REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2009CE Name CE No. Licence Type Types of Regulated ActivityAlpha Capital Limited, The ACQ885 Licensed Corporation 6Dresdner Kleinwort Securities (Asia) Limited AAD661 Licensed Corporation 1, 4, 6ICEA Capital Limited ACP064 Licensed Corporation 1, 6JAFCO Investment (Hong Kong) Limited ABL563 Licensed Corporation 4, 9MatlinPatterson Advisers (Asia) Limited AHT396 Licensed Corporation 4Olympus Capital Asia Advisors Limited ANH330 Licensed Corporation 9Polygon Investment Partners HK Limited ANN414 Licensed Corporation 9Tremont Capital Management (Asia) Limited AMY188 Licensed Corporation 1AHLEFELDT-LAURVIG Jannik ARO577 Licensed Representative 1, 6AHYA Chetan Kishore ALI601 Licensed Representative 1AN Peng APO572 Licensed Representative 1, 4, 6ANG Gim Peng AMT922 Licensed Representative 1, 2ARCULLI Kim Melanie AAA119 Licensed Representative 1, 2ASUNCION Michael APG516 Licensed Representative 4, 6BABINGTON Brooke Marie ACP987 Licensed Representative 1, 4BEESON James Michael ANG801 Licensed Representative 4, 5, 9BROWN Alison Rosemary AQR075 Licensed Representative 4, 9BRUNNER Nikolaus Paul AOJ207 Licensed Representative 1, 2CAESAR Gus Cassius ALI657 Licensed Representative 4CASTELLAS William John AOU557 Licensed Representative 4CHAN Chun Keung AFB938 Licensed Representative 4CHAN Chun Yeung AOV616 Licensed Representative 1, 4CHAN Hang Ting ARG755 Licensed Representative 1CHAN Ka Wing ARM730 Licensed Representative 1CHAN Kwai Fong ANB148 Licensed Representative 4CHAN Lok Sze, Lucia AOB147 Licensed Representative 4CHAN Mei Har ANJ354 Licensed Representative 1, 4CHAN Ming To ANT623 Licensed Representative 4CHAN Pui Chi ADX371 Licensed Representative 1CHAN Sau Man APW808 Licensed Representative 4CHAN Siu Kei, Edmund ADU361 Licensed Representative 1, 9CHAN Tsz Lap APD188 Licensed Representative 1CHAN Tsz Yuk AGM491 Licensed Representative 1, 2, 4, 9CHAN Wai Lun ARA729 Licensed Representative 1CHAN Wing Hung, Paul APY815 Licensed Representative 4CHAN Yau Fung, Canice ABM735 Licensed Representative 1

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2009CE Name CE No. Licence Type Types of Regulated ActivityCHANG Celene AKX072 Licensed Representative 4CHANG Kai-Yu AOU802 Licensed Representative 1, 4CHAY Kai Kong ANQ558 Licensed Representative 9CHEN Scott AIC497 Licensed Representative 4, 6CHEN Te-Ming ARE447 Licensed Representative 1CHEN Ying-Chih ANG323 Licensed Representative 1CHEN Yuanhai APL887 Licensed Representative 4CHEN Yu-Cheng ATR465 Licensed Representative 4CHENG Gene Chung-cheng AIX522 Licensed Representative 1CHENG Hiu, Alyssa AEZ942 Licensed Representative 1CHENG Hong Nap AQK218 Licensed Representative 1, 4CHENG Kuang-Chih ART656 Licensed Representative 1CHEUNG Fan Lan AGO252 Licensed Representative 4CHEUNG Ho Lap ATO918 Licensed Representative 4CHEUNG Hoi Cheung, Tony ARV302 Licensed Representative 1, 2CHEUNG King Han, Caris ARL831 Licensed Representative 4CHEUNG Sze Mei, Florence AFS329 Licensed Representative 9CHEUNG Yin Man AOJ223 Licensed Representative 4CHIU Yee Wan AOZ097 Licensed Representative 1CHO Kwang Hyun AQM640 Licensed Representative 4, 5, 9CHO Michelle Boram AMF325 Licensed Representative 4CHOI Hau Chun AEV163 Licensed Representative 4CHONG Sai