CONDITION VARIATIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2007

CE Name: Pictet (Asia) Limited
CE No.: AAG715
Licence Type: Licensed Corporation 
Condition Removed:
The licensee shall only perform distribution for collective investment schemes and the marketing of portfolio management services to professional investors.
Condition Level: Type 1 Regulated Activity

CE Name: Harris Fraser (International) Limited
CE No.: AAX743
Licence Type: Licensed Corporation 
Condition Added:
For Type 1 regulated activity, the licensee shall only engage in

1.	dealing in interests in collective investment schemes.  The term "collective investment scheme" is as defined under the Securities and Futures Ordinance.  

2. 	dealing in other securities as an introducing broker where the licensee shall only ¡V

(a)	communicating offers to effect dealings in securities to an exchange participant of a recognized exchange company or a specified exchange, in the names of the persons from whom those offers are received; and

(b) 	introducing persons to an exchange participant of a recognized exchange company or a specified exchange, in order that they may -
(i) 	effect dealings in securities; or
(ii)	make offers to deal in securities.

Condition Level: Type 1 Regulated Activity

CE Name: Harris Fraser (International) Limited
CE No.: AAX743
Licence Type: Licensed Corporation 
Condition Removed:
For Type 1 regulated activity, the licensee may only engage in dealing in interests in collective investment schemes.  The term "collective investment scheme" is as defined under the Securities and Futures Ordinance.
Condition Level: Type 1 Regulated Activity

CE Name: Asia Alternative Asset Partners Limited
CE No.: ALF590
Licence Type: Licensed Corporation 
Condition Added:
For Type 1 regulated activity, the licensee shall only provide services relating to collective investment schemes.
Condition Level: Type 1 Regulated Activity

CE Name: CCB International Securities Limited
CE No.: AMB276
Licence Type: Licensed Corporation 
Condition Removed:
For Type 1 regulated activity, the licensee shall seek the Commission's prior approval before extending services at retail level.
Condition Level: Type 1 Regulated Activity

CE Name: Dresdner Kleinwort Securities (Asia) Limited
CE No.: AAD661
Licence Type: Licensed Corporation 
Condition Added:
For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: Dresdner Kleinwort Securities (Asia) Limited
CE No.: AAD661
Licence Type: Licensed Corporation 
Condition Removed:
For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission.
Condition Level: Type 6 Regulated Activity

CE Name: President Securities (Hong Kong) Limited
CE No.: ACP459
Licence Type: Licensed Corporation 
Condition Added:
For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: President Securities (Hong Kong) Limited
CE No.: ACP459
Licence Type: Licensed Corporation 
Condition Added:
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.
Condition Level: Type 6 Regulated Activity

CE Name: FB Gemini Capital Limited
CE No.: AEY255
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.
Condition Level: Type 6 Regulated Activity

CE Name: DnB NOR Asset Management (Asia) Limited
CE No.: ACY787
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: Money Concepts (Asia) Limited
CE No.: AFZ862
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: Tree Line Advisors (Hong Kong) Ltd
CE No.: ANG456
Licence Type: Licensed Corporation 
Condition Removed:
For Type 9 regulated activity, the licensee shall only provide services to Tree Line Investment Management Limited and its affiliates.
Condition Level: Type 9 Regulated Activity

CE Name: Tree Line Advisors (Hong Kong) Ltd
CE No.: ANG456
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: Tree Line Advisors (Hong Kong) Ltd
CE No.: ANG456
Licence Type: Licensed Corporation 
Condition Removed:
The licensee shall seek the Commission's prior approval before extending services at retail level.
Condition Level: Licence

CE Name: NG Yuen Yee
CE No.: AAJ564
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 1 regulated activity, the licensee shall only engage in

1.	dealing in interests in collective investment schemes.  The term "collective investment scheme" is as defined under the Securities and Futures Ordinance.  

2. 	dealing in other securities as an introducing broker where the licensee shall only ¡V

(a)	communicating offers to effect dealings in securities to an exchange participant of a recognized exchange company or a specified exchange, in the names of the persons from whom those offers are received; and

(b) 	introducing persons to an exchange participant of a recognized exchange company or a specified exchange, in order that they may -
(i) 	effect dealings in securities; or
(ii)	make offers to deal in securities.

Condition Level: Type 1 Regulated Activity

CE Name: NG Yuen Yee
CE No.: AAJ564
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 1 regulated activity, the licensee may only engage in dealing in interests in collective investment schemes.  The term "collective investment scheme" is as defined under the Securities and Futures Ordinance.
Condition Level: Type 1 Regulated Activity

CE Name: PYRKE Roger Simon
CE No.: AAK350
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 1 regulated activity, the licensee shall only provide services relating to collective investment schemes.
Condition Level: Type 1 Regulated Activity

CE Name: LAU Tuen Mui
CE No.: AAZ810
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 1 regulated activity, the licensee shall only engage in

1.	dealing in interests in collective investment schemes.  The term "collective investment scheme" is as defined under the Securities and Futures Ordinance.  

2. 	dealing in other securities as an introducing broker where the licensee shall only ¡V

(a)	communicating offers to effect dealings in securities to an exchange participant of a recognized exchange company or a specified exchange, in the names of the persons from whom those offers are received; and

(b) 	introducing persons to an exchange participant of a recognized exchange company or a specified exchange, in order that they may -
(i) 	effect dealings in securities; or
(ii)	make offers to deal in securities.

