2_removal_eng_oct_2005 by u82IvfKz

VIEWS: 50 PAGES: 15

									REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2005
CE Name                                      CE No. Licence Type                               Types of Regulated Activity
BNP Paribas Peregrine Futures Limited        AEN386 Licensed Corporation                       2
Finet Investment Advisers Limited            AGB171 Licensed Corporation (Deemed Licence)      4, 6, 9
ING Life Insurance Company (Bermuda) Limited AAN928 Licensed Corporation (Deemed Licence)      4, 9
Japan Asia Securities Limited                AFA646 Licensed Corporation (Deemed Licence)      1, 4, 6, 9
MatlinPatterson Advisers (Asia) Limited      AHT396 Licensed Corporation (Deemed Licence)      4
RBC Futures Services (Asia) Limited          AAG294 Licensed Corporation (Deemed Licence)      2, 5, 9
Success Power Investment Limited             AGT134 Licensed Corporation (Deemed Licence)      4, 6, 9
Vermont Securities Company Limited           ABE233 Licensed Corporation (Deemed Licence)      1, 4, 6, 9
Financial Risk Management Limited            AML297 Licensed Corporation (Temporary Licence)   1
AU Tze Chiu, Kenneth                         AEL783 Licensed Representative                    4
AU Yin Ki                                    AJN226 Licensed Representative                    1
BLIGHT Warren Nicholas                       ACL103 Licensed Representative                    4
BROWNING Mark Banks                          AHD806 Licensed Representative                    1
CABOT Elizabeth                              AHA592 Licensed Representative                    1, 6
CHAN Cheuk Lun                               AMF520 Licensed Representative                    1, 4, 9
CHAN Kam Chiu                                ACK622 Licensed Representative                    3
CHAN Shu Kuen                                ALO546 Licensed Representative                    4
CHAN Wai Hung, Edmund                        AFT585 Licensed Representative                    4, 6, 9
CHAN Wun Sheung, Alison May                  ADZ872 Licensed Representative                    4, 6
CHAN Yuk Wan                                 AGU682 Licensed Representative                    3
CHAN Yun Wa                                  AAB491 Licensed Representative                    1, 2
CHANG Alice Nian Bin                         AGD084 Licensed Representative                    4
CHANG Hsin Yuan                              AKY653 Licensed Representative                    1
CHANG Michael                                ALA654 Licensed Representative                    1, 4, 6
CHEN Bomin                                   AJZ335 Licensed Representative                    1, 2, 4
CHENG Michelle                               AGJ382 Licensed Representative                    6
CHENG Shu Ping                               ABF569 Licensed Representative                    1, 4
CHENG Tsz Fung, Stephen                      ALZ274 Licensed Representative                    6
CHERUPARAMBIL Manoj                          AHQ838 Licensed Representative                    4, 6, 9
CHEUNG Chi Wai, Alvin                        ALO011 Licensed Representative                    1, 2
CHEUNG Man Kit                               ALC033 Licensed Representative                    2
CHEUNG Siu Ling                              AEQ191 Licensed Representative                    1
CHI Chun Hung, Michael                       ACJ009 Licensed Representative                    1
CHIU Che Hang, Henry                         ALA880 Licensed Representative                    4
CHONG Yat Ngai                               AGG910 Licensed Representative                    1, 2
CHOW Ka Lin                                  ABP255 Licensed Representative                    4, 9




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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2005
CE Name                              CE No.   Licence Type                 Types of Regulated Activity
CHOW Mei Chu, Eve                    ALB732 Licensed Representative        1
CHU Chor Fong                        AGO712 Licensed Representative        4
CHU Chuk Yin, Jeane                  AKW760 Licensed Representative        1, 4
CHU Wai Ping                         ALI396   Licensed Representative      4
CHUANG George Jian                   AFB309 Licensed Representative        1, 6
CHUI Tze Wan, Judy                   ACN606 Licensed Representative        4
COURTNEY Craig Edmund                AED638 Licensed Representative        1, 6
DENG Yifan                           AKI969   Licensed Representative      4
FAN Chi Wah                          AHT185 Licensed Representative        1, 2
GARG Sunil                           AGJ859 Licensed Representative        1, 4
GUPTA Gaurav                         ALC472 Licensed Representative        1, 6
HAHM Hong Joo                        AGC928 Licensed Representative        1
HE Chuanwu                           ALS798 Licensed Representative        4
HO Lai Fan                           ALB887 Licensed Representative        4
HO Shu Lung                          AEE580 Licensed Representative        4, 6, 9
HSIA Michael Chinsom                 AKO627 Licensed Representative        1, 9
HSU Margaret Chien Mei               AJE094   Licensed Representative      1, 2
HU Shuxin                            ACT509 Licensed Representative        1
HU Yongmin                           AFH227 Licensed Representative        1, 4, 6
HUA Huimin                           AMJ219 Licensed Representative        6
HUANG Shanju                         AAI207   Licensed Representative      9
HUEY Sharon Kay                      AIC313   Licensed Representative      1, 2, 7
HUNG Wai Wah, Richard                ACO957 Licensed Representative        1, 4, 5, 9
HUNG Wing Wa                         AJG028 Licensed Representative        3
KAM Sun Chung, Danny                 AFT063 Licensed Representative        4
KENNON Aaron John                    AJC635 Licensed Representative        1, 2
KIANG Sik Fei, Agnes                 ABW119 Licensed Representative        1, 2
KO Simon Kin-nin                     AHA880 Licensed Representative        1, 2, 4, 6, 9
KONG Chi Fai                         AJB085   Licensed Representative      4
KONG Wai Tung                        ALR010 Licensed Representative        4
KOO Chee Ho, John                    AFK231 Licensed Representative        4
KUMAR A/L JAIKISHIN GULABRAI Kishore ADV629 Licensed Representative        1
KWOK Ching Oi, San                   AAB645 Licensed Representative        1, 2, 3
KWOK Sze Yiu Gordon                  AJG607 Licensed Representative        6
LAM Kin Lung                         AFO292 Licensed Representative        4
LAM Suk Fong, Stella                 AJL348   Licensed Representative      1, 2




