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CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS DURING 05/2016 Page 1 of 173 CE Name: Venture Smart Asia Limited CE No.: BCO369 Licence Type: Licensed Corporation Condition Removed: For Type 1 regulated activity, the licensee shall only engage in underwriting, sub-underwriting and placing of securities. Condition Level: Type 1 Regulated Activity CE Name: Kiu Hung Capital Company Limited CE No.: BFK824 Licence Type: Licensed Corporation 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: China International Capital Corporation Hong Kong Securities Limited CE No.: AEN894 Licence Type: Licensed Corporation 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: Southwest Securities (HK) Capital Limited CE No.: AIC042 Licence Type: Licensed Corporation Condition Removed: For Type 6 regulated activity, the licensee shall not act as sponsor in respect of an application for the listing on a recognized stock market of any securities apart from completing sponsor or compliance adviser work which it became contractually bound to complete prior to 16 December 2015. Condition Level: Type 6 Regulated Activity CE Name: Southwest Securities (HK) Capital Limited CE No.: AIC042 Licence Type: Licensed Corporation 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
CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED
Page 1 of 173
CE Name: Venture Smart Asia Limited CE No.: BCO369 Licence Type:
Licensed Corporation Condition Removed: For Type 1 regulated
activity, the licensee shall only engage in underwriting,
sub-underwriting and placing of securities. Condition Level: Type 1
Regulated Activity CE Name: Kiu Hung Capital Company Limited CE
No.: BFK824 Licence Type: Licensed Corporation 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: China
International Capital Corporation Hong Kong Securities Limited CE
No.: AEN894 Licence Type: Licensed Corporation 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: Southwest Securities (HK) Capital
Limited CE No.: AIC042 Licence Type: Licensed Corporation Condition
Removed: For Type 6 regulated activity, the licensee shall not act
as sponsor in respect of an application for the listing on a
recognized stock market of any securities apart from completing
sponsor or compliance adviser work which it became contractually
bound to complete prior to 16 December 2015. Condition Level: Type
6 Regulated Activity CE Name: Southwest Securities (HK) Capital
Limited CE No.: AIC042 Licence Type: Licensed Corporation 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
CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS
DURING 05/2016
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CE Name: Enhanced Securities Limited CE No.: AWP684 Licence Type:
Licensed Corporation Condition Added: For Type 6 regulated
activity, the licensee/[person] shall not act as sponsor in respect
of an application for the listing on a recognized stock market of
any securities. Condition Level: Type 6 Regulated Activity CE Name:
Enhanced Securities Limited CE No.: AWP684 Licence Type: Licensed
Corporation 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 Buy-backs
issued by the Commission. Condition Level: Type 6 Regulated
Activity CE Name: KGI Asset Management Limited CE No.: AEN441
Licence Type: Licensed Corporation Condition Removed: For Type 9
regulated activity, the licensee shall not conduct business
involving the discretionary management of any collective investment
scheme. The term "collective investment scheme" is as defined under
the Securities and Futures Ordinance. Condition Level: Type 9
Regulated Activity CE Name: Halcyon Securities Limited CE No.:
BAM857 Licence Type: Licensed Corporation Condition Added: For Type
9 regulated activity, the licensee shall not conduct business
involving the discretionary management of any collective investment
scheme. The term "collective investment scheme" is as defined under
the Securities and Futures Ordinance. Condition Level: Type 9
Regulated Activity CE Name: Halcyon Securities Limited CE No.:
BAM857 Licence Type: Licensed Corporation Condition Added: For Type
9 regulated activity, the licensee shall not provide a service of
managing a portfolio of futures contracts for another person.
Condition Level: Type 9 Regulated Activity
CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS
DURING 05/2016
Page 3 of 173
CE Name: Halcyon Securities Limited CE No.: BAM857 Licence Type:
Licensed Corporation Condition Added: For Type 9 regulated
activity, the licensee shall only provide services to professional
investors. The term "professional investor" is as defined in the
Securities and Futures Ordinance and its subsidiary legislation.
Condition Level: Type 9 Regulated Activity CE Name: IDS Forex HK
Limited CE No.: BDH481 Licence Type: Licensed Corporation Condition
Added: For Type 9 regulated activity, the licensee shall not
conduct business involving the discretionary management of any
collective investment scheme. The term "collective investment
scheme" is as defined under the Securities and Futures Ordinance.