Condition Level: Type 1 Regulated Activity

CE Name: LAU Tuen Mui
CE No.: AAZ810
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 1 regulated activity, the licensee may only engage in dealing in interests in collective investment schemes.  The term "collective investment scheme" is as defined under the Securities and Futures Ordinance.
Condition Level: Type 1 Regulated Activity

CE Name: MUMFORD Virginia Anne
CE No.: ABR427
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 Kwai Man, William
CE No.: ACE656
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: LIU Wei-Yueh
CE No.: ACE864
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: LAM Wai Hung, Andy
CE No.: ADB647
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: LAM Wai Hung, Andy
CE No.: ADB647
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: SIU Kai Chi, Jimmy
CE No.: ADF274
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: SIU Kai Chi, Jimmy
CE No.: ADF274
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 Man Wai, Marcella
CE No.: ADH994
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 Man Wai, Marcella
CE No.: ADH994
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: CHAN Man Wai, Marcella
CE No.: ADH994
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 Kin Shun, Jimmy
CE No.: ADK252
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 Kin Shun, Jimmy
CE No.: ADK252
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 Kin Shun, Jimmy
CE No.: ADK252
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: YEUNG Sau San, Eric
CE No.: ADL089
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: MAK Yun Ching, Mica
CE No.: ADL348
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
In relation to Type 1 regulated activity, this approval as a responsible officer, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the approval for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework papers (Papers 1 & 2) 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: MAK Yun Ching, Mica
CE No.: ADL348
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: SMITH Paul Henry
CE No.: ADL754
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 1 regulated activity, the licensee shall only provide services relating to collective investment schemes.
Condition Level: Type 1 Regulated Activity

CE Name: CHOI Yin Bing
CE No.: ADM634
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: LEE Hon Kit
CE No.: ADO606
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: LEE Hon Kit
CE No.: ADO606
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: NAH Wee Ping
CE No.: ADU947
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: KWOK Kin Chung
CE No.: ADZ802
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: CHEUNG David Kwok-wai
CE No.: AEJ019
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: YEUNG Wai Fai, Andrew
CE No.: AFU161
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: YEUNG Wai Fai, Andrew
CE No.: AFU161
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: YEUNG Wai Fai, Andrew
CE No.: AFU161
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: FANG Chih-Shang
CE No.: AFV353
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: GUO Yuantao
CE No.: AFW884
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: ZHANG Jian Bin
CE No.: AGA700
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: HO Mei Tak
CE No.: AGJ681
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: HO Mei Tak
CE No.: AGJ681
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: LEE Weihan
CE No.: AGN723
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: WOODTHORPE Alexander Antony
CE No.: AHJ154
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: STAERKLE Nicolas
CE No.: AIR083
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
The licensee shall only perform distribution for collective investment schemes and the marketing of portfolio management services to professional investors.
Condition Level: Type 1 Regulated Activity