Jun AQF146 Licensed Representative 4CHONG Yiu Wah ANI739 Licensed Representative 1, 9CHOU Joseph Yun Ta ANM963 Licensed Representative 1, 2CHOW Hoi Wing, Hyde APL760 Licensed Representative 1CHOW Man Sze, Angelina ADB710 Licensed Representative 1, 9CHOW Suk Ling, Katie AFM052 Licensed Representative 4CHOW Yiu Tung AFY924 Licensed Representative 4CHOY Tak Yee APN562 Licensed Representative 1CHU Pik Wan AQU729 Licensed Representative 4CHU Raymond Tak Hing AAY116 Licensed Representative 1CHU Tak Keung, John ACI667 Licensed Representative 1CHUNG Chak Chuen AJE988 Licensed Representative 1, 2CHUNG Chak Man APH261 Licensed Representative 1, 2, 4CHUNG Ka Yiu ANX812 Licensed Representative 4, 6

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2009CE Name CE No. Licence Type Types of Regulated ActivityCHUNG Kin Yat ALU466 Licensed Representative 1, 2, 3, 4CLEMENTSON Christian James ANE031 Licensed Representative 1CURREY Stuart Dalyn AQU056 Licensed Representative 1D'ARIENZO Daniele ASO705 Licensed Representative 1, 9DIVECHA Sachin Gangaram ARB849 Licensed Representative 9DOE Jocelyn Jee Eun AOD001 Licensed Representative 1, 6DORFMAN David Austin APO575 Licensed Representative 1, 4, 6ELIOT Francis Granville George APJ771 Licensed Representative 1, 2, 4, 5ESCHER Bernhard Wolfgang Gotthard ANY023 Licensed Representative 1, 4ESPINELI Reynaldo Miguel Nazareno ARM746 Licensed Representative 1, 4, 6, 9FAN Ching Yee AHR797 Licensed Representative 1, 6FANG Hong ALY689 Licensed Representative 1FOK See Chun, Christopher ARB500 Licensed Representative 1FON Wen Kar, Willy ABX299 Licensed Representative 1, 4FUJII Akemi ANP294 Licensed Representative 1, 2FUNG Ka Fai, Karfield AEV682 Licensed Representative 1, 2GEFFROY Eric Laurent Raymond ART533 Licensed Representative 1, 2GLOVER Jethro Alexander John AED015 Licensed Representative 1, 2, 7GRAHAM William James Angus ALA252 Licensed Representative 4GU Ming APH410 Licensed Representative 1, 4, 6GUPTA Peeyush ARU130 Licensed Representative 4HARTWRIGHT Benjamin Gareth ANQ334 Licensed Representative 1, 4, 6HE Lang AJB993 Licensed Representative 4HO Foon Wah AAB235 Licensed Representative 1, 4HO Ka Shun AQR073 Licensed Representative 1, 6HO Kam Hing, Ronny AEQ548 Licensed Representative 1, 4, 9HO Sau Yee AQN523 Licensed Representative 4HO Shounan ARO474 Licensed Representative 1, 4HO Yuen Man AQU622 Licensed Representative 4, 9HODGSON Lesley Elaine AMX437 Licensed Representative 1HON Miu Lin AGO434 Licensed Representative 4HON Wai Ling AQX515 Licensed Representative 1, 4HON Yu AMQ800 Licensed Representative 4HOPSON Anthony Francis AOO457 Licensed Representative 1, 4, 6HU Chang Yu ARD370 Licensed Representative 6HU Jinhuan AQV787 Licensed Representative 1

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2009CE Name CE No. Licence Type Types of Regulated ActivityHUANG Chunhua ACH583 Licensed Representative 4HUANG Hanshui ALQ744 Licensed Representative 4HUNG CHOI Grecia Wing Yee ARU588 Licensed Representative 1, 2, 3HUNG Suk Yan, Suan ADU031 Licensed Representative 1HUNG Yiu Leung APS957 Licensed Representative 4JAMES Shane Charles ATL423 Licensed Representative 9JIANG Minming AQG749 Licensed Representative 1, 4, 6JUDGE Matthew Edward ARV069 Licensed Representative 1, 4, 6KAM Ka Wah ACW770 Licensed