                                                                 2 of 15
REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2005
CE Name                              CE No.   Licence Type                 Types of Regulated Activity
LAM Tung Lui, Nana                   AII654   Licensed Representative      4, 9
LAM Wing Hong, Raymond               ACK484 Licensed Representative        1, 2
LAM Wing Ki                          ALI729   Licensed Representative      3
LAM Yan Yee, Harina                  AFK709 Licensed Representative        4, 9
LAU Wing Tak, Alex                   ALQ700 Licensed Representative        1
LAW Kok Yu                           ALS149 Licensed Representative        1
LAW Kwok Wa                          AGW418 Licensed Representative        1, 2, 2, 4, 4, 5, 6, 9
LEE Chang Won                        AMB774 Licensed Representative        1
LEE Chi Ming                         ADA367 Licensed Representative        1, 2, 3, 4, 5
LEE Kwong Kuen                       AJE852   Licensed Representative      2, 3
LEE Kyo Suk                          AFE943 Licensed Representative        1
LEE Wai Fong                         ALN296 Licensed Representative        4, 9
LEUNG Che Fung                       AJF633   Licensed Representative      3
LEUNG Chi Kin                        AIU239   Licensed Representative      1
LEUNG Kwok Wai                       AFB193 Licensed Representative        4, 5, 9
LEUNG Lawrence                       AFR327 Licensed Representative        1, 2
LEUNG Olivia Hoi Yin                 AFU159 Licensed Representative        6
LEUNG Timothy                        AGJ930 Licensed Representative        1
LEUNG Tze Shing, Vincent             AMC618 Licensed Representative        4
LI Kong Fung, Samson                 ALW471 Licensed Representative        4, 9
LI Wing Pui, Grace                   ADC553 Licensed Representative        1, 4
LIM Pak Fu                           AAV508 Licensed Representative        1, 4, 9
LIN David Bingjun                    AEM703 Licensed Representative        1, 6
LIN Stella                           ALQ960 Licensed Representative        1
LIU Huan Chao, Thomas                ALW713 Licensed Representative        1
LIU Lit For                          AFA283 Licensed Representative        1, 3
LIU Yat Ting                         ACK198 Licensed Representative        1, 2
LO Kwok Man                          AFK166 Licensed Representative        1, 2
LOOK Matthew Sheung Wai              ALO494 Licensed Representative        4
LOW Tuck Weng                        ALQ280 Licensed Representative        1
LUI Yuk Wai, Willy                   AKP075 Licensed Representative        1, 4
LUK Ching Yan, Sylvia                AED614 Licensed Representative        1
MAK Po Man                           AGL178 Licensed Representative        4
MAK Wing Lam, Candy                  AGL176 Licensed Representative        4
MALLIA Mark Charles Alexander        AES119 Licensed Representative        1
MAN Kwong Lung                       ALQ637 Licensed Representative        3




                                                                 3 of 15
REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2005
CE Name                              CE No.   Licence Type                 Types of Regulated Activity
MAN Siu Hung, Warren                 AJN279 Licensed Representative        1, 2
MITACHI Naomi                        ALQ817 Licensed Representative        1
MOK Yuk Sze                          ABS928 Licensed Representative        1
MOON Ji Ho                           AFP785 Licensed Representative        1, 2
NG Ka Wai, Alan                      ALK030 Licensed Representative        1, 2, 4
NG Kin Fai                           ALA295 Licensed Representative        4
NISKER Charles Bruce                 ACQ224 Licensed Representative        9
ONOUE Tsutomu                        AAD089 Licensed Representative        1, 4
PANDIT Ashok                         AGP513 Licensed Representative        1, 6
PANG Hin Sang                        AGG768 Licensed Representative        1
POON Pak Kei                         AGE687 Licensed Representative        1, 2
POON Siu Wah                         AID489   Licensed Representative      3
PUROHIT Debasish Priyadarshi         ALV240 Licensed Representative        1, 4, 6
RAJAN Duraiswamy Saradhi             AJN310 Licensed Representative        1, 4, 6
RAYNE Cathrine Rose                  ALR007 Licensed Representative        9
ROSS Timothy Wakefield               AEX691 Licensed Representative        4
RYAN Jeffrey Preston                 AAC051 Licensed Representative        1, 2
SADLER Simon Peter                   AFJ906   Licensed Representative      1
SAXENA Gautam                        AJC402 Licensed Representative        1, 6
SHAM Chun Pong                       ALA798 Licensed Representative        4
SHAO Kam Fu                          ACC651 Licensed Representative        1
SHIU Vanessa Cherlyne Marie          ALN492 Licensed Representative        4
SHU Wa Tung, Laurence                AGH934 Licensed Representative        1, 6
SHUM Wai Ming                        AKX647 Licensed Representative        1
SIU Yiu Mo, Paddy                    ALK028 Licensed Representative        1, 2
SUN Chuen Wah, Anthony               AFP060 Licensed Representative        4, 6
SUN Kan Yin, Christy                 AIO216   Licensed Representative      1
TAKENAKA Ken                         AIU756   Licensed Representative      1, 4, 6
TAM Lai Ling                         ACB901 Licensed Representative        6
TAN Ming Hong                        AGL055 Licensed Representative        1, 4, 6
TANG Kui                             ADI676   Licensed Representative      6
TAY Mei Yuen                         AHC197 Licensed Representative        1
TONG Chun Kit                        AJD428 Licensed Representative        4
TRAN Trisha Thinh                    AIB180   Licensed Representative      1, 9
TSANG Mei Ping                       AKP569 Licensed Representative        4
TUNG Yin Ling, Eirena                AHX657 Licensed Representative        1, 2