CE Name: CHAMPAGNE Jean-Marc Beaugrand
CE No.: AKJ299
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: WOLFF Andrew Evan
CE No.: ALF535
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: WOLFF Andrew Evan
CE No.: ALF535
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: ZHANG Ling
CE No.: ALI450
Licence Type: Licensed Representative 
Condition Added:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: AGARWAL Anil Kumar
CE No.: ALL688
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: LEUNG Wai Lan, Ausca
CE No.: AMF450
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: MACDONALD Peter Bremner
CE No.: AMM281
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: MACDONALD Peter Bremner
CE No.: AMM281
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: MANN David Isaac
CE No.: AMV257
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: ROMBOLA Pasquale
CE No.: AMX379
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: TSAY Shu-Tzu
CE No.: ANL892
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: TSAY Shu-Tzu
CE No.: ANL892
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: YEOH Choo Guan
CE No.: ANR771
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: YEOH Choo Guan
CE No.: ANR771
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: YEOH Choo Guan
CE No.: ANR771
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: CHANG Jia-fen
CE No.: ANR900
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: BELTZ Scott Thomas
CE No.: ANS231
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: BELTZ Scott Thomas
CE No.: ANS231
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: ZHANG Yong
CE No.: ANT437
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 Xinsong
CE No.: ANX441
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: LIM James Tai Keun
CE No.: ANY115
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: ZHANG Han
CE No.: AOA223
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 Raymond Paul
CE No.: AOA332
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: SUN Yi
CE No.: AOA787
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: FITZGERALD Paul Gavin
CE No.: AOB567
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: MARTIGNY Florian Armand Julien
CE No.: AOB599
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: CHUN Julian Howe
CE No.: AOB660
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: EMENY Matthew James
CE No.: AOB739
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: HO Tzu-Chuan
CE No.: AOB928
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: PRITCHARD Callum Gary
CE No.: AOD054
Licence Type: Licensed Representative 
Condition Added:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: CAI Veronique Wen
CE No.: AOD776
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 Jae Won
CE No.: AOD815
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: OH Clement Boon Cheong
CE No.: AOE139
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: LO Siu, Lucy
CE No.: AOE656
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: CHAN Ji Kong
CE No.: AOG233
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: WEST David Neil
CE No.: AOG774
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: WEST David Neil
CE No.: AOG774
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: POET David Andrew
CE No.: AOG881
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: LIU Yangyang
CE No.: AOG951
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: LAW Nerida Jane
CE No.: AOH090
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: HAMROCK Henry Patrick
CE No.: AOH362
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: KO I Tlen
CE No.: AOH470
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: LIU Lu
CE No.: AOH905
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: KOHN Benjamin Ross
CE No.: AOH909
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: SANTILLI Filippo
CE No.: AOI871
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 Chi Wing
CE No.: AOI909
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: LEI Qiang
CE No.: AOI913
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: COLEN Michael Edward
CE No.: AOI994
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: CHEN Yin
CE No.: AOI998
Licence Type: Licensed Representative 
Condition Added:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: DABBS IV John Newton
CE No.: AOJ221
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 Michel Kai Tai
CE No.: AOJ780
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: XIANG Pinggui
CE No.: AOJ791
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: COPPLESTONE Francis Anthony
CE No.: AOL148
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: YAN Han
CE No.: AOL679
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: RUTLAND Ronald Wyndham
CE No.: AOL729
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: PEALLING Paul Michael Alfred
CE No.: AOL748
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: SHI Yaping
CE No.: AOM541
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: LAM Mei Ying
CE No.: AOM569
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: MA Shiding
CE No.: AOM707
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: LEUNG Wing Yin, Winnie
CE No.: AOM977
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: DE NATRIS Marc Peter
CE No.: AON498
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: ZENG Wei-Di
CE No.: AON744
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: YAGI Kayoko
CE No.: AON817
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: LAUGHLIN Scott Lee
CE No.: AON862
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: CABELLO AGUADO Ana
CE No.: AOO271
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: YEUNG Chun Hei
CE No.: AOO273
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: BORMANN Frank
CE No.: AOP021
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: BORMANN Frank
CE No.: AOP021
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: BORMANN Frank
CE No.: AOP021
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: HAMMAMI Bayram
CE No.: AOP081
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: FENSTER David Todd
CE No.: AOP114
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: YANG Alex Keun Mo
CE No.: AOP180
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: QIU Lin
CE No.: AOQ538
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: KHER Ravi Shankar
CE No.: AOQ701
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: HUYNH Louis
CE No.: AOQ937
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: STANLEY Robert Charles
CE No.: AOQ941
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: WANG Shu
CE No.: AOR280
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: ANG Marie Stephanie Duque
CE No.: AOR577
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 Sze Man
CE No.: AOR611
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: SAM Yu Lik, Eric
CE No.: AOR646
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: DOBRO Marc
CE No.: AOR776
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 Dennis Pui Yan
CE No.: AOS008
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: LIN Nancy Ying-Chung
CE No.: AOS128
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 James Teik Beng
CE No.: AOS215
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: CHAN Hei Ling
CE No.: AOS238
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: CHAN Wing Chi
CE No.: AOS283
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: PAU Bo Yau, Bonnie
CE No.: AOS288
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: TRACHSEL Mirijam Margrit
CE No.: AOS308
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: TRACHSEL Mirijam Margrit
CE No.: AOS308
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: CHEUNG Lai Ping
CE No.: AOS346
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: GONZALES Maria Lourdes Donata Cortes
CE No.: AOS347
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: EVANS Dominic James
CE No.: AOS353
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: ROSAMILIA Giuseppe
CE No.: AOS359
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: FU Qianqian
CE No.: AOS569
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: YANG Ernie
CE No.: AOT418
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: WHITTINGTON James Steven
CE No.: AOT667
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: CHONG Sze King
CE No.: AOT956
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: QIU Xiaowen
CE No.: AOT974
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: FAN Brian William
CE No.: AOU131
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: LEGASPI Donna Rose Ong
CE No.: AOU143
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: BAILLIE Samuel Jeremy
CE No.: AOU472
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: GUAN Zhixing
CE No.: AOU556
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: LEUNG C Jun Christopher
CE No.: AOU632
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: BEKKU Yumiko
CE No.: AOU635
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: MC LELLAN Daniel Robert
CE No.: AOU637
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: HSU Han-Chiang
CE No.: AOU907
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: MOSER JR Ronald J
CE No.: AOU908
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: FATTORINI Elio Sergio
CE No.: AOV376
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 Youn Jun
CE No.: AOV387
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: TOONG Po Ming, David
CE No.: AOV609
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 Hiu Fung
CE No.: AOV629
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: MC GRATH David Michael
CE No.: AOV652
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: DELACROIX David, Franck, Olivier
CE No.: AOV912
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: SHETTY Ajay Barla
CE No.: AOV922
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: LIN Jing Yuh
CE No.: AOX222
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: CHAN Ching Yee, Marian
CE No.: AOX223
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: WANG Qing
CE No.: AOX224
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: BLACKBURN Adrian James
CE No.: AOY546
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: KWOK Hiu Lam
CE No.: AOY903
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: WU Wai Lun
CE No.: APB314
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: LOKE Helen Man
CE No.: APB434
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: IP Ching Wah Joyce
CE No.: ADX397
Licence Type: Licensed Representative 
Condition Added:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: CHEN Wen-Chung
CE No.: AEB983
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: CHEN Wen-Chung
CE No.: AEB983
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 2 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 2 Regulated Activity

CE Name: ZHANG Jian Bin
CE No.: AGA700
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: YU Dan Dan, Jennifer
CE No.: AHR314
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: CHIN Cheryl Pi I
CE No.: AHT190
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: OVERDIJK Harmen Christiaan
CE No.: ALR588
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: LEUNG Wai Lan, Ausca
CE No.: AMF450
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 2 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 2 Regulated Activity

CE Name: MACDONALD Peter Bremner
CE No.: AMM281
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: ROMBOLA Pasquale
CE No.: AMX379
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: FITZGERALD Paul Gavin
CE No.: AOB567
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: CHUN Julian Howe
CE No.: AOB660
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: EMENY Matthew James
CE No.: AOB739
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: CHOI Jae Won
CE No.: AOD815
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: LO Siu, Lucy
CE No.: AOE656
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: CHAN Ji Kong
CE No.: AOG233
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: WEST David Neil
CE No.: AOG774
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: WEST David Neil
CE No.: AOG774
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 2 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 2 Regulated Activity