Representative 4, 9KAO Yu-ling ARA755 Licensed Representative 1KAPOOR Raghav ASQ212 Licensed Representative 1KIM David Jaemin AMC260 Licensed Representative 4, 6KNEELAND JR John Lyman ARO117 Licensed Representative 4KOENIG Robert Eduard AQQ758 Licensed Representative 1, 4, 6KOT Geoffrey Tin Cheuk AQZ731 Licensed Representative 1, 2KOTEWALL Neville Charles AQM591 Licensed Representative 1KRISHNAN Vishal AOV196 Licensed Representative 4, 6KUNG Seng Fung AOM981 Licensed Representative 1, 2, 3KWOK Wing Kin AJI409 Licensed Representative 4KWONG Ip Hang ASM275 Licensed Representative 4KWONG King Yan ARA263 Licensed Representative 1LAI Chung Hin ASN340 Licensed Representative 3LAM Chi Keung AQX036 Licensed Representative 4, 5, 9LAM Chun Kwan, Kelvin ANM107 Licensed Representative 1, 4, 6LAM Jun Ting, Jrifis ATB746 Licensed Representative 4LAM Ming Ki, Vincent ANI817 Licensed Representative 4LAM Ping Shun, Joseph AMA066 Licensed Representative 1, 2LAM Tai Lung AGP615 Licensed Representative 1LAM Wai Ping ANR751 Licensed Representative 4LAMBERT James Elliot ALI263 Licensed Representative 1LAO Chi Kin ARG383 Licensed Representative 1, 4LAU Chin Wai AFL821 Licensed Representative 1, 4LAU Ho Ming ASP325 Licensed Representative 4LAU Ka On, David AOE652 Licensed Representative 4LAU Kwan Lam Clement ARE593 Licensed Representative 4LAU Po Wah ANB165 Licensed Representative 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2009CE Name CE No. Licence Type Types of Regulated ActivityLAU Wan Yu ANQ584 Licensed Representative 1LEE Chin-Chang AQC597 Licensed Representative 4, 9LEE Dennis Pui Yan AOS008 Licensed Representative 1, 4, 6LEE Ju Yeon AOC808 Licensed Representative 1LEE Kai Foon AQZ528 Licensed Representative 4LEE Man Shun ANU141 Licensed Representative 1LEE Wai Man, Candice AFN786 Licensed Representative 4LEE Wai Yip, Benny APK762 Licensed Representative 4LEE Wee Siang AMN563 Licensed Representative 1LEE Wei Ming AQE930 Licensed Representative 1, 6LEI Huanzhong APF225 Licensed Representative 1, 6LEONG Gary Douglas AFF729 Licensed Representative 1LEONG Wing Hong ADR223 Licensed Representative 9LEUNG Chi Fat AQQ317 Licensed Representative 4LEUNG Ivan Wan Chung ATN553 Licensed Representative 4LEUNG Pui Yin ASX099 Licensed Representative 4LEUNG Rachel Ho Fung APH269 Licensed Representative 4LEUNG Ying Ting AMB097 Licensed Representative 4LEUNG Yuet Ming AJB007 Licensed Representative 1, 2, 5, 7LEUNG Yuk Ming AFI959 Licensed Representative 1, 4, 6, 9LI Chao ARF260 Licensed Representative 9LI Kit Kwan ASK150 Licensed Representative 4LI Kwok Kuen AGL709 Licensed Representative 4LI Pui Yan, Justine ARI570 Licensed Representative 1LI Sek Chuen ANZ811 Licensed Representative 1, 4, 9LI XiongHou AQW513 Licensed Representative 1, 4LI Yuk Ping ANA852 Licensed Representative 4LIAN Xiaolu AGN541 Licensed Representative 6LIANG Yuk Man ARN155 Licensed Representative 1LIM Sang Soon ALT762 Licensed Representative 1LIN Rong-en AMI742 Licensed Representative 1, 2LING Chee Fung AOJ442 Licensed Representative 4LIU Aolin ASL676 Licensed Representative 1LIU Jia ASH678 Licensed Representative 4LIU Kin Wah, David AML632 Licensed Representative 1LIU Suyan ARE636 Licensed Representative 1, 6

