VARIATIONS OF REGULATED ACTIVITIES OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2006 CE Name CE No. Licence Type Types of Regulated Activity Added Vision Finance (Securities) Limited AGP508 Licensed Corporation VP Private Equity Limited AER787 Licensed Corporation AU Tai Chung AGO840 Licensed Representative AU-YEUNG Wai Yee AMB399 Licensed Representative 7 AZZI Daniel W AKX681 Licensed Representative 2 BACHER Ryan Rudolf AJI294 Licensed Representative 2 BHANA Satyajit Ishwar ANF155 Licensed Representative 7 BILLINGS Jason Craig ACT407 Licensed Representative 9 BOOKER Willie AGM990 Licensed Representative 4, 7 CAI Mingyan ANG572 Licensed Representative 4 CHAN Ching Man AJB840 Licensed Representative 2 CHAN Ka Lei AGH991 Licensed Representative 4 CHAN Ka Yun, Jenny AHX334 Licensed Representative CHAN Kum Kong ALH864 Licensed Representative 9 CHAN Pat AIJ753 Licensed Representative 3 CHAN Ping Lit, Victor AEZ466 Licensed Representative 2 CHAN Pui Kwan ALF667 Licensed Representative CHAN Wing Yuen AAB484 Licensed Representative CHAN Yat Fei AMJ553 Licensed Representative 4 CHAN Yat Hang ADI947 Licensed Representative 7 CHANDRAKAR Shirish ALR976 Licensed Representative 2 CHAU Yuk Yin ALN172 Licensed Representative 1 CHEN Chi Pang, Charles AFN279 Licensed Representative 2 CHEN Lei AMA927 Licensed Representative CHENG Man Hong, Anthony Wallace AKX251 Licensed Representative 4 CHENG Man Yiu AMS463 Licensed Representative 5 CHEUNG Nga Li ALI037 Licensed Representative 6 CHIN Kin Man ALN025 Licensed Representative 2 CHING Yi Edmund AKU003 Licensed Representative CHIU Chun Pong AFY720 Licensed Representative 1 CHO Chin Hung ACJ091 Licensed Representative 4 CHOI Lo AEB059 Licensed Representative CHOI Wang Yu, Winston AEU892 Licensed Representative 2 CHOW Tit Tsang AFG846 Licensed Representative 1 CHU Chi Yan, Brian ACX715 Licensed Representative 7 CHU Lai Wa, Joanna ABG737 Licensed Representative 5 CHUI Chi Ming ALG203 Licensed Representative 2 CHUNG King Wai, Jack AGO058 Licensed Representative 4 CHUNG Siu Wah AGC128 Licensed Representative 1 COPLESTONE John Clayton ALP565 Licensed Representative 9 CORTES Jose III Valencia AIR817 Licensed Representative
Types of Regulated Activity Removed 4 6 2
1
4
1 4 1
4 3
1, 2, 7 1 3
1
1, 6
1 of 5
VARIATIONS OF REGULATED ACTIVITIES OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2006 CE Name CE No. Licence Type Types of Regulated Activity Added DARLING Christopher Edwin ALW790 Licensed Representative 9 DEVONSHIRE Mark Charles ADA383 Licensed Representative EGLISKIS David Walter AJC319 Licensed Representative 2 EMERSON Kathleen Ann AEH820 Licensed Representative 7 FILDES Ewart John AEA178 Licensed Representative FONG Ho Kwon, Andrew AJI742 Licensed Representative FONG Shuk Yee AML637 Licensed Representative 2 FOO Cheuk Hang, Frankie AFG802 Licensed Representative 1 GHIA Manish Hasmukh AJL427 Licensed Representative 2 GREEN Antony Rowan AMB131 Licensed Representative 1 HARRIS Jonathan Howe ACA158 Licensed Representative 1 HO Chi Wai ADV088 Licensed Representative HO Lok Sang, Harrison AAF434 Licensed Representative 4, 6 HO Pui Kwan AFQ896 Licensed Representative 5, 9 HONG Jee Sun ANE235 Licensed Representative HUANG Jessica E ALY613 Licensed Representative 4, 9 HUI Chun Chung ALV293 Licensed Representative 4 HUI Yue Yat, Michael AJA098 Licensed Representative HUNG Hing Kit, Jackie ALU753 Licensed Representative 1 HUYNH HUU Tuan AKT482 Licensed Representative 1 IEONG Ioc Hong AMF622 Licensed Representative 4 INUKAI Masao ALO559 Licensed Representative 6 IP Sum Sum ADE695 Licensed Representative 4, 9 IP Wai Cheuk, Raymond AMB348 Licensed Representative 9 JIN Rong ALH876 Licensed Representative 4 KAN Yuk Ling ADT715 Licensed Representative 2 KARNANI Vijay AEO835 Licensed Representative KING Hubert Duncan AES843 Licensed Representative 2 KWAN Man Fai, Louis ADG156 Licensed Representative KWOK Wai Hong AFB192 Licensed Representative KWONG Lai Ping AGI851 Licensed Representative 9 KWONG Wai Man ALU750 Licensed Representative 1, 2 LAI Ho Yin AIH679 Licensed Representative 9 LAI Kai Yiu ADJ156 Licensed Representative 4 LAI Voon Wai ADO300 Licensed Representative LAM Man Fong, Virginia ANE738 Licensed Representative 1 LAU Hang ALP916 Licensed Representative 1 LAU Hon Wei AHX658 Licensed Representative 1 LAU Koon Ping, Jaclyn AFA295 Licensed Representative 1 LAU Siu Cheung ABV536 Licensed Representative 4 LAU Suk Tung AFD150 Licensed Representative 3
