative 10 FONG Sze Yuen Cindy BJQ429 Licensed Representative 1, 2 FU Brian Ying Yiu BJB716 Licensed Representative 9 FU Chak BJL314 Licensed Representative 4, 9 FU Chun Fai William BJG731 Licensed Representative 1 FU Huifang BJK796 Licensed Representative 4 FU Tsz Hei BGA854 Licensed Representative 2 FU Yisha BJN131 Licensed Representative 4, 9 FURQUIM PEREIRA NETO FILHO Ricardo BJR960 Licensed Representative 1, 2 GAO Yuhui BJG183 Licensed Representative 1, 2 GAY Benny BJP468 Licensed Representative 1, 4 GAZMARARIAN Lucy BJL815 Licensed Representative 4, 9 Page 3 of 24 ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2017 CE Name CE No. Licence Type Types of Regulated Activity GU Rougang BDE608 Licensed Representative 4 GU Yuanmin BJP645 Licensed Representative 1, 4 GUAN Yiwei BJI811 Licensed Representative 1 GUO Xiaowen BJN369 Licensed Representative 1, 2 HAN Seok Won BJL308 Licensed Representative 10 HAN Zhixiao BJM473 Licensed Representative 6 HARIDAS Lakshmi BJM259 Licensed Representative 1, 2, 7 HAYASHI Kanoka BJM117 Licensed Representative 1, 2 HE Ruiying BJP497 Licensed Representative 4 HE Xuanlai BJI746 Licensed Representative 4, 9 HIRUKAWA Shuichi BJN929 Licensed Representative 9 HO Hoi Kin BJP065 Licensed Representative 1, 2 HO Tsun Hong BJN143 Licensed Representative 1, 6 HO Wing Hin, Derek BJN288 Licensed Representative 6 HO Yan Lam BJO317 Licensed Representative 1 HOU Haiqi BJL554 Licensed Representative 1 HSU Li Chu BJO067 Licensed Representative 1 HU Kai BJN931 Licensed Representative 1, 4, 9 HU Xiang BJD775 Licensed Representative 1 HUANG chih-ming BJH181 Licensed Representative 4, 9 HUANG Dizhou BJN286 Licensed Representative 1, 4, 9 HUANG Qun AJD330 Licensed Representative 1, 4, 6 HUANG Shaoming BJO025 Licensed Representative 4 HUANG Tiantian BJD389 Licensed Representative 1, 6 HUANG Xiaoyan BJM070 Licensed Representative 1 HUANG Yongyan BJM118 Licensed Representative 4, 9 HUI Ka Wai BJL657 Licensed Representative 1 HUI Ka Yu BJM332 Licensed Representative 1, 4, 9 HUNG Wai Lun BJQ369 Licensed Representative 9 ITO Kensuke BJN293 Licensed Representative 1, 4, 6 IU Kwan Nam BJL967 Licensed Representative 1, 2 JAKEWAY Craig BJQ449 Licensed Representative 1, 2, 4, 5 JI Zhe BJK888 Licensed Representative 1, 4, 9 JIA Meng BJR449 Licensed Representative 6 JIANG Shan AZY927 Licensed Representative 1 JIANG Ziqi BHX700 Licensed Representative 1, 4, 9 JIN Cheng BJL079 Licensed Representative 1, 4, 6 KAHELIN Antti BJM373 Licensed Representative 1, 2 KIM Jin Wook BJL072 Licensed Representative 4 KOBAYASHI Yosuke BJM372 Licensed Representative 1 KOJODJOJO Perry BJP469 Licensed Representative 5 KONG Li Yi, Lorraine AXE884 Licensed Representative 6 Page 4 of 24 ADDITIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2017 CE Name CE No. Licence Type Types of Regulated Activity KOT Chun Ho BJO764 Licensed Representative 4, 9 KUANG Jianyi BJO471 Licensed Representative 1, 2, 3, 4 KWAN Cheuk Wun BJK921