CE Name: POET David Andrew
CE No.: AOG881
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: KOHN Benjamin Ross
CE No.: AOH909
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: DABBS IV John Newton
CE No.: AOJ221
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: LEE Michel Kai Tai
CE No.: AOJ780
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: PEALLING Paul Michael Alfred
CE No.: AOL748
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: SHI Yaping
CE No.: AOM541
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: LEUNG Wing Yin, Winnie
CE No.: AOM977
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: DE NATRIS Marc Peter
CE No.: AON498
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: YAGI Kayoko
CE No.: AON817
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: FENSTER David Todd
CE No.: AOP114
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: QIU Lin
CE No.: AOQ538
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: KHER Ravi Shankar
CE No.: AOQ701
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: STANLEY Robert Charles
CE No.: AOQ941
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: SAM Yu Lik, Eric
CE No.: AOR646
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: ROSAMILIA Giuseppe
CE No.: AOS359
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: WHITTINGTON James Steven
CE No.: AOT667
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: LEGASPI Donna Rose Ong
CE No.: AOU143
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: LEUNG C Jun Christopher
CE No.: AOU632
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: BEKKU Yumiko
CE No.: AOU635
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: MOSER JR Ronald J
CE No.: AOU908
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: WU Hiu Fung
CE No.: AOV629
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: SHETTY Ajay Barla
CE No.: AOV922
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: LIN Jing Yuh
CE No.: AOX222
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: CHAN Ching Yee, Marian
CE No.: AOX223
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: CARON Francois-Alexandre, Claude, Thierry
CE No.: AOX957
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: WU Wai Lun
CE No.: APB314
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: MAK David K. W.
CE No.: ACL071
Licence Type: Licensed Representative 
Condition Removed:
For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients.
Condition Level: Type 3 Regulated Activity

CE Name: LI Sheung Ling
CE No.: ACO120
Licence Type: Licensed Representative 
Condition Removed:
For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients.
Condition Level: Type 3 Regulated Activity

CE Name: FUNG Chung Min, Newson
CE No.: ADI064
Licence Type: Licensed Representative 
Condition Removed:
For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients.
Condition Level: Type 3 Regulated Activity

CE Name: FU Wing Shing
CE No.: ADI908
Licence Type: Licensed Representative 
Condition Removed:
For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients.
Condition Level: Type 3 Regulated Activity

CE Name: WONG Ho Ki, Nick
CE No.: ADR217
Licence Type: Licensed Representative 
Condition Removed:
For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients.
Condition Level: Type 3 Regulated Activity

CE Name: CHAN Kam Man
CE No.: AEH593
Licence Type: Licensed Representative 
Condition Removed:
For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients.
Condition Level: Type 3 Regulated Activity

CE Name: LIU Wing Tak
CE No.: AGD040
Licence Type: Licensed Representative 
Condition Removed:
For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients.
Condition Level: Type 3 Regulated Activity

CE Name: TIN Yip Wing
CE No.: AGF342
Licence Type: Licensed Representative 
Condition Removed:
For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients.
Condition Level: Type 3 Regulated Activity

CE Name: LI Ping Sun
CE No.: AHN494
Licence Type: Licensed Representative 
Condition Removed:
For type 3 regulated activity, the licensee shall not provide discretionary account services.
Condition Level: Type 3 Regulated Activity

CE Name: CHENG Shun Kin, Kerwin
CE No.: AIG220
Licence Type: Licensed Representative 
Condition Removed:
For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients.
Condition Level: Type 3 Regulated Activity

CE Name: ZHANG Nan
CE No.: AMO537
Licence Type: Licensed Representative 
Condition Added:
For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients.
Condition Level: Type 3 Regulated Activity

CE Name: CHAN Oliver B.
CE No.: ANM357
Licence Type: Licensed Representative 
Condition Added:
For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients.
Condition Level: Type 3 Regulated Activity

CE Name: POON Ming Bor, Pat
CE No.: AAC611
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: CHAN Kar Yue, Mark
CE No.: ABB625
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: CHAN Kar Yue, Mark
CE No.: ABB625
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: TONG Wing Sze, Mimi
CE No.: ABE943
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: TONG Wing Sze, Mimi
CE No.: ABE943
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: MUMFORD Virginia Anne
CE No.: ABR427
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: KWAN Chi Shing, Stephen
CE No.: ACH541
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: KWAN Chi Shing, Stephen
CE No.: ACH541
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: LUK Tai Choi
CE No.: ACL643
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: GO Mark Damion
CE No.: ACZ614
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: LAM Wai Hung, Andy
CE No.: ADB647
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: LAM Wai Hung, Andy
CE No.: ADB647
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: CHAN Man Wai, Marcella
CE No.: ADH994
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: CHAN Man Wai, Marcella
CE No.: ADH994
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: CHUNG Kin Shun, Jimmy
CE No.: ADK252
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: CHUNG Kin Shun, Jimmy
CE No.: ADK252
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: LEE Hon Kit
CE No.: ADO606
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: LEE Hon Kit
CE No.: ADO606
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: YEUNG Wai Fai, Andrew
CE No.: AFU161
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: YEUNG Wai Fai, Andrew
CE No.: AFU161
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: FANG Chih-Shang
CE No.: AFV353
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: SHIN Kin Man
CE No.: AFW001
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: SHIN Kin Man
CE No.: AFW001
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: GUO Yuantao
CE No.: AFW884
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: MEIER Thomas Roland
CE No.: AGB026
Licence Type: Licensed Representative 
Condition Removed:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: LAU Joseph Han Wai
CE No.: AGH168
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: WOODTHORPE Alexander Antony
CE No.: AHJ154
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: SIN Kin Chung
CE No.: AHR461
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: SIN Kin Chung
CE No.: AHR461
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: KO Tsun Hung, Nelson
CE No.: AHX246
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: KO Tsun Hung, Nelson
CE No.: AHX246
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: YUEN Ka Kin
CE No.: AIR497
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: YUEN Ka Kin
CE No.: AIR497
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: FORD Ryan
CE No.: AJN625
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: FORD Ryan
CE No.: AJN625
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
The licensee shall only carry on the regulated activity of advising on securities in relation to unit trusts and mutual funds.
Condition Level: Type 4 Regulated Activity