Condition Level: Type 9 Regulated Activity CE Name: Dragon Field
Investment Limited CE No.: BFH453 Licence Type: Licensed
Corporation Condition Removed: For Type 9 regulated activity, the
licensee shall not conduct business involving the discretionary
management of any collective investment scheme. The term
"collective investment scheme" is as defined under the Securities
and Futures Ordinance. Condition Level: Type 9 Regulated Activity
CE Name: Dragon Field Investment Limited CE No.: BFH453 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: DSG Asset Management (HK)
Company Limited CE No.: BFR037 Licence Type: Licensed Corporation
Condition Removed: For Type 9 regulated activity, the licensee
shall not conduct business involving the discretionary management
of any collective investment scheme. The term "collective
investment scheme" is as defined under the Securities and Futures
Ordinance. Condition Level: Type 9 Regulated Activity
CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS
DURING 05/2016
Page 4 of 173
CE Name: Anli Asset Management Limited CE No.: AEL743 Licence Type:
Licensed Corporation Condition Added: The licensee shall only
provide services to professional investors. The term "professional
investor" is as defined in the Securities and Futures Ordinance and
its subsidiary legislation. Condition Level: Licence CE Name: First
Capital Asset Management Limited CE No.: BEA129 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: First Capital Asset Management Limited CE No.:
BEA129 Licence Type: Licensed Corporation Condition Removed: The
licensee shall only provide services to professional investors. The
term "professional investor" is as defined in the Securities and
Futures Ordinance and its subsidiary legislation. Condition Level:
Licence CE Name: Forwin Securities Group Limited CE No.: BEI223
Licence Type: Licensed Corporation Condition Removed: The licensee
shall only provide services to professional investors. The term
"professional investor" is as defined in the Securities and Futures
Ordinance and its subsidiary legislation. Condition Level: Licence
CE Name: SPDB International Capital Limited CE No.: BFZ375 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: SPDB International Capital Limited CE No.:
BFZ375 Licence Type: Licensed Corporation Condition Removed: The
licensee shall only provide services to professional investors. The
term "professional investor" is as defined in the Securities and
Futures Ordinance and its subsidiary legislation.
CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS
DURING 05/2016
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Condition Level: Licence CE Name: HILL Stephen Christopher CE No.:
ACG751 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 Ying Hung CE No.: ACP023 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: LI Ying Hung CE No.:
ACP023 Licence Type: Licensed Representative - Responsible Officer
Condition Added: This licence, in relation to Type 1 regulated
activity, shall lapse and cease to have effect: (i) upon the
licensee ceasing to act for or on behalf of his/her principal(s) in
respect of that regulated activity; or (ii) 6 months after the
grant of the licence for carrying on that regulated activity (or
any later date as the Commission may agree in writing), whichever
occurs earlier, unless the licensee has by that time passed the
relevant recognised local regulatory framework paper(s) pursuant to
the Guidelines on Competence issued by the Commission and informed
the Commission of the examination result. Condition Level: Type 1
Regulated Activity CE Name: CHAN Kwan Kit CE No.: ACQ850 Licence
Type: Licensed Representative - Responsible Officer Condition
Added:
CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS
DURING 05/2016
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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: NG Michael Chiu
Ho CE No.: ADA727 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: DUAN Hong CE No.: ADE819 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: DUAN Hong CE No.: ADE819
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: WU Benjamin Wen Jing CE No.: AEM784
Licence Type: Licensed Representative - Responsible Officer
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
CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS
DURING 05/2016
Page 7 of 173
CE Name: HU Zhizhi CE No.: AFQ361 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: CHUNG Ho Tung CE No.: AGC693 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: CHUNG Ho Tung
CE No.: AGC693 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: CHUNG Ho Tung CE No.: AGC693 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: WONG Kan Man CE No.: AGP718 Licence Type: Licensed
Representative - Responsible Officer Condition Removed:
CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS
DURING 05/2016
Page 8 of 173
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: WONG Kan Man CE
No.: AGP718 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: CHNG Oon Jin CE
No.: AIN851 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: HSIEH Ming-Hung CE No.: AIR925 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),
CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS
DURING 05/2016
Page 9 of 173
whichever occurs earlier, unless the licensee has by that time
passed the relevant recognised local regulatory 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: HSIEH Ming-Hung CE No.:
AIR925 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: WONG
Hiu Pan CE No.: ALA793 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: WONG Hiu Pan CE No.: ALA793 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: IP Wang Hoi CE No.: ALN577 Licence Type: Licensed
Representative - Responsible Officer Condition Removed: This
licence, in relation to Type 1 regulated activity, shall lapse and
cease to have effect:
CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS
DURING 05/2016
Page 10 of 173
(i) upon the licensee ceasing to act for or on behalf of his/her
principal(s) in respect of that regulated activity; or (ii) 6
months after the grant of the licence for carrying on that
regulated activity (or any later date as the Commission may agree
in writing), whichever occurs earlier, unless the licensee has by
that time passed the relevant recognised local regulatory 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: IP Wang Hoi CE