                                                                 4 of 15
REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2005
CE Name                              CE No.   Licence Type                 Types of Regulated Activity
WAI Chi Cheong, Gordon               ADH400 Licensed Representative        4
WAN Ka Yee, Michelle                 AHN070 Licensed Representative        1
WANG Daizong                         AGP139 Licensed Representative        1, 6
WEE Young Oh                         ALR790 Licensed Representative        1, 4, 6
WEI Hao                              AMJ786 Licensed Representative        4
WONG Chun Yip                        ALA729 Licensed Representative        2
WONG Danny F.                        AEY999 Licensed Representative        6
WONG Kar Wai                         AMB358 Licensed Representative        4
WONG Kin Sang                        AFP806 Licensed Representative        4
WONG Kwok Chun                       AFR390 Licensed Representative        4
WONG Lai Kuen, Mary-ann Lulu         AFI619   Licensed Representative      1
WONG Man Sum, Kevin                  AKW754 Licensed Representative        1, 2, 3
WONG Mei Mei                         AKU319 Licensed Representative        1
WONG Otto Lien Da                    ADJ152 Licensed Representative        4
WONG Polly Po-Yee                    AEG184 Licensed Representative        1, 2
WONG Sau Mei, May                    AEI391   Licensed Representative      1
WONG Tak Shing                       ACG114 Licensed Representative        1
WONG Tang Chun                       AEM248 Licensed Representative        4
WONG Wah                             AID279   Licensed Representative      1, 4, 9
WONG Wai Hung                        ALS841 Licensed Representative        1
WONG Wai Ming                        AAI747   Licensed Representative      1, 6
WONG Wing Kin, Josiah                AFK719 Licensed Representative        4, 9
WU Elvira Veronica                   AFE851 Licensed Representative        1, 2, 4, 5
WU Ming                              AFC241 Licensed Representative        1, 6
WYATT Philip Thomas                  ABN648 Licensed Representative        4
XIONG Ying                           ALN647 Licensed Representative        1
YAN Oi Sze, Cornea                   ALF744   Licensed Representative      1
YANG Fenglin                         AGR580 Licensed Representative        6
YANG Man Lung, Paul                  AGG747 Licensed Representative        4
YAO Nancy                            AFD437 Licensed Representative        1
YAU Patrick Peylin                   AHI574   Licensed Representative      1
YAU Yuen Ming                        AAA936 Licensed Representative        1
YEUNG Ernest Sze Lok                 ADI295   Licensed Representative      1, 4, 6
YEUNG Hing Lai                       ALN269 Licensed Representative        1
YEUNG Tai Hung                       AEZ137 Licensed Representative        4
YING David                           AKR012 Licensed Representative        1, 2




                                                                 5 of 15
REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2005
CE Name                              CE No.   Licence Type                                                      Types of Regulated Activity
YIP An Chiao                         ADQ437 Licensed Representative                                             1, 2
YOUNG Thomas W H                     AGP449 Licensed Representative                                             4
YU Kin Fai                           AFR518 Licensed Representative                                             4
YU Mo Sheung, Carmen                 ADW038 Licensed Representative                                             1, 2, 4, 5
YU Zhi                               AIB283   Licensed Representative                                           6, 9
ZHANG Xigang                         AIU386   Licensed Representative                                           4
ZHANG Yi                             AJN700 Licensed Representative                                             4
ZHAO Josie Xi                        AKP046 Licensed Representative                                             1, 6
ZHENG Xiaofeng                       ALH862 Licensed Representative                                             1
ZHU Qing                             ADZ874 Licensed Representative                                             6
CHENG CHUI Wing Jung                 ABN321 Licensed Representative - Responsible Officer                       1, 4, 6, 9
CHIU Bud Kwun                        AAC761 Licensed Representative - Responsible Officer                       1, 4
SHAMASH Mark Naim                    AGU946 Licensed Representative - Responsible Officer                       4, 5, 9
SUN Chuen Wah, Anthony               AFP060 Licensed Representative - Responsible Officer                       1
HUI Chiu Kit, Eddie                  ACE769 Licensed Representative - Responsible Officer (Deemed Licence)      4, 6, 9
LAM Chat Yu                          ADB487 Licensed Representative - Responsible Officer (Deemed Licence)      4, 6, 9
TANG Yu Ming                         AEM808 Licensed Representative - Responsible Officer (Deemed Licence)      4, 6, 9
WONG Kwong Chi                       ABY050 Licensed Representative - Responsible Officer (Deemed Licence)      4, 6, 9
REINISCH Mark Oliver Rolf            AML306 Licensed Representative - Responsible Officer (Temporary Licence)   1
AU Ka Leung                          ABZ887 Licensed Representative (Deemed Licence)                            4, 9
LEE Sai Wah, Daniel                  ABP729 Licensed Representative (Deemed Licence)                            1, 4, 6, 9
SHUM Lik Keung                       ADG576 Licensed Representative (Deemed Licence)                            2, 3, 5, 9
SUEN Chi Keung                       AEJ466   Licensed Representative (Deemed Licence)                          1, 4, 6, 9
YEUNG Sau Fung, Alfred               ACP528 Licensed Representative (Deemed Licence)                            1, 4, 6, 9
AGGARWAL Vipul                       AMK259 Licensed Representative (Provisional Licence)                       1, 2
ALI Syed Haider                      AEL136 Licensed Representative (Provisional Licence)                       4
ARIMA Einoshin                       AMJ215 Licensed Representative (Provisional Licence)                       1
ASAWACHATROJ Krailuck                AMK121 Licensed Representative (Provisional Licence)                       1, 6
AU-YEUNG Tsun, Julian                AMK108 Licensed Representative (Provisional Licence)                       4
AYLIFFE Ronald Henry                 AFZ134 Licensed Representative (Provisional Licence)                       1, 4, 6
BEI Duoguang                         AMJ853 Licensed Representative (Provisional Licence)                       6
BREDEN Robert Matthew                AIV509   Licensed Representative (Provisional Licence)                     1
BUDIJONO Ridwan                      AML732 Licensed Representative (Provisional Licence)                       4, 6
CALACE Alessandro                    AMM027 Licensed Representative (Provisional Licence)                       1
CANTRELL Catharine Rowena Dulcie     AMK407 Licensed Representative (Provisional Licence)                       1, 4
CAO Bingchao                         AMM311 Licensed Representative (Provisional Licence)                       1, 4