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2009CE Name CE No. Licence Type Types of Regulated ActivityLIU Yi ATI179 Licensed Representative 1LIU Ying ARA097 Licensed Representative 1, 2, 3LO Chi Chiu ASK509 Licensed Representative 1LO Fung Ping AQI897 Licensed Representative 1, 3LO Sze Heung AFL144 Licensed Representative 4LO Yan Wing AJL420 Licensed Representative 1LOK Tsz Hong AMY729 Licensed Representative 1, 2, 3LOUEY Cynthia Petrina AOT558 Licensed Representative 4LOW Siu Wai AOQ580 Licensed Representative 4LOW Yee Hsiang AEE722 Licensed Representative 9LU Feng ALW764 Licensed Representative 1, 2LUI Chi Fai AAB860 Licensed Representative 1, 4LUI Hin Weng, Samuel AOY962 Licensed Representative 1, 4, 6LUK Chun Pui ARC141 Licensed Representative 1, 4LUK Ho Ki APZ593 Licensed Representative 4LUK Ho On AFZ014 Licensed Representative 4LUK Ka Cheung AAV590 Licensed Representative 4, 5, 9MA Hing Cheong AQE295 Licensed Representative 1, 9MA Wing Yu APL135 Licensed Representative 4MA Wun Wing ASJ693 Licensed Representative 4MAK Po Man, Cherie AIU762 Licensed Representative 4MAN Che Fung AQW410 Licensed Representative 1MAN Wai Kung ARO585 Licensed Representative 1, 4MARINUCCI Raffaella AMU534 Licensed Representative 4, 9MILEUSNIC James Simon ARR526 Licensed Representative 1, 2MILLER Lee Katherine AQS445 Licensed Representative 1MINARDS Timothy Bede ATM616 Licensed Representative 1, 7MU Er ASL540 Licensed Representative 1, 4, 6MULLER Horst Holger ARR932 Licensed Representative 1NAMDAR David APD844 Licensed Representative 1, 2NG Cheng Iong AQF585 Licensed Representative 4NG Chun Ming, Jackal AMY556 Licensed Representative 4NG Hei Yiu ARN025 Licensed Representative 1NG Kin Sang ARB853 Licensed Representative 4NG Po Chun AFN552 Licensed Representative 4NG Pui Shan AQF693 Licensed Representative 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2009CE Name CE No. Licence Type Types of Regulated ActivityNG Pui Yu, Connie ABF874 Licensed Representative 1, 2NG Sum Yi, Gigi AFT477 Licensed Representative 1, 6NG Tze Chiew, Diana ADX263 Licensed Representative 1, 2NG Yi Ching ALQ989 Licensed Representative 4NGAI Kong Shing ASM279 Licensed Representative 4NGAOTHEPPITAK Palin AQV908 Licensed Representative 1NOMIYA Kin ARG501 Licensed Representative 1OBERHANSBERG Utz Richard AMQ369 Licensed Representative 1OENTUNG Nicolaos Marcelinus AQB150 Licensed Representative 4OH Hyok AQU583 Licensed Representative 4OHYAGI Sayuri ANG612 Licensed Representative 4ONG Peck Har Shirley AOL527 Licensed Representative 1PANG Pik Nga APJ175 Licensed Representative 4PANG Shun Kit ARW796 Licensed Representative 4PANG Yan APG361 Licensed Representative 1, 2PARK Ji Na ARO389 Licensed Representative 4, 6PARK Joon Young ANJ489 Licensed Representative 4, 6PETERS Sarah Emily Jane AQU402 Licensed Representative 4, 9POON Chun Yu, Francis ANV272 Licensed Representative 1POON Jun U, Vincent APK734 Licensed Representative 1, 2POON Suk Han, Alice ALG168 Licensed Representative 1POON Tin Lai, Catherine ADV934 Licensed Representative 1, 2POON Wai Leong ANM879 Licensed Representative 4, 9PRESCOTT Lewis Edward AOQ772 Licensed Representative 1, 2PROCTOR James Gerald AQM118 Licensed Representative 4PSARIS John Nicholas ANS150 Licensed Representative 1, 2, 7RAPHAEL Paul Michel APC256 Licensed Representative 1, 4, 6REDL Christopher