No.: ALN577 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: BAI Youge CE No.: ALP809 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: CHAN Chi Fung, Leo CE
No.: ALS787 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: WONG
Hung Wai CE No.: ALU971 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:
CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS
DURING 05/2016
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(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: WONG Hung Wai
CE No.: ALU971 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: CHIU Simon Siu
Hung CE No.: ALW291 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: CHIU Simon Siu
Hung CE No.: ALW291 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: SHEN Jen Der CE No.: ALY713 Licence
Type: Licensed Representative - Responsible Officer
CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS
DURING 05/2016
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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: WANG Sheng CE No.: AMI809 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: LIU Dongmei, Amy CE No.: AMM436 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: LIU Dongmei, Amy CE No.:
AMM436 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
CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS
DURING 05/2016
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CE Name: CHANG Chun Chung CE No.: AND527 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: CHANG Chun
Chung CE No.: AND527 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: CHENG Kong Wai CE No.: ANM032 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: CHENG Kong Wai
CE No.: ANM032 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),
CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS
DURING 05/2016
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whichever occurs earlier, unless the licensee has by that time
passed the relevant recognised local regulatory 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: SOULEYMAN Jan CE No.:
ANM874 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: SOULEYMAN Jan CE No.: ANM874 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: SUN
Xiaomin CE No.: AOD522 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: KWOK Chi Yeung CE No.: AOV745 Licence
Type: Licensed Representative - Responsible Officer Condition
Removed:
CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS
DURING 05/2016
Page 15 of 173
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: KWOK Chi Yeung
CE No.: AOV745 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: ZHANG Chenghong
CE No.: AOX827 Licence Type: Licensed Representative Condition
Removed: This licence, in relation to Type 1 regulated activity,
shall lapse and cease to have effect: (i) upon the licensee ceasing
to act for or on behalf of his/her principal(s) in respect of that
regulated activity; or (ii) 6 months after the grant of the licence
for carrying on that regulated activity (or any later date as the
Commission may agree in writing), whichever occurs earlier, unless
the licensee has by that time passed the relevant recognised local
regulatory framework paper(s) pursuant to the Guidelines on
Competence issued by the Commission and informed the Commission of
the examination result. Condition Level: Type 1 Regulated Activity
CE Name: WONG Alan Wan Lung CE No.: AOY210 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),
CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS
DURING 05/2016
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whichever occurs earlier, unless the licensee has by that time
passed the relevant recognised local regulatory framework paper(s)
pursuant to the Guidelines on Competence issued by the Commission
and informed the Commission of the examination result. Condition
Level: Type 1 Regulated Activity CE Name: NG Ting Ho CE No.: AQM058
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: CHAN
Lai Wah, Patricia CE No.: AQN141 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: BI Weiwei CE No.: AQQ490
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: LU Jie CE No.: AQV758 Licence Type: Licensed
Representative Condition Removed: This licence, in relation to Type
1 regulated activity, shall lapse and cease to have effect:
CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS
DURING 05/2016
Page 17 of 173
(i) upon the licensee ceasing to act for or on behalf of his/her
principal(s) in respect of that regulated activity; or (ii) 6
months after the grant of the licence for carrying on that
regulated activity (or any later date as the Commission may agree
in writing), whichever occurs earlier, unless the licensee has by
that time passed the relevant recognised local regulatory 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 Cheuk Lam
CE No.: ASX897 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: SINGH Gauravjit CE No.: ATJ285 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: JEULIN Francois
Thierry CE No.: ATJ464 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 VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS
DURING 05/2016
Page 18 of 173
Condition Level: Type 1 Regulated Activity CE Name: JEULIN Francois
Thierry CE No.: ATJ464 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: YANG Peng CE
No.: AUG860 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: YANG Peng CE No.: AUG860 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: YANG Peng CE
No.: AUG860 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),
CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS
DURING 05/2016
Page 19 of 173
whichever occurs earlier, unless the licensee has by that time
passed the relevant recognised local regulatory 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: NEWTON Christopher John
CE No.: AVJ280 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: LIM Julian Frederick Yu CE No.: AVW353 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) 15 September 2016 (or any later date as the Commission may
agree in writing), whichever occurs earlier, unless the licensee
has by that time passed the Licensing Examination for Securities
and Futures Intermediaries (LE) Paper 1 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: NAGAE Joseph Kurian CE No.: AVZ283 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
CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS
DURING 05/2016
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CE Name: LU Feng CE No.: AXG995 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 Hoi Yan CE