                                                                      6 of 15
REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2005
CE Name                              CE No.   Licence Type                                    Types of Regulated Activity
CAO Jinbo                            AMK110 Licensed Representative (Provisional Licence)     1, 2
CAO Pei                              AMK301 Licensed Representative (Provisional Licence)     1, 2
CASTILLO Eric Alberto                AMJ780 Licensed Representative (Provisional Licence)     1
CHAN Chi Man, Jasmine                AMJ992 Licensed Representative (Provisional Licence)     1
CHAN Chun Wing                       AML975 Licensed Representative (Provisional Licence)     1
CHAN Man Bun                         AFY449 Licensed Representative (Provisional Licence)     1
CHAN Mong Har                        AHT095 Licensed Representative (Provisional Licence)     4
CHAN Pui Ting                        AFH197 Licensed Representative (Provisional Licence)     1, 4, 9
CHAN Wai Tai, Polly                  AMM338 Licensed Representative (Provisional Licence)     1, 9
CHAN Wing Han, Ivy                   AIZ238   Licensed Representative (Provisional Licence)   4
CHAN Wing Ho                         AMK261 Licensed Representative (Provisional Licence)     2
CHAN Wing Hong                       AMM412 Licensed Representative (Provisional Licence)     1, 2
CHAN Wing Yau, George                AAC044 Licensed Representative (Provisional Licence)     4, 9
CHAN Yan Tak                         AEF136 Licensed Representative (Provisional Licence)     1
CHAN Yin Yan, Ilaria                 AMJ807 Licensed Representative (Provisional Licence)     1, 2
CHANG Dennis S                       AMJ801 Licensed Representative (Provisional Licence)     1, 6
CHANG Hoi Yan, Vivian                AEE778 Licensed Representative (Provisional Licence)     1
CHAROENSIDDHI Kasemsak               AML175 Licensed Representative (Provisional Licence)     4
CHEN Bing Lam, Arthur                AMK226 Licensed Representative (Provisional Licence)     4, 9
CHEN Cheng                           AMK369 Licensed Representative (Provisional Licence)     1
CHEN Ling-Ching                      AMJ753 Licensed Representative (Provisional Licence)     1
CHEN Nam Tik                         AMK435 Licensed Representative (Provisional Licence)     6
CHEN Ran                             AMJ964 Licensed Representative (Provisional Licence)     1, 2
CHEN Shengwei                        AMM415 Licensed Representative (Provisional Licence)     1, 6
CHEN Wei-Yin                         AMJ754 Licensed Representative (Provisional Licence)     1, 6
CHENG Man Tat, Tacky                 AIC943   Licensed Representative (Provisional Licence)   4
CHEUNG Chun Wah                      AML210 Licensed Representative (Provisional Licence)     4
CHEUNG Ka Chun                       AMJ774 Licensed Representative (Provisional Licence)     1, 2
CHEW Yen Li                          AMI415   Licensed Representative (Provisional Licence)   4, 9
CHEWANANTH Paveena                   AME948 Licensed Representative (Provisional Licence)     1
CHIEN Tsz Kin                        AMK413 Licensed Representative (Provisional Licence)     1, 4, 5
CHIN Victoria Vui Luen               AED574 Licensed Representative (Provisional Licence)     1
CHIU Yu Ting                         AMM095 Licensed Representative (Provisional Licence)     1
CHOI Wai Ching, Carmen               AMK228 Licensed Representative (Provisional Licence)     4
CHONG Kiu Ling, Eling                ADB369 Licensed Representative (Provisional Licence)     3
CHOW Anderson                        AMJ990 Licensed Representative (Provisional Licence)     4