Alexander ARG887 Licensed Representative 9REPKOW Stephan Jacques Rene ARD165 Licensed Representative 1, 4REYES Ethylyn Gonzales ABA343 Licensed Representative 4, 6, 9ROBERTS Ryan Clifford AOE441 Licensed Representative 4, 9SANEY Neelam Mohan AQY080 Licensed Representative 1SCHEUER Marc AQM401 Licensed Representative 4, 6SCHUBERT Gerhard Max AOE658 Licensed Representative 2SEAGER Paul Anthony AJH209 Licensed Representative 1, 2, 7SHEA Agnes Wan Suen ANV160 Licensed Representative 1, 2

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2009CE Name CE No. Licence Type Types of Regulated ActivitySHEA Sze Ying, Cindia APC875 Licensed Representative 1, 4SHEEHY John Desmond ARX029 Licensed Representative 1, 4SHEN Shih-Hua ANP788 Licensed Representative 1, 4SHI Ruichao ATH910 Licensed Representative 1SHIMURA Hirohisa AOQ617 Licensed Representative 4SHIN Hye Young ASP245 Licensed Representative 4SHIN Jae Won ARN826 Licensed Representative 4, 6SHIU Kim Chi, Patricia ASH395 Licensed Representative 1SHU Tony APC238 Licensed Representative 1, 4, 6SHUM Ching Yi, Daisy ARG573 Licensed Representative 4SIN Wai Piu ADR660 Licensed Representative 4, 9SINGHAL Shelly Sean AMJ868 Licensed Representative 1, 2, 9SISTERSON John Paul ACS560 Licensed Representative 1, 2SIU Ching Yee AIY652 Licensed Representative 1, 4, 6SO Yee Lin ARI818 Licensed Representative 4STOIANI Valter Junior APH039 Licensed Representative 1, 4SUN Guantong ARJ838 Licensed Representative 4, 6SUN Ying APX176 Licensed Representative 1SUTCLIFFE Andrew David AQA491 Licensed Representative 1SZE Kwok Pan ARV688 Licensed Representative 1, 2TAM Yan Fai AGP839 Licensed Representative 4TAM Yui Hong, Conan AHC108 Licensed Representative 1, 4, 4, 6TAN Deyi APZ847 Licensed Representative 1TAN Ei Leen AOU391 Licensed Representative 4TAN Leng Cheng, Aaron APF168 Licensed Representative 1, 6TANG Hing Pang, Donmany AEX291 Licensed Representative 1, 4, 6TANG Peter Jee Ho ACP853 Licensed Representative 4TANG Yuk Hong APH671 Licensed Representative 4THEIL Jules Steven Louis ANF194 Licensed Representative 9TIN Yuen Ming AFL732 Licensed Representative 4TIN Yuk ANH344 Licensed Representative 1, 2, 3, 3, 5TING Chun Lung ASD489 Licensed Representative 4TO Tsz Ling AQQ279 Licensed Representative 3TONG Lai Chun, Josephine AAJ609 Licensed Representative 1, 4TSE Bun, Benjamin ACL001 Licensed Representative 1, 9TSE Hiu Mui AQH653 Licensed Representative 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2009CE Name CE No. Licence Type Types of Regulated ActivityTSUI Yee Ling, Helen AML441 Licensed Representative 4VAN GELOVEN Sjoerd ARS518 Licensed Representative 1, 2WAKIZAKI Emi ANH732 Licensed Representative 1, 4, 6WAN Kwok Leung, Dominic AEY937 Licensed Representative 1WANG Chun AQN521 Licensed Representative 9WANG Fang AID230 Licensed Representative 1, 2, 4WANG Jong-shiow ARR792 Licensed Representative 4WANG Shih Tse AKX850 Licensed Representative 1WATANABE Mariko AOY781 Licensed Representative 4WEBB Jordan Wallace APN836 Licensed Representative 1, 6WICKHAM SECOND Philip King ACZ985 Licensed Representative 4, 9WONG Chean Wei ARG811 Licensed Representative 4WONG Chi Ho AID698 Licensed Representative 4WONG Ching Yee, Winnie ASL394 Licensed Representative 1WONG Chiu Fai ADT274 Licensed Representative 