No.: AXZ043 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: NG
Chit Hei Stephenson CE No.: AYB205 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: NG Chit Hei Stephenson CE
No.: AYB205 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
CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS
DURING 05/2016
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CE Name: NAVLAKHA Nilesh CE No.: AYI936 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: WONG Theodore Todd CE No.: AYQ349 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: CHAN Kin Wah, Kenneth CE No.: BAL896
Licence Type: Licensed Representative - Responsible Officer
Condition Removed: This licence, in relation to Type 1 regulated
activity, shall lapse and cease to have effect: (i) upon the
licensee ceasing to act for or on behalf of his/her principal(s) in
respect of that regulated activity; or (ii) 6 months after the
grant of the licence for carrying on that regulated activity (or
any later date as the Commission may agree in writing), whichever
occurs earlier, unless the licensee has by that time passed the
relevant recognised local regulatory framework paper(s) pursuant to
the Guidelines on Competence issued by the Commission and informed
the Commission of the examination result. Condition Level: Type 1
Regulated Activity CE Name: CHAN Kin Wah, Kenneth CE No.: BAL896
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:
CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS
DURING 05/2016
Page 22 of 173
(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: XIAO Lina CE
No.: BAZ749 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: XIAO Lina CE
No.: BAZ749 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: XIAO Lina CE No.: BAZ749 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: XIAO Lina CE
No.: BAZ749 Licence Type: Licensed Representative - Responsible
Officer
CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS
DURING 05/2016
Page 23 of 173
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: WEI
Shanwei CE No.: BBS871 Licence Type: Licensed Representative
Condition Removed: This licence, in relation to Type 1 regulated
activity, shall lapse and cease to have effect: (i) upon the
licensee ceasing to act for or on behalf of his/her principal(s) in
respect of that regulated activity; or (ii) 6 months after the
grant of the licence for carrying on that regulated activity (or
any later date as the Commission may agree in writing), whichever
occurs earlier, unless the licensee has by that time passed the
relevant recognised local regulatory framework paper(s) pursuant to
the Guidelines on Competence issued by the Commission and informed
the Commission of the examination result. Condition Level: Type 1
Regulated Activity CE Name: CHOI Da Eun CE No.: BCZ340 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: CHOI Da Eun CE
No.: BCZ340 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
CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS
DURING 05/2016
Page 24 of 173
CE Name: WU Yue CE No.: BDI411 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)
13/11/2016 (or any later date as the Commission may agree in
writing), whichever occurs earlier, unless the licensee has by that
time passed the Licensing Examination for Securities and Futures
Intermediaries (LE) Paper 1 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: LIAO Mingbing CE No.: BDO970 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)
13/11/2016 (or any later date as the Commission may agree in
writing), whichever occurs earlier, unless the licensee has by that
time passed the Licensing Examination for Securities and Futures
Intermediaries (LE) Paper 1 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: LIAO Mingbing CE No.: BDO970 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)
13/11/2016 (or any later date as the Commission may agree in
writing), whichever occurs earlier, unless the licensee has by that
time passed the Licensing Examination for Securities and Futures
Intermediaries (LE) Paper 1 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: SHI Chengbo CE No.: BEB246 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
CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS
DURING 05/2016
Page 25 of 173
(ii) 20/11/2016 (or any later date as the Commission may agree in
writing), whichever occurs earlier, unless the licensee has by that
time passed the Licensing Examination for Securities and Futures
Intermediaries (LE) Paper 1 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: UGAYAMA Kazuya CE No.: BEC906 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: LU Ruochen CE
No.: BEE828 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) 20/11/2016 (or any later date as the Commission
may agree in writing), whichever occurs earlier, unless the
licensee has by that time passed the Licensing Examination for
Securities and Futures Intermediaries (LE) Paper 1 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 Yufei CE No.: BEE831 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)
13/11/2016 (or any later date as the Commission may agree in
writing), whichever occurs earlier, unless the licensee has by that
time passed the Licensing Examination for Securities and Futures
Intermediaries (LE) Paper 1 pursuant to the Guidelines on
Competence issued by the Commission and informed the Commission of
the examination result. Condition Level: Type 1 Regulated
Activity
CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS
DURING 05/2016
Page 26 of 173
CE Name: ZHAO Liping CE No.: BEH709 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)
13/11/2016 (or any later date as the Commission may agree in
writing), whichever occurs earlier, unless the licensee has by that
time passed the Licensing Examination for Securities and Futures
Intermediaries (LE) Paper 1 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: LOKUR Vikram Madhav CE No.: BFI967 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: PIOVARCSY Karol
CE No.: BFT767 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: SHAN Su CE No.: BFT937 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
CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS
DURING 05/2016
Page 27 of 173
(ii) 6 months after the grant of the licence for carrying on that
regulated activity (or any later date as the Commission may agree
in writing), whichever occurs earlier, unless the licensee has by
that time passed the relevant recognised local regulatory 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: PEI Xiaohui CE