                                                                      7 of 15
REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2005
CE Name                              CE No.   Licence Type                                    Types of Regulated Activity
CHU Jeong-Jeong                      AMJ973 Licensed Representative (Provisional Licence)     9
CHU Mark                             AML717 Licensed Representative (Provisional Licence)     1, 4, 6
CHU Suk Ling, Irene                  AML729 Licensed Representative (Provisional Licence)     1
CHUI Kong Kin                        AMJ522 Licensed Representative (Provisional Licence)     1, 2
CHUM Kwan Lock, Grant                AMK102 Licensed Representative (Provisional Licence)     4
CHUNG Kin Shun, Jimmy                ADK252 Licensed Representative (Provisional Licence)     6
CHUNG Siu Hong, Jimmy                AMK233 Licensed Representative (Provisional Licence)     1, 2, 7
CHUNG Tak Wai                        AMM043 Licensed Representative (Provisional Licence)     4, 6
CHURCHOUSE Jean-Paul Antony          AFI697   Licensed Representative (Provisional Licence)   1
CSELLAK Linda Marie                  ADG936 Licensed Representative (Provisional Licence)     4, 5, 9
DAFIR Mohamed                        AMK304 Licensed Representative (Provisional Licence)     1
DALTON John Richard Fyles            AMK113 Licensed Representative (Provisional Licence)     1
DAY Christopher Elliott Verco        ADA734 Licensed Representative (Provisional Licence)     1
DONLEY Charles John                  AMK250 Licensed Representative (Provisional Licence)     1, 2
DU Shuang                            AMM487 Licensed Representative (Provisional Licence)     1
EPSTEIN Ian Josh                     ALS422 Licensed Representative (Provisional Licence)     1, 4
FARBMAN Ethan Charles                AJY727   Licensed Representative (Provisional Licence)   1, 6
FERNANDES Sean                       AMM096 Licensed Representative (Provisional Licence)     1, 6
FESCHET Xavier, Boris                AMK015 Licensed Representative (Provisional Licence)     1, 2
FONG Kam Hung                        AML472 Licensed Representative (Provisional Licence)     1, 4
FORRER Simon Peter                   AMK156 Licensed Representative (Provisional Licence)     4
FRANCE Roy                           ALU926 Licensed Representative (Provisional Licence)     1
FU Aaron Y                           AMK003 Licensed Representative (Provisional Licence)     1
FUK Siu Pong                         AME216 Licensed Representative (Provisional Licence)     2
GARRE Venugopal                      AML716 Licensed Representative (Provisional Licence)     4
GE Patrick L M                       AMK455 Licensed Representative (Provisional Licence)     1
GORDON Gregory W                     AFF351 Licensed Representative (Provisional Licence)     1
GU Allen Yuhui                       AMJ971 Licensed Representative (Provisional Licence)     1, 6
GUO Yue Yi                           AMJ937 Licensed Representative (Provisional Licence)     6
GUO Yupeng                           AMK101 Licensed Representative (Provisional Licence)     1, 2
HAIK Justin Callil                   ABM940 Licensed Representative (Provisional Licence)     1, 6
HAO Xin                              AMH819 Licensed Representative (Provisional Licence)     1, 2
HE Yanyan                            AMJ803 Licensed Representative (Provisional Licence)     1, 4, 6
HEONG Wai Yin                        AKX664 Licensed Representative (Provisional Licence)     9
HO Ting Hong, Kenny                  AML780 Licensed Representative (Provisional Licence)     4, 6
HONG Xiaobo                          AML771 Licensed Representative (Provisional Licence)     1




                                                                      8 of 15
REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2005
CE Name                              CE No.   Licence Type                                    Types of Regulated Activity
HU Yiru                              AEL565 Licensed Representative (Provisional Licence)     1
HUANG Liming                         AJE095   Licensed Representative (Provisional Licence)   1, 6
HUANG Wang Yip                       AMJ935 Licensed Representative (Provisional Licence)     4
HUI Chi Ho                           AFW552 Licensed Representative (Provisional Licence)     4
HUI Kwok Shing                       AMM240 Licensed Representative (Provisional Licence)     1, 2
HUI Siu King                         AMK362 Licensed Representative (Provisional Licence)     1
HUNG Hei King, Kenneth               AEY448 Licensed Representative (Provisional Licence)     1, 2
IP Ki Wai                            ABL662 Licensed Representative (Provisional Licence)     1, 4
JIANG Jyh-Ching                      AML173 Licensed Representative (Provisional Licence)     1, 4
JIN Yingzi                           AML454 Licensed Representative (Provisional Licence)     1
KANG Yoon Sik Peter                  AMJ970 Licensed Representative (Provisional Licence)     1, 6
KAY Lo Hei                           AMK229 Licensed Representative (Provisional Licence)     1, 6
KILLIAN Michael Laughlin             AML145 Licensed Representative (Provisional Licence)     1, 2
KIM Jinyong                          AML730 Licensed Representative (Provisional Licence)     4
KIM Min Sik                          AMJ972 Licensed Representative (Provisional Licence)     1, 6
KING Patrick John                    ACR434 Licensed Representative (Provisional Licence)     4
KOENIG Marie Katharina Valeska       AMK112 Licensed Representative (Provisional Licence)     1
KOGA Hirohisa                        ALW322 Licensed Representative (Provisional Licence)     4
KONG Fern Sern                       AMJ993 Licensed Representative (Provisional Licence)     1
KONG Johnny Shan                     AMK257 Licensed Representative (Provisional Licence)     1, 6
KUANG Xia                            AML239 Licensed Representative (Provisional Licence)     4
LAI Ki Fung, Kevin                   AJC117 Licensed Representative (Provisional Licence)     1
LAI Ming Chu, Julie                  AMJ836 Licensed Representative (Provisional Licence)     4
LAI Shing Kwan, Johnny               AMI015   Licensed Representative (Provisional Licence)   4
LAKSONO Widito                       AML243 Licensed Representative (Provisional Licence)     4
LAM Bing Wai                         AMM133 Licensed Representative (Provisional Licence)     2
LAM Chun Kwok, Jimmy                 AEY314 Licensed Representative (Provisional Licence)     4
LAM Chung Wai                        AMJ507 Licensed Representative (Provisional Licence)     1
LAM Ka Nok, Kevin                    AML396 Licensed Representative (Provisional Licence)     6
LAM Kwok Ming                        AMJ995 Licensed Representative (Provisional Licence)     4
LAM Pek Kay, Elizabeth               AML374 Licensed Representative (Provisional Licence)     1, 2
LAM Suet Man                         AMJ797 Licensed Representative (Provisional Licence)     4
LAU Kit Sang                         AMK231 Licensed Representative (Provisional Licence)     3
LAVOIE Marc Sebastien                AMK214 Licensed Representative (Provisional Licence)     1
LEE Brian Po Wing                    AML715 Licensed Representative (Provisional Licence)     1
LEE Chun Wai                         AMK024 Licensed Representative (Provisional Licence)     1, 2