Types of Regulated Activity Removed 2
2 2 4
2
1 1, 6 1, 2 4 4, 9 1
2 4 6
4 4 4
2 of 5
VARIATIONS OF REGULATED ACTIVITIES OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2006 CE Name CE No. Licence Type Types of Regulated Activity Added LAU Wai King AHG508 Licensed Representative 2 LAU Wai On AGD728 Licensed Representative 1 LAW Shiu Man AGO349 Licensed Representative LEE Hwa Chie AHA589 Licensed Representative LEE San Man AGJ934 Licensed Representative 4 LEE Siu Ming, Simon ADK017 Licensed Representative LEE Tsz Chiu, Percy ALQ662 Licensed Representative 1 LEE Yu Ling ALI321 Licensed Representative 1 LEE Yuk King, Polly AFC750 Licensed Representative 9 LEUNG Man Tat AFQ229 Licensed Representative 2 LEUNG Sin Yee, Janet AEY850 Licensed Representative LEUNG Wang Kit, James ACC013 Licensed Representative LEUNG Wing Sin AAP888 Licensed Representative 1 LEW Sampson Tony AJD520 Licensed Representative LI Kwun Kit ALA730 Licensed Representative 2 LI Man Wai AFU096 Licensed Representative LI Ming AMW601 Licensed Representative 2 LI Philip Yee Lap AJF874 Licensed Representative 4, 5, 9 LIM Choot ACV298 Licensed Representative 2 LIM Soo Hai AMR299 Licensed Representative 5 LIU Alan Chi Lun ABX785 Licensed Representative LIU Chi Yeung AHW147 Licensed Representative LIU Xiaoping AFS694 Licensed Representative 4 LO Chi Wa, Ricky ACC653 Licensed Representative 2 LO James Kwok-Lun ALQ506 Licensed Representative 2 LO Kathleen Oikay AJN777 Licensed Representative LOU Tak Ki ACU045 Licensed Representative LOW Whye Choong AGE237 Licensed Representative 1 LUI Ho Yin, Edmond ALS598 Licensed Representative 9 LUI Wing Yun, Peter AJA707 Licensed Representative 4 LUK Pak Lam AMS491 Licensed Representative 4, 9 MA Kwai King AMH135 Licensed Representative 1 MA Lai Mei AHC358 Licensed Representative MAK Chak Hung AAC295 Licensed Representative 4 MAN Yuen Wai AGD339 Licensed Representative 2 MANSFIELD David Thomas ALT907 Licensed Representative MARTIN Todd Stuart ABT540 Licensed Representative MCCOIG Fergus Robert AFA387 Licensed Representative 1, 2 MIAO Miao AND967 Licensed Representative 4 MILLIKEN Peter James AEO766 Licensed Representative 1, 2 NAGAI Rei ALO330 Licensed Representative 4, 6
Types of Regulated Activity Removed
4 1, 6 4 4 1 4 1, 5 6 1
4, 5, 6, 9 2, 4 1, 9
4, 5 4 1 1, 2 4 4 2 7 9
3 of 5
VARIATIONS OF REGULATED ACTIVITIES OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2006 CE Name CE No. Licence Type Types of Regulated Activity Added NG Ho Yuen, Howard AEZ250 Licensed Representative NG Ka Chun AKL702 Licensed Representative NG Kwok Yan, Donny AGJ218 Licensed Representative 9 NG Kwong AKY483 Licensed Representative 1, 6 NG Po Yuen, Pauline AAE985 Licensed Representative 4 NG Wa Kai AMJ558 Licensed Representative NG Wing Leung, Stephen AFQ411 Licensed Representative PIRESTANI Kayvon Andrew AMB757 Licensed Representative 2 POON Yan Loong ALC104 Licensed Representative 4 PRELLER Raoul Gustav AJL240 Licensed Representative 2 QIU Hong AGH952 Licensed Representative 2 RICHARDSON Alan Jack Newman AEI864 Licensed Representative 5 RICHMOND Blair James AKJ144 Licensed Representative 2 SEI Tat Fai AGF439 Licensed Representative 4 SEQUEIRA Pedro Chio AGM685 Licensed Representative 2 SHIH Mei Ling AMO736 Licensed Representative 2 SHUM Kit AJD416 Licensed Representative SIN Wai Yee, Lilian