No.: BGB709 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: TAW Gregory
Michael CE No.: BGH190 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: AGNEW Nathan Daniel CE No.: BGH427
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),
CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS
DURING 05/2016
Page 28 of 173
whichever occurs earlier, unless the licensee has by that time
passed the relevant recognised local regulatory 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: YANG Ruoyi CE No.: BGH897
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 Jinghong CE No.: BGH937 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 Wing Hei
Sharon CE No.: BGI041 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
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DURING 05/2016
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CE Name: FUNG Kwai Lun CE No.: BGI456 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: FRANCOIS-PONCET
Pauline Marie Marguerite CE No.: BGI611 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 Zhige CE
No.: BGI744 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 Jun Sub CE No.: BGI784 Licence Type: Licensed
Representative Condition Removed:
CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS
DURING 05/2016
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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 Ke-Li CE No.: BGI916 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: MCCOURT Ryan
James CE No.: BGJ363 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: SU Junjie CE No.: BGJ390 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
CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS
DURING 05/2016
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(ii) 6 months after the grant of the licence for carrying on that
regulated activity (or any later date as the Commission may agree
in writing), whichever occurs earlier, unless the licensee has by
that time passed the relevant recognised local regulatory 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 Qinghua CE
No.: BGJ400 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: CAO Ying CE No.: BGJ409 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: PAN Jialing CE
No.: BGJ469 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),
CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS
DURING 05/2016
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whichever occurs earlier, unless the licensee has by that time
passed the relevant recognised local regulatory 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: SHEKERDEMIAN James
Yervant CE No.: BGK431 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: SHEKERDEMIAN
James Yervant CE No.: BGK431 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: LIN Tian CE No.: BGK496 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
CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS
DURING 05/2016
Page 33 of 173
CE Name: YIP Lam Lam CE No.: BGK791 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: SUM Ka Hoe Eric
CE No.: BGK890 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 Siyu CE No.: BGK941 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: CHUNG Wilson
Kai Hang CE No.: BGL219 Licence Type: Licensed Representative
Condition Removed:
CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS
DURING 05/2016
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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: ZHAO Xiaozheng CE No.: BGL502 Licence Type: Licensed
Representative Condition Removed: This licence, in relation to Type
1 regulated activity, shall lapse and cease to have effect: (i)
upon the licensee ceasing to act for or on behalf of his/her
principal(s) in respect of that regulated activity; or (ii) 6
months after the grant of the licence for carrying on that
regulated activity (or any later date as the Commission may agree
in writing), whichever occurs earlier, unless the licensee has by
that time passed the relevant recognised local regulatory framework
paper(s) pursuant to the Guidelines on Competence issued by the
Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity CE Name: TAN Teng Hui
Nicholas CE No.: BGL570 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 Jian CE No.: BGL628 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
CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS
DURING 05/2016
Page 35 of 173
(ii) 6 months after the grant of the licence for carrying on that
regulated activity (or any later date as the Commission may agree
in writing), whichever occurs earlier, unless the licensee has by
that time passed the relevant recognised local regulatory 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 Kun CE
No.: BGL674 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: SALLES Antoine Paul Benjamin CE No.: BGL771 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: KHOO Xin Ping,
Inez CE No.: BGL795 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),
CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS
DURING 05/2016
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whichever occurs earlier, unless the licensee has by that time
passed the relevant recognised local regulatory 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 Long CE No.: BGM032
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) 13/11/2016 (or any later date as the Commission
may agree in writing), whichever occurs earlier, unless the
licensee has by that time passed the Licensing Examination for
Securities and Futures Intermediaries (LE) Paper 1 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: HSIEH Jiaru CE No.: BGM144 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: DUAN Qiufeng CE
No.: BGM189 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
CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS
DURING 05/2016
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CE Name: CHOI-LEE Nora CE No.: BGM249 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: PANDOV
Alexandre CE No.: BGM581 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: CHO Yunhee CE No.: BGM624 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: MANDALA Rohan
CE No.: BGM922 Licence Type: Licensed Representative Condition
Removed:
CONDITION VARIATIONS OF LICENSED PERSONS / REGISTERED INSTITUTIONS
DURING 05/2016
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This licence, in relation to Type 1 regulated activity, shall lapse
and cease to have effect: (i)