                                                                      9 of 15
REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2005
CE Name                              CE No.   Licence Type                                    Types of Regulated Activity
LEE Kai Cheong                       AMJ851 Licensed Representative (Provisional Licence)     1
LEE Kin Wai                          ACI631   Licensed Representative (Provisional Licence)   2, 5
LEUNG Chi Fai                        AMK253 Licensed Representative (Provisional Licence)     1, 6
LEUNG Man Pun                        AMK456 Licensed Representative (Provisional Licence)     4
LEUNG Shing Wing, Andy               AML171 Licensed Representative (Provisional Licence)     1, 2
LEUNG Spencer Yu Cheong              AML738 Licensed Representative (Provisional Licence)     4
LI Chi Hong                          AMJ927 Licensed Representative (Provisional Licence)     1, 2
LI Ka Lap                            AMJ794 Licensed Representative (Provisional Licence)     3
LI Lin                               AMK109 Licensed Representative (Provisional Licence)     1, 6
LI Po-yee, Krizia                    AMJ713 Licensed Representative (Provisional Licence)     1, 4, 6
LI Yuanfei                           AML292 Licensed Representative (Provisional Licence)     1
LIN Shu-O                            AEV538 Licensed Representative (Provisional Licence)     4
LIU Hui                              AHO166 Licensed Representative (Provisional Licence)     1
LIU Tom Yan                          AML273 Licensed Representative (Provisional Licence)     1, 4, 6
LIU Zheng                            AMM041 Licensed Representative (Provisional Licence)     1, 6
LO Chi Hang                          AFV477 Licensed Representative (Provisional Licence)     4
LO Yiu Chuen, Johnny                 AMJ912 Licensed Representative (Provisional Licence)     1
LU Liqin                             AMJ802 Licensed Representative (Provisional Licence)     1, 4, 6
LUI Jeffrey Pat                      AMM277 Licensed Representative (Provisional Licence)     1, 4, 6
LUO Hongtao                          AMM431 Licensed Representative (Provisional Licence)     1, 6
LUO Zhenxia                          AMM420 Licensed Representative (Provisional Licence)     1, 6
LUPU Manuela                         AMI322   Licensed Representative (Provisional Licence)   1
MA On Lai, Annie                     AMI864   Licensed Representative (Provisional Licence)   1, 2
MA Xin                               AMJ747 Licensed Representative (Provisional Licence)     1, 6
MAN Ka Chai                          AMJ934 Licensed Representative (Provisional Licence)     4
MATTHEWS Kathryn Ann                 AMJ740 Licensed Representative (Provisional Licence)     1, 4, 5, 9
MC GOVERN Matthew Terrance           AMJ864 Licensed Representative (Provisional Licence)     2
MC GUIRE JR John Joseph              AML295 Licensed Representative (Provisional Licence)     1, 6
MERAJ Syed Adnan                     AML803 Licensed Representative (Provisional Licence)     1, 6
MIU Tsz Wai, Fanky                   AML491 Licensed Representative (Provisional Licence)     1
MUNG Wing Sing                       AAB567 Licensed Representative (Provisional Licence)     1
NAI Te-Ling                          AML731 Licensed Representative (Provisional Licence)     4, 6
NATARAJAN Vajra                      AML912 Licensed Representative (Provisional Licence)     1
NATHISUWAN Kitti                     AML141 Licensed Representative (Provisional Licence)     4
NG Eng Lee, Julian                   AMG890 Licensed Representative (Provisional Licence)     1
NG Kin Sing                          AAA193 Licensed Representative (Provisional Licence)     1




                                                                      10 of 15
REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2005
CE Name                              CE No.   Licence Type                                    Types of Regulated Activity
NG King Hang, Dominic                AML413 Licensed Representative (Provisional Licence)     1, 4, 9
NG Siu Ngong                         AMK001 Licensed Representative (Provisional Licence)     1, 2
PAGAN Christopher                    AML685 Licensed Representative (Provisional Licence)     1
PAIK Jae Heun                        AML459 Licensed Representative (Provisional Licence)     1, 2
PITFIELD John Sutherland             AML767 Licensed Representative (Provisional Licence)     1, 6
POULTON Charles Francis Campbell     AMK227 Licensed Representative (Provisional Licence)     1, 2, 7
QIAN Jin                             AMJ798 Licensed Representative (Provisional Licence)     1, 6
RAGEAU Patrice Frederic              AMK424 Licensed Representative (Provisional Licence)     1, 2
RUFFY Bruce Howard                   ACM329 Licensed Representative (Provisional Licence)     1
SABHERWAL Hemant                     AML888 Licensed Representative (Provisional Licence)     1, 4, 6
SANO Nobuhiro                        ADQ334 Licensed Representative (Provisional Licence)     1, 2
SATO Yukari                          AML768 Licensed Representative (Provisional Licence)     1
SEKITA Hirosumi                      AMF003 Licensed Representative (Provisional Licence)     1, 2
SETO Kong Yiu, Elvis                 AML314 Licensed Representative (Provisional Licence)     1, 2
SHAIK Alexander                      AMK342 Licensed Representative (Provisional Licence)     9
SHI Xiaoni                           AMJ724 Licensed Representative (Provisional Licence)     1, 4, 6
SHUM Kam Fu                          AMJ968 Licensed Representative (Provisional Licence)     1, 2
SIN Fong Ting, Melody                AMJ980 Licensed Representative (Provisional Licence)     1
SIN Meng Mei, Shirreen               ALG447 Licensed Representative (Provisional Licence)     1, 2
SINGHAL Shelly Sean                  AMJ868 Licensed Representative (Provisional Licence)     2
SOLIHIN Ahmad                        AML241 Licensed Representative (Provisional Licence)     4
SOLOMON Jesse Michael                AML158 Licensed Representative (Provisional Licence)     1
SONI Akshay                          AME436 Licensed Representative (Provisional Licence)     1
STRICKLAND Nathan Thomas             AML211 Licensed Representative (Provisional Licence)     1
SUBRAMANIAN Sujey                    AMJ717 Licensed Representative (Provisional Licence)     1, 4, 6
SWIFT Joseph Daniel                  AML449 Licensed Representative (Provisional Licence)     1, 6
SZE Pui Kay                          AFA836 Licensed Representative (Provisional Licence)     1
TAM Chung Fai, Josiah                AIH357   Licensed Representative (Provisional Licence)   1, 2
TAM Mi Yee                           AML339 Licensed Representative (Provisional Licence)     2, 5
TAM On Ying, Bianca                  AMJ944 Licensed Representative (Provisional Licence)     2
TAN Mui Ling, Sharon                 AMK254 Licensed Representative (Provisional Licence)     1
TAN Wan Yuan                         AMK263 Licensed Representative (Provisional Licence)     1
TANG Jiaqi                           AMM351 Licensed Representative (Provisional Licence)     1, 6
TANG Renee                           AMJ710 Licensed Representative (Provisional Licence)     1, 4, 6
TEO Kian Bin                         AMK117 Licensed Representative (Provisional Licence)     1, 6
THOMPSON John                        ADH238 Licensed Representative (Provisional Licence)     1