ALE708 Licensed Representative 1, 9 SIN Yuk Ching ADS239 Licensed Representative 4, 9 SITABKHAN Zaheer Abbas ACZ279 Licensed Representative SMITH Hans Christopher AHS866 Licensed Representative SOLIKIN Titi Mariah AEL924 Licensed Representative 4, 9 SZEKELY Peter James AJB204 Licensed Representative TAN Bok Chuan ALF923 Licensed Representative 1 TAN Suat Wah AEZ709 Licensed Representative TANG Oi Ling, Lisa AHX166 Licensed Representative 9 TANG Tsui Ping, Peggy AED993 Licensed Representative TO Tsz Wai AFU687 Licensed Representative 5 TONG Hin Yip AMV360 Licensed Representative 3 TONG Leung Kwing AIL180 Licensed Representative 9 TONG Wai Kei, William AIU544 Licensed Representative 1 TSANG Choi Kwan AHR016 Licensed Representative 9 TSANG Yee Mai ABN099 Licensed Representative 2 TSE Pui Lan, Bonnie ABY482 Licensed Representative TSE Sum Sum AJE855 Licensed Representative 4 TSUI Chi Heung AKX242 Licensed Representative 4 TSUI Pak Fai ANK382 Licensed Representative 2 WANG Bo ANE602 Licensed Representative 3 WANG Guangwei AMK002 Licensed Representative WANG Jing Chen AEH824 Licensed Representative 4 WHITFIELD Charles Bernard Francis AGL896 Licensed Representative 2
Types of Regulated Activity Removed 4, 5, 9 1 4 2 1
1
4
4 1 1, 2 4 4 4, 7
4
4
4 of 5
VARIATIONS OF REGULATED ACTIVITIES OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2006 CE Name CE No. Licence Type Types of Regulated Activity Added WONG Chieh Lu, Jenny AGL441 Licensed Representative 9 WONG Lung Kee, Roger AGM988 Licensed Representative 2 WONG Timothy Tin Wai AFS526 Licensed Representative 2 WONG Wai Ling ALL706 Licensed Representative 4 WONG Yuet Mui, Amy AGO068 Licensed Representative 4 WU Ke, Isabella ACK248 Licensed Representative 1 WU Zhigang AHK042 Licensed Representative XIN Yuesheng AIB281 Licensed Representative 4 XU Jian AKO634 Licensed Representative YANG Huizhi AFT581 Licensed Representative 2 YEUNG Catherine Ann ANL955 Licensed Representative 1 YEUNG Mei Hing AFR662 Licensed Representative 1 YEUNG Pok Man, Peason AGW988 Licensed Representative 1, 9 YIP Mou Chun AGB680 Licensed Representative 7 YIP Siu Ling ACR509 Licensed Representative 2 YU Vernon Ka Leung AEE209 Licensed Representative 1, 5 YUEN Ka Lai AIB790 Licensed Representative ZUO Wei ALH756 Licensed Representative AU Tai Chung AGO840 Licensed Representative - Responsible Officer 4 CHAN Yan Wing, Andy ADJ208 Licensed Representative - Responsible Officer 4 CHOI Nga Chung ADG746 Licensed Representative - Responsible Officer CHU Kin Man ACB899 Licensed Representative - Responsible Officer LAU Kwok Kit, Martin ADR107 Licensed Representative - Responsible Officer 1 MA Jiayang AGP537 Licensed Representative - Responsible Officer RYAN-KANE Peter Joseph ALW159 Licensed Representative - Responsible Officer 1 SMITH Hans Christopher AHS866 Licensed Representative - Responsible Officer 4 STUART Shane Vivian Julian ADR450 Licensed Representative - Responsible Officer 9 THOMAS Robert Heriot Lindsay AAA095 Licensed Representative - Responsible Officer 5 WU Huey-Ming ALW118 Licensed Representative - Responsible Officer 4 YAN Kwok Ting, Sunny ADG917 Licensed Representative - Responsible Officer 1 YEH V Nee AAX565 Licensed Representative - Responsible Officer YU Pui Pui AFU498 Licensed Representative - Responsible Officer CHAN Ka Yeung ALH659 Licensed Representative (Provisional Licence) HUI Ming Lai, Albert AFC956 Licensed Representative (Provisional Licence) 1 HWANG Chan Young AMY257 Licensed Representative (Provisional Licence) 1 LLOYD JONES Adam Copland AMP246 Licensed Representative (Provisional Licence) 7 TSENG Fan-Jung ANM476 Licensed Representative (Provisional Licence) 6 WONG Man Jo, Joseph ANF134 Licensed Representative (Provisional Licence) 2, 7 Societe Generale AAL252 Registered Institution (Deemed Registration)
Types of Regulated Activity Removed 4
1 1 7 1, 9 4 4 4
2, 3 2
6 9 4
6 1 5 4
2 4 9
5 of 5