4, 9WONG Kai Fung ABN453 Licensed Representative 1WONG Kin Hang, Antonio AOJ585 Licensed Representative 1WONG King Yiu Calvin ARM542 Licensed Representative 4WONG Kwun Hung AJF996 Licensed Representative 1, 2WONG Po Ling, Paula AQR608 Licensed Representative 1WONG Pui Yew, Florence AQP585 Licensed Representative 1WONG Shek Kwong, Joel AOV599 Licensed Representative 3WONG Yiu Loong, Hitler AAA751 Licensed Representative 1WONG Yuet Yu AMB431 Licensed Representative 4WOODTHORPE Alexander Antony AHJ154 Licensed Representative 1, 4, 6WU Hsiang APL756 Licensed Representative 4XIE Jianying AQB143 Licensed Representative 1, 6YAN Yu Sing, Sunny AMM434 Licensed Representative 4YANG Chung Han APQ724 Licensed Representative 4YANG Han AQU421 Licensed Representative 1, 4, 6YANG Ka Shui AOW796 Licensed Representative 1, 2YAO Wenwan ASK776 Licensed Representative 4YEH Yu-Ting ARN473 Licensed Representative 1YEN Weber Shu-Wei AEC574 Licensed Representative 4, 6YEOH Herr Ling APB437 Licensed Representative 1, 2YEUNG Hau Yee, Bonnie APL395 Licensed Representative 1, 2

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2009CE Name CE No. Licence Type Types of Regulated ActivityYEUNG Kwok Bun ARQ665 Licensed Representative 4YEUNG Sin AQU160 Licensed Representative 4YICK Wang Fung AMR755 Licensed Representative 9YIP Chi Fai ANY014 Licensed Representative 4YIP Ka Ho ALQ922 Licensed Representative 9YIU Tsun Yee, Patrick ATS484 Licensed Representative 4YONG Fui San ADB186 Licensed Representative 4, 6YONG Jingxin ADA726 Licensed Representative 1, 2YONG Sai Yeen AOK957 Licensed Representative 1, 2, 4YU Ming Hung APD252 Licensed Representative 1YUE Wei ANY425 Licensed Representative 4, 6YUEN Ue Ting ARP178 Licensed Representative 4YUNG Hau Woon Victor ARN015 Licensed Representative 1, 4YUNG Shui Shing AQY615 Licensed Representative 4, 5YUNG Yuen Sun AQI149 Licensed Representative 4, 9ZHU Li AOU724 Licensed Representative 1ZHU Lin AQG873 Licensed Representative 1, 2ZHU Ning AQX040 Licensed Representative 4BAL RENAU Hector AMM224 Licensed Representative - Responsible Officer 4, 9CHAN Kai Cheuk, Stephen AAI095 Licensed Representative - Responsible Officer 1CHAN Ngok Yan, Elton AGA656 Licensed Representative - Responsible Officer 1, 4, 5, 9CRAIG David John AMY483 Licensed Representative - Responsible Officer 4, 9DECOENE Thomas John ANA520 Licensed Representative - Responsible Officer 1DEVEREUX WONG Virginia AAJ666 Licensed Representative - Responsible Officer 4FELLAS Lewis John ALR009 Licensed Representative - Responsible Officer 4, 9FUKUTA Yoshihiro AAF426 Licensed Representative - Responsible Officer 1, 2, 4, 5, 6GLAT Jeffrey Edward ANH334 Licensed Representative - Responsible Officer 9GOH Chee Liong AAF242 Licensed Representative - Responsible Officer 1HO Shui Fai, Ricky ABP466 Licensed Representative - Responsible Officer 4, 5, 9KIM Jin Woo ANH809 Licensed Representative - Responsible Officer 1, 4KRUSEMARK Scott Gerald ASF463 Licensed Representative - Responsible Officer 4, 9KWAN Boon Larp AEU932 Licensed Representative - Responsible Officer 4, 9KWAN Hoi Cheung AGK518 Licensed Representative - Responsible Officer 4LABHARDT Francois Maurice AQF578 Licensed Representative - Responsible Officer 1, 4, 9LABROUSSE Michel Eric ALB645 Licensed Representative - Responsible Officer 1, 2, 4, 5LEWIS Scott Alexander AFH047 Licensed Representative - Responsible Officer 4, 9