                                                                      11 of 15
REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2005
CE Name                              CE No.   Licence Type                                    Types of Regulated Activity
TIAN Miao                            AMK099 Licensed Representative (Provisional Licence)     1, 6
TOH Sor Peng                         AML185 Licensed Representative (Provisional Licence)     1, 2, 7
TRAN Chau Hai                        AML161 Licensed Representative (Provisional Licence)     6
TSANG Hing Fai                       AMJ959 Licensed Representative (Provisional Licence)     1, 2
TSE Chi Wai                          AMJ838 Licensed Representative (Provisional Licence)     1, 4
TSE Yiu Chun                         AMJ521 Licensed Representative (Provisional Licence)     1
TSUI Man Ho                          AMM077 Licensed Representative (Provisional Licence)     1
TURCOTTE III Vincent Joseph          ACB834 Licensed Representative (Provisional Licence)     2
TURNER Alexander James Christian     AMH399 Licensed Representative (Provisional Licence)     1, 4
TUSHAR Kumar                         AHX628 Licensed Representative (Provisional Licence)     1
UNGOLAN Intarat                      AMK192 Licensed Representative (Provisional Licence)     1
VACHHANI Koustubh Vijay              AML409 Licensed Representative (Provisional Licence)     1, 7
VALTAN Bernhard Hikaru               AMI358   Licensed Representative (Provisional Licence)   1
VASWANI Arun Purushotam              AMK294 Licensed Representative (Provisional Licence)     4
WADDELL Andrew Graham                AMK232 Licensed Representative (Provisional Licence)     1
WAI Pak Kai                          AMK367 Licensed Representative (Provisional Licence)     1
WAN Lap Kei                          AML156 Licensed Representative (Provisional Licence)     1
WANG Anyi                            AML958 Licensed Representative (Provisional Licence)     1, 6
WANG Chia-hui, Amanda                AJC822 Licensed Representative (Provisional Licence)     4
WANG Ernie                           AMK118 Licensed Representative (Provisional Licence)     1, 2
WANG Haitian                         AML411 Licensed Representative (Provisional Licence)     1
WANG Lai Chun                        AMJ716 Licensed Representative (Provisional Licence)     1
WANG Sheng                           AMI809   Licensed Representative (Provisional Licence)   6
WANG Yi                              ALI121   Licensed Representative (Provisional Licence)   1, 4
WANG Yifu                            AML205 Licensed Representative (Provisional Licence)     1
WEI Hao                              AMJ786 Licensed Representative (Provisional Licence)     4
WEI Xin                              AMM042 Licensed Representative (Provisional Licence)     1
WENG Hsiao-Wei                       AML439 Licensed Representative (Provisional Licence)     4, 6
WESTON Marcus Patrick                AML281 Licensed Representative (Provisional Licence)     4
WIMMER Oliver                        AMM352 Licensed Representative (Provisional Licence)     4, 6
WONG Alan Craig                      ABZ462 Licensed Representative (Provisional Licence)     1
WONG Chin Wai                        AMJ918 Licensed Representative (Provisional Licence)     4
WONG Damon                           AJD415 Licensed Representative (Provisional Licence)     1, 2
WONG Kee Yick, Vivian                ADM218 Licensed Representative (Provisional Licence)     1
WONG King Tai, Gary                  AGJ917 Licensed Representative (Provisional Licence)     1
WONG Kuen Chiu                       AMK107 Licensed Representative (Provisional Licence)     1, 2




                                                                      12 of 15
REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2005
CE Name                                 CE No.   Licence Type                                    Types of Regulated Activity
WONG Ngar Yee                           AMJ945 Licensed Representative (Provisional Licence)     1
WONG Oi Yan, Irene                      AMN575 Licensed Representative (Provisional Licence)     3
WONG Sai Kee                            AML355 Licensed Representative (Provisional Licence)     4
WONG Siu Kin                            AML390 Licensed Representative (Provisional Licence)     6
WONG Stella                             AMK300 Licensed Representative (Provisional Licence)     1
WONG Wai Keong                          AML410 Licensed Representative (Provisional Licence)     1
WOO Ka Kin, Cecil                       AML172 Licensed Representative (Provisional Licence)     1, 2
WU Ka Ling                              AMK138 Licensed Representative (Provisional Licence)     4
WU Yun                                  AML242 Licensed Representative (Provisional Licence)     4
YAM Wai Tak                             AMK311 Licensed Representative (Provisional Licence)     1, 2
YANG Lei                                AMK234 Licensed Representative (Provisional Licence)     4
YANG Sam Shung-Chaung                   AMM347 Licensed Representative (Provisional Licence)     1, 2
YAU Kam Pun, Calvin                     AMJ519 Licensed Representative (Provisional Licence)     1, 2
YEH Ivan Hanson Shing Yue               AMM375 Licensed Representative (Provisional Licence)     1
YEUNG Hiu Chit                          AML649 Licensed Representative (Provisional Licence)     4, 6
YEUNG Ka Wong                           AML283 Licensed Representative (Provisional Licence)     1, 2
YEUNG Wing Sze                          AMM044 Licensed Representative (Provisional Licence)     1
YIM Heung To                            AMK402 Licensed Representative (Provisional Licence)     1, 2
YOU Dale                                AML143 Licensed Representative (Provisional Licence)     1, 6
YU Hung Chi                             AML761 Licensed Representative (Provisional Licence)     1, 6
YUEN Chik Sang                          AML271 Licensed Representative (Provisional Licence)     1
YUEN Kai Hang                           AML234 Licensed Representative (Provisional Licence)     1, 2
YUN Mi Jung                             AMK098 Licensed Representative (Provisional Licence)     1, 6
ZHANG Fufei                             AMJ965 Licensed Representative (Provisional Licence)     1
ZHEN Ni                                 AMM319 Licensed Representative (Provisional Licence)     1, 4
ZHENG Yinan                             AML583 Licensed Representative (Provisional Licence)     1
ZHOU Lifang                             AMM484 Licensed Representative (Provisional Licence)     1, 4
ZHOU Linlin                             AML499 Licensed Representative (Provisional Licence)     1
ZHOU Liping                             AML294 Licensed Representative (Provisional Licence)     4, 6
ZHOU Qi                                 AMM341 Licensed Representative (Provisional Licence)     1, 4
                                        AMJ963
ZU SAYN-WITTGENSTEIN BERLEBURG Sebastian Fredrik Licensed Representative (Provisional Licence)   1, 6
AZAMI Youssef                           AMN566 Licensed Representative (Temporary Licence)       1
BHAYAT Ahmed                            AMO482 Licensed Representative (Temporary Licence)       1
BITTAR Gregory John                     AMP151 Licensed Representative (Temporary Licence)       1
CAPALDI John Louis Francis              AML309 Licensed Representative (Temporary Licence)       1
CARLTON Nicholas Edward                 AMG956 Licensed Representative (Temporary Licence)       1