CE Name: TSE Sim Kuen, Moon
CE No.: AKY538
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: WAN Mun Wah
CE No.: ALF372
Licence Type: Licensed Representative 
Condition Removed:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: WOLFF Andrew Evan
CE No.: ALF535
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: WOLFF Andrew Evan
CE No.: ALF535
Licence Type: Licensed Representative 
Condition Removed:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: CHOW Wing
CE No.: ALK717
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: AGARWAL Anil Kumar
CE No.: ALL688
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: TSAY Shu-Tzu
CE No.: ANL892
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: TSAY Shu-Tzu
CE No.: ANL892
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: CHANG Jia-fen
CE No.: ANR900
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: TEO Chon Kiat
CE No.: ANV014
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: ANGGRAINI Vivi
CE No.: AOC741
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: PIDGEON Thomas Graham
CE No.: AOD603
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: CHEN Pei-Wen
CE No.: AOE209
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: CHEN Pei-Wen
CE No.: AOE209
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: LAM Fong Yan
CE No.: AOE392
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: CHU Hiu Ying, Anita
CE No.: AOE787
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: CHIANG Ngee Onn Peter
CE No.: AOF983
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: XU Yunyi
CE No.: AOG221
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: FONG Kam Wah
CE No.: AOG701
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: CHAN Tak Yau, Claire
CE No.: AOG889
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: LAW Nerida Jane
CE No.: AOH090
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: HAMROCK Henry Patrick
CE No.: AOH362
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: KO I Tlen
CE No.: AOH470
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: LIU Lu
CE No.: AOH905
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: SANTILLI Filippo
CE No.: AOI871
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: LI Pan
CE No.: AOI874
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: LEE Chi Wing
CE No.: AOI909
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: COLEN Michael Edward
CE No.: AOI994
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: CHEN Yin
CE No.: AOI998
Licence Type: Licensed Representative 
Condition Added:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: WONG Chung Kin
CE No.: AOJ228
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: TO Wing Yan
CE No.: AOJ232
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: MA Shiding
CE No.: AOM707
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: DING Ying
CE No.: AOP076
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: KIM Dong Il
CE No.: AOP098
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: LO Ching Ting
CE No.: AOQ576
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: MA Jibo
CE No.: AOR544
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: DOBRO Marc
CE No.: AOR776
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: LIN Nancy Ying-Chung
CE No.: AOS128
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: ZHAO Cui
CE No.: AOS271
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: CHAN Wing Chi
CE No.: AOS283
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: CHUNG Jago Hung
CE No.: AOS345
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: YANG Ernie
CE No.: AOT418
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: NG Ka Lun, Michael
CE No.: AOT753
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: FATTORINI Elio Sergio
CE No.: AOV376
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: KIM Youn Jun
CE No.: AOV387
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: LIU Bin
CE No.: AOV460
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: TOONG Po Ming, David
CE No.: AOV609
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: MC GRATH David Michael
CE No.: AOV652
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: DELACROIX David, Franck, Olivier
CE No.: AOV912
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: TSAI Chung-Ho
CE No.: AOV926
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: LIU Eric Yan Chi
CE No.: AOW767
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: YEUNG Ling Yan
CE No.: AOX091
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: WANG Qing
CE No.: AOX224
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: YU Wang Tat, Victor
CE No.: AOX663
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: LEUNG Man Fung
CE No.: AOX679
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: HON Wai Fong
CE No.: AOY391
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: CHAN Po Chung
CE No.: AOY467
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: BLACKBURN Adrian James
CE No.: AOY546
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: LOKE Helen Man
CE No.: APB434
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: OVERDIJK Harmen Christiaan
CE No.: ALR588
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 5 Regulated Activity

CE Name: DE NATRIS Marc Peter
CE No.: AON498
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 5 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 5 Regulated Activity

CE Name: KWONG Wang Pok
CE No.: AAD943
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: WONG Kun Kim
CE No.: AAG781
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: LAI Ping Wah
CE No.: ABV829
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: LEE Raymond Yuman
CE No.: ACF125
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: MA Chun Wah
CE No.: ACP262
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: CHAN Man Wai, Marcella
CE No.: ADH994
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: CHAN Man Wai, Marcella
CE No.: ADH994
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission.
Condition Level: Type 6 Regulated Activity

CE Name: CHAN Man Wai, Marcella
CE No.: ADH994
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: CHOI Yin Bing
CE No.: ADM634
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission.
Condition Level: Type 6 Regulated Activity

CE Name: LEE Tin Yau, Eugene
CE No.: ADV918
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: LEE Tin Yau, Eugene
CE No.: ADV918
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: CHEUNG David Kwok-wai
CE No.: AEJ019
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: CHEUNG Wai Kay
CE No.: AEK987
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: WAN Ka Hung
CE No.: AEP391
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: KARNIK Deven Arvind
CE No.: AFS152
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: KARNIK Deven Arvind
CE No.: AFS152
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission.
Condition Level: Type 6 Regulated Activity

CE Name: YEUNG Wai Fai, Andrew
CE No.: AFU161
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: YEUNG Wai Fai, Andrew
CE No.: AFU161
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: YEUNG Wai Fai, Andrew
CE No.: AFU161
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission.
Condition Level: Type 6 Regulated Activity

CE Name: WONG Wai Leung
CE No.: AFW562
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: WONG Wai Leung
CE No.: AFW562
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: WONG Wai Leung
CE No.: AFW562
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: LIU Xiaohong
CE No.: AGC636
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: LIU Xiaohong
CE No.: AGC636
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: LIU Chi Wai
CE No.: AGF471
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: LIU Chi Wai
CE No.: AGF471
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: HO Mei Tak
CE No.: AGJ681
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: HO Mei Tak
CE No.: AGJ681
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 6 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: HO Mei Tak
CE No.: AGJ681
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission.
Condition Level: Type 6 Regulated Activity

CE Name: LEE Weihan
CE No.: AGN723
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: WOODTHORPE Alexander Antony
CE No.: AHJ154
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: ZHANG Ling
CE No.: ALI450
Licence Type: Licensed Representative 
Condition Added:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: HASEK Francis Thure
CE No.: ANQ051
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 6 regulated activity, the licensee must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission, act together with another adviser (to the client) not subject to this condition.
Condition Level: Type 6 Regulated Activity

CE Name: HASEK Francis Thure
CE No.: ANQ051
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission.
Condition Level: Type 6 Regulated Activity

CE Name: CHUNG Raymond Paul
CE No.: AOA332
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: SUN Yi
CE No.: AOA787
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: ANGGRAINI Vivi
CE No.: AOC741
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: LIU Yangyang
CE No.: AOG951
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: CHEN Yin
CE No.: AOI998
Licence Type: Licensed Representative 
Condition Added:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: SONG Xinyi
CE No.: AOJ225
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: YAN Han
CE No.: AOL679
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: MA Shiding
CE No.: AOM707
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: CHEN Wei-Chieh
CE No.: AOO888
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: KIM Dong Il
CE No.: AOP098
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: ANG Marie Stephanie Duque
CE No.: AOR577
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: DOBRO Marc
CE No.: AOR776
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: LEE Dennis Pui Yan
CE No.: AOS008
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: LIM James Teik Beng
CE No.: AOS215
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: CHUNG Jago Hung
CE No.: AOS345
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: CHEUNG Lai Ping
CE No.: AOS346
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: GONZALES Maria Lourdes Donata Cortes
CE No.: AOS347
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: FU Qianqian
CE No.: AOS569
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: LIU Yanchen
CE No.: AOU707
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: KIM Youn Jun
CE No.: AOV387
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: LAM Wing Yee
CE No.: AOV908
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: SETO John Gin Chung
CE No.: AAA447
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 9 Regulated Activity

CE Name: KWONG Wang Pok
CE No.: AAD943
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of futures contracts for another person.
Condition Level: Type 9 Regulated Activity

CE Name: YOUNG HERRIES Robert Alexander
CE No.: AAN555
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 9 regulated activity, the licensee shall only provide services to Tree Line Investment Management Limited and its affiliates.
Condition Level: Type 9 Regulated Activity

CE Name: LUK Simon
CE No.: AAV295
Licence Type: Licensed Representative - Responsible Officer 
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: CHAN Kar Yue, Mark
CE No.: ABB625
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: CHAN Kar Yue, Mark
CE No.: ABB625
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 9 Regulated Activity

CE Name: LI Lap Sun
CE No.: ABH763
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 9 Regulated Activity

CE Name: CHAN Tsun Man, Norman
CE No.: ABW233
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of futures contracts for another person.
Condition Level: Type 9 Regulated Activity

CE Name: LI Kwok Tung
CE No.: ABZ281
Licence Type: Licensed Representative - Responsible Officer 
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: KOH Choy
CE No.: ACF185
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of futures contracts for another person unless it is for hedging purpose only.
Condition Level: Type 9 Regulated Activity

CE Name: LUK Tai Choi
CE No.: ACL643
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 9 Regulated Activity

CE Name: SITABKHAN Zaheer Abbas
CE No.: ACZ279
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 9 regulated activity, the licensee shall only provide services to Tree Line Investment Management Limited and its affiliates.
Condition Level: Type 9 Regulated Activity

CE Name: LAM Wai Hung, Andy
CE No.: ADB647
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: LAM Wai Hung, Andy
CE No.: ADB647
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 9 Regulated Activity

CE Name: YIM Kam Kin
CE No.: ADK344
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of futures contracts for another person.
Condition Level: Type 9 Regulated Activity

CE Name: CHEUNG Tei Sing, Jamie
CE No.: ADM984
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: CHEUNG Tei Sing, Jamie
CE No.: ADM984
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 9 Regulated Activity

CE Name: LEE Hon Kit
CE No.: ADO606
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: LEE Hon Kit
CE No.: ADO606
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 9 Regulated Activity

CE Name: WONG Foelan
CE No.: ADQ592
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 9 Regulated Activity

CE Name: TRAN Chuen Wah, John
CE No.: ADR230
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of securities other than for his principal, the group companies of his principal and/or their affiliates.
Condition Level: Type 9 Regulated Activity

CE Name: CHEUNG Pui Yee, Denise
CE No.: ADU152
Licence Type: Licensed Representative - Responsible Officer 
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: NEWMAN James Shields
CE No.: AEF921
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: NEWMAN James Shields
CE No.: AEF921
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 9 Regulated Activity

CE Name: CAMPION James Edmund
CE No.: AEQ897
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: TAN Suat Wah
CE No.: AEZ709
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 9 regulated activity, the licensee shall only provide services to Tree Line Investment Management Limited and its affiliates.
Condition Level: Type 9 Regulated Activity

CE Name: ZHONG Tingting
CE No.: AFD556
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: TSE Yvonne
CE No.: AFT821
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: NGAN Bronson Lawrence
CE No.: AGA247
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 9 Regulated Activity

CE Name: CHAN Kong
CE No.: AGF540
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 9 Regulated Activity

CE Name: IP Yu Chak
CE No.: AGR408
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 9 Regulated Activity

CE Name: FORD Ryan
CE No.: AJN625
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 9 Regulated Activity

CE Name: FORD Ryan
CE No.: AJN625
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
The licensee shall only carry on the regulated activity of asset management in relation to unit trusts and mutual funds.
Condition Level: Type 9 Regulated Activity

CE Name: FREER Bradford Frazer
CE No.: AKO785
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: BYRNE Robert Michael
CE No.: AKT402
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of futures contracts for another person.
Condition Level: Type 9 Regulated Activity

CE Name: WAN Mun Wah
CE No.: ALF372
Licence Type: Licensed Representative 
Condition Removed:
For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 9 Regulated Activity