                                                                        13 of 15
REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2005
CE Name                              CE No.   Licence Type                                  Types of Regulated Activity
CHEN Huei-Yi                         AME439 Licensed Representative (Temporary Licence)     4
CHUNG Sun Myung                      AMO834 Licensed Representative (Temporary Licence)     4
DALE Andrew Ross                     AMQ363 Licensed Representative (Temporary Licence)     4
DARWELL Anthony James                ADT058 Licensed Representative (Temporary Licence)     4
DE SOUZA Raelene Jennel              AMO767 Licensed Representative (Temporary Licence)     4
DHALIWAL Gurvinder Singh             AML714 Licensed Representative (Temporary Licence)     1, 2
ERDELY Lionel Nicolas                AMN567 Licensed Representative (Temporary Licence)     1
HAGANUMA Chisato                     AMP147 Licensed Representative (Temporary Licence)     4
HUTHWAITE Katrina                    AMN753 Licensed Representative (Temporary Licence)     1
HWANG Paul                           AMO577 Licensed Representative (Temporary Licence)     4
IRVINE Craig Wycliffe                ACJ334 Licensed Representative (Temporary Licence)     4
IWASA Shinsuke                       AMP190 Licensed Representative (Temporary Licence)     4
JONES Lindsay Sarah                  ABY618 Licensed Representative (Temporary Licence)     1
KATAYAMA Eiichi                      AMO855 Licensed Representative (Temporary Licence)     4
KIM Jin Sang                         AME245 Licensed Representative (Temporary Licence)     4
KOVACS Andrew Michael                AMQ662 Licensed Representative (Temporary Licence)     4
LEE Dokyoung                         ALB229 Licensed Representative (Temporary Licence)     4
LEE Po-Yen                           AME444 Licensed Representative (Temporary Licence)     4
LIN Yong-Cher                        AMP196 Licensed Representative (Temporary Licence)     4
MAHER Gavin Thomas                   AMO670 Licensed Representative (Temporary Licence)     4
MC CUE Brandon James                 AMC690 Licensed Representative (Temporary Licence)     4
MEHTA Amelia Ann                     AMF457 Licensed Representative (Temporary Licence)     4
MINACK Gerard John                   AMN708 Licensed Representative (Temporary Licence)     1
MIYACHI Masaharu                     ALS495 Licensed Representative (Temporary Licence)     1
NAGASWAMI Ranjani Hopkins            AMO688 Licensed Representative (Temporary Licence)     4
NAM Kee Young                        AMP175 Licensed Representative (Temporary Licence)     4
NISHIKAWA Taku                       AMP188 Licensed Representative (Temporary Licence)     4
OSAKA Takuya                         AMO262 Licensed Representative (Temporary Licence)     4
OWAKI Nobuhito                       AMO841 Licensed Representative (Temporary Licence)     4
PHLEGAR Jeffrey Scott                AMJ997 Licensed Representative (Temporary Licence)     4
ROMEO Roberto                        AMM330 Licensed Representative (Temporary Licence)     1
SIDFORD William Henry                AMP002 Licensed Representative (Temporary Licence)     4
SITTON Jose Daniel                   AMI233   Licensed Representative (Temporary Licence)   4
SKOCIC Mark                          AMN758 Licensed Representative (Temporary Licence)     1
VERBAAS Cornelis Adrianus            AMM438 Licensed Representative (Temporary Licence)     1
WEAVER Robert Nims                   AMO750 Licensed Representative (Temporary Licence)     1




                                                                    14 of 15
REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2005
CE Name                              CE No.   Licence Type                                   Types of Regulated Activity
YAP Adrian Sian Liong                AMJ808 Licensed Representative (Temporary Licence)      1, 6
Belgian Bank                         AAK828 Registered Institution                           1, 4
Barclays Bank plc                    AAJ160   Registered Institution (Deemed Registration)   1, 4, 6, 7, 9
Coutts Bank von Ernst AG             ABR813 Registered Institution (Deemed Registration)     1, 4, 6, 9
HSBC Bank International Limited      AGH398 Registered Institution (Deemed Registration)     1, 4, 6, 9




                                                                     15 of 15

								
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