CE Name: WAN Mun Wah
CE No.: ALF372
Licence Type: Licensed Representative 
Condition Removed:
For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of futures contracts for another person.
Condition Level: Type 9 Regulated Activity

CE Name: SUN Yu Feng
CE No.: ALG408
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 9 Regulated Activity

CE Name: CHOW Wing
CE No.: ALK717
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 9 Regulated Activity

CE Name: ARIMA Einoshin
CE No.: AMJ215
Licence Type: Licensed Representative - Responsible Officer 
Condition Added:
For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 9 Regulated Activity

CE Name: WEI Hao
CE No.: AMJ786
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: LEWIS Jon Robert
CE No.: ANS011
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: TEO Chon Kiat
CE No.: ANV014
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: LIU Shuyue
CE No.: ANY092
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: CHO Kevin Yong Joon
CE No.: AOB354
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: PIDGEON Thomas Graham
CE No.: AOD603
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: JOSHI Samir
CE No.: AOE036
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: CHIANG Ngee Onn Peter
CE No.: AOF983
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: CHAN Tak Yau, Claire
CE No.: AOG889
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: LAW Nerida Jane
CE No.: AOH090
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: HAMROCK Henry Patrick
CE No.: AOH362
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: LIU Lu
CE No.: AOH905
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: COLEN Michael Edward
CE No.: AOI994
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: LAUGHLIN Scott Lee
CE No.: AON862
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: TSE Anthony Wai Chung
CE No.: AOQ867
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: KITAGAWA Daisuke
CE No.: AOR839
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: CHONG Sze King
CE No.: AOT956
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: KIM Youn Jun
CE No.: AOV387
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: TSAI Chung-Ho
CE No.: AOV926
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: SHPIZ Andrew Gregg
CE No.: APD106
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 9 Regulated Activity

CE Name: YU Bella Hoi Ying
CE No.: AEW911
Licence Type: Licensed Representative 
Condition Added:
The licensee:
(1) shall not carry out the regulated activity(ies) in Hong Kong for more than 30 days in each calendar year; and
(2) shall not provide related services to any person other than a professional investor unless the licensee is accompanied at all times by a licensed person in performing the regulated activity(ies) in Hong Kong.  The term "professional investor" is as defined in Part 1 of Schedule 1 to the Securities and Futures Ordinance but does not include any person of a class which is prescribed by the Securities and Futures (Professional Investor) Rules.

Condition Level: Licence

CE Name: YU Bella Hoi Ying
CE No.: AEW911
Licence Type: Licensed Representative 
Condition Removed:
The licensee shall not carry out the regulated activity(ies) in Hong Kong for more than 30 days in each calendar year and shall at all times be accompanied by a licensed person in performing the regulated activity(ies) in Hong Kong.
Condition Level: Licence

CE Name: ZHANG Ling
CE No.: ALI450
Licence Type: Licensed Representative 
Condition Removed:
The licensee shall not carry out the regulated activity(ies) in Hong Kong for more than 30 days in each calendar year and shall at all times be accompanied by a licensed person in performing the regulated activity(ies) in Hong Kong.
Condition Level: Licence

CE Name: HODGE Douglas Michael
CE No.: AMO329
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
The licensee shall not carry out the regulated activity(ies) in Hong Kong for more than 30 days in each calendar year and shall at all times be accompanied by a licensed person in performing the regulated activity(ies) in Hong Kong.
Condition Level: Licence

CE Name: CHEN Yin
CE No.: AOI998
Licence Type: Licensed Representative 
Condition Removed:
The licensee shall not carry out the regulated activity(ies) in Hong Kong for more than 30 days in each calendar year and shall at all times be accompanied by a licensed person in performing the regulated activity(ies) in Hong Kong.
Condition Level: Licence

CE Name: WEE Lee Choo
CE No.: AOL064
Licence Type: Licensed Representative 
Condition Removed:
The licence is conditional upon no adverse comment on the licensee being subsequently received from The Monetary Authority of Singapore.
Condition Level: Licence

CE Name: BARRY Matthieu Francois Marie
CE No.: AOL436
Licence Type: Licensed Representative 
Condition Removed:
The licence is conditional upon no adverse comment on the licensee being subsequently received from Eurex Deutschland.
Condition Level: Licence

CE Name: TU Chia-le Carol
CE No.: AOT598
Licence Type: Licensed Representative 
Condition Removed:
The licence is conditional upon no adverse comment on the licensee being subsequently received from the Securities & Futures Bureau, and Taiwan Securities & Futures Institute.
Condition Level: Licence

CE Name: TU Chia-le Carol
CE No.: AOT598
Licence Type: Licensed Representative 
Condition Removed:
The licence is conditional upon no adverse comment on the licensee [or name of person being vetted] being subsequently received from the police [or name of regulatory organization].
Condition Level: Licence

CE Name: KWOK Hoi Ming
CE No.: AOY340
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
The licence is conditional upon no adverse comment on the licensee being subsequently received from the police.
Condition Level: Licence

CE Name: KWOK Hoi Ming
CE No.: AOY340
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
The licence is conditional upon no adverse comment on the licensee being subsequently received from Australian Securities and Investments Commission.
Condition Level: Licence

CONDITION VARIATIONS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 06/2007

CE Name: AN Sung Jin
CE No.: ANW184
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: AN Sung Jin
CE No.: ANW184
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: AN Sung Jin
CE No.: ANW184
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: AN Yuqing
CE No.: AON940
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: CHAN Hoi Yen
CE No.: AOE029
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: CHAN Hoi Yen
CE No.: AOE029
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: CHEN Jianhao
CE No.: ANU185
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: CHEN Jianhao
CE No.: ANU185
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: CHENOWETH James Thomas
CE No.: AEK024
Licence Type: Licensed Representative - Responsible Officer 
Condition Removed:
For Type 2 regulated activity, 
1.  The licensee shall not conduct business other than -
     (a) communicating offers to effect dealings in futures contracts or options contracts to an exchange participant of a recognized exchange company or a specified exchange, in the names of the persons from whom those offers are received; and
     (b) introducing persons to an exchange participant of a recognized exchange company or a specified exchange, in order that they may -
           (i) effect dealings in futures contracts or options contracts; or
           (ii) make offers to deal in futures contracts or options contracts; and
2.  In connection with the offers communicated or the persons so introduced, the licensee shall not incur any liability to any person except for its own negligence, wilful default or fraud.
Condition Level: Type 2 Regulated Activity

CE Name: CHEUNG Wai Chung
CE No.: AHM934
Licence Type: Licensed Representative 
Condition Removed:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: CHEUNG Wai Chung
CE No.: AHM934
Licence Type: Licensed Representative 
Condition Removed:
For Type 9 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 9 Regulated Activity

CE Name: CHEUNG Wai Ho, Michael
CE No.: AOY084
Licence Type: Licensed Representative (Provisional Licence)
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: CHUNG Derek Leigh
CE No.: AOD515
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: CRAWFORD Justin David
CE No.: ANZ953
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: CRAWFORD Justin David
CE No.: ANZ953
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: DALGETY Matthew Hilton
CE No.: AOE813
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: DALGETY Matthew Hilton
CE No.: AOE813
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: GOLEZ Paul Alexis Torrillo
CE No.: AOG229
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: GOLEZ Paul Alexis Torrillo
CE No.: AOG229
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: GUI Xiaojie
CE No.: AOH889
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: GUI Xiaojie
CE No.: AOH889
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: HAN Jen-yi, Mark
CE No.: ANP210
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: HUANG Yin
CE No.: AOJ769
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: KANE Leslie Caroline
CE No.: ANG857
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: LAU Lai Ching, Brenda
CE No.: AOC950
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: LAU Man Kit
CE No.: ANY113
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: LEUNG Ka Man
CE No.: AJO081
Licence Type: Licensed Representative 
Condition Removed:
For Type 6 regulated activity, the licensee shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Repurchases issued by the Commission.
Condition Level: Type 6 Regulated Activity

CE Name: LI Zhifa
CE No.: AGL136
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 Zhifa
CE No.: AGL136
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 6 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 6 Regulated Activity

CE Name: LIN Jingjun
CE No.: ANR626
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 1 Regulated Activity

CE Name: LIN Jingjun
CE No.: ANR626
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: LOTHIAN Scott Alan
CE No.: ANM176
Licence Type: Licensed Representative 
Condition Removed:
For Type 4 regulated activity ("the activity"), the licensee must in his capacity as a responsible officer, when actively participating in or when directly supervising the business of the activity, do so under the advice of another responsible officer who is: 
(a)  accredited to the principal concerned of the licensee in respect of the activity; and
(b)  not subject to this condition.
Condition Level: Type 4 Regulated Activity

CE Name: LOTHIAN Scott Alan
CE No.: ANM176
Licence Type: Licensed Representative 
Condition Removed:
For Type 4 regulated activity, the licensee shall only engage in advising on collective investment schemes.  The term 'collective investment scheme' is as defined under the Securities and Futures Ordinance
Condition Level: Type 4 Regulated Activity

CE Name: NEWNHAM Stewart John
CE No.: AOB646
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: NEWNHAM Stewart John
CE No.: AOB646
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: PRITCHARD Callum Gary
CE No.: AOD054
Licence Type: Licensed Representative 
Condition Removed:
The licensee shall not carry out the regulated activity(ies) in Hong Kong for more than 30 days in each calendar year and shall at all times be accompanied by a licensed person in performing the regulated activity(ies) in Hong Kong.
Condition Level: Licence

CE Name: STEPHENS John William
CE No.: AFT822
Licence Type: Licensed Representative 
Condition Removed:
You are approved as a responsible officer of Sattva Investment Advisors Limited in respect of Type 5 regulated activity on condition that in relation to Type 5 regulated activity, you must act under the advice of another responsible officer of Sattva Investment Advisors Limited approved for that regulated activity without this condition.
Condition Level: Type 5 Regulated Activity

CE Name: SUNG Egwin Ling Feng
CE No.: AOB637
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: SUNG Egwin Ling Feng
CE No.: AOB637
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: WALLACE Philip Robert
CE No.: ANZ783
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: WALLACE Philip Robert
CE No.: ANZ783
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: WAN Suet Fei
CE No.: AOD518
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: WAN Suet Fei
CE No.: AOD518
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity

CE Name: WONG Eugene
CE No.: AMH294
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 Hui Ling, Christina
CE No.: AOD618
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 Hui Ling, Christina
CE No.: AOD618
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 2 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 2 Regulated Activity

CE Name: WONG Man Fai
CE No.: AMC405
Licence Type: Licensed Representative 
Condition Removed:
For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients.
Condition Level: Type 3 Regulated Activity

CE Name: YU Miu Ki
CE No.: AJL686
Licence Type: Licensed Representative 
Condition Removed:
For Type 9 regulated activity, the licensee shall not provide a service of managing a portfolio of futures contracts for another person.
Condition Level: Type 9 Regulated Activity

CE Name: ZHANG Nan
CE No.: AMO537
Licence Type: Licensed Representative 
Condition Removed:
For Type 3 regulated activity, the licensee shall not provide discretionary account services to clients.
Condition Level: Type 3 Regulated Activity

CE Name: ZHU Chen
CE No.: AOG232
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: ZHU Chen
CE No.: AOG232
Licence Type: Licensed Representative 
Condition Removed:
This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: 
(i)  upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; or
(ii)  6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), 
whichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.
Condition Level: Type 4 Regulated Activity