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2009CE Name CE No. Licence Type Types of Regulated ActivityLI Chun Sheng ABP733 Licensed Representative - Responsible Officer 9LI Siu Leung AIU434 Licensed Representative - Responsible Officer 1, 4, 7LIN Chi Fai, Desmond AEO693 Licensed Representative - Responsible Officer 9LIU Jian ACQ449 Licensed Representative - Responsible Officer 1, 4, 4, 6MA So Ping ACR160 Licensed Representative - Responsible Officer 1, 4MILLAR Piers Malcolm Charles AHF469 Licensed Representative - Responsible Officer 4NEILSON Philip James AHN636 Licensed Representative - Responsible Officer 4OR Siu Kam AJD975 Licensed Representative - Responsible Officer 1OVERLANDER Michael AQE853 Licensed Representative - Responsible Officer 2PANG Hing Chung, Alfred ACJ625 Licensed Representative - Responsible Officer 1, 6POLING Douglas Lee ANH510 Licensed Representative - Responsible Officer 1REED Michael Grahame AAW274 Licensed Representative - Responsible Officer 1, 9SAUNDERS Scott Antony ADC081 Licensed Representative - Responsible Officer 1, 4SELLARS Ian AQX045 Licensed Representative - Responsible Officer 4TERAGUCHI Tomoyuki AKX077 Licensed Representative - Responsible Officer 1, 2TSOI Wai Ming, Tommy AEO131 Licensed Representative - Responsible Officer 1WATANABE Kunio ANI941 Licensed Representative - Responsible Officer 1, 2, 4, 5, 6WERNERT Jeremy David AEN823 Licensed Representative - Responsible Officer 1YOU Jiing-Maw AOT970 Licensed Representative - Responsible Officer 6AGARWAL Nupur ATW419 Licensed Representative (Provisional Licence) 4AGDAMAG Sandra Chanco ATW322 Licensed Representative (Provisional Licence) 1ALI Samet ATR044 Licensed Representative (Provisional Licence) 1ANDREWS Stephen John ATC362 Licensed Representative (Provisional Licence) 4AVAYOU Jacques ATO054 Licensed Representative (Provisional Licence) 1, 6BADDELEY Alexander Richard ATS851 Licensed Representative (Provisional Licence) 2BANSAL Sandip ATT492 Licensed Representative (Provisional Licence) 4BARTOLOME Victoria-Maureen Libunao ATS675 Licensed Representative (Provisional Licence) 1, 6BHAIMIA Ismail Omar ATN703 Licensed Representative (Provisional Licence) 1, 2BIETTE Benjamin, Gerard, Philippe ATO827 Licensed Representative (Provisional Licence) 1, 2BILLER David Paul Campbell ATV214 Licensed Representative (Provisional Licence) 1, 6BISWAS Swagatam ATS185 Licensed Representative (Provisional Licence) 1BLANCHET Gilles, Pierre, Gabriel ATS906 Licensed Representative (Provisional Licence) 1, 2, 7BOUBEE Pascal Frederic ATS148 Licensed Representative (Provisional Licence) 1, 2CAI Hongyu ATX143 Licensed Representative (Provisional Licence) 1CAO Jin ATO442 Licensed Representative (Provisional Licence) 1, 6CAO Ying ASS668 Licensed Representative (Provisional Licence) 1, 2

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2009CE Name CE No. Licence Type Types of Regulated ActivityCHAN Cherk Him, Simon ANB798 Licensed Representative (Provisional Licence) 1, 2, 3CHAN Cheuk Yin ANH195 Licensed Representative (Provisional Licence) 1, 2CHAN Ching Fung ATP129 Licensed Representative (Provisional Licence) 1, 4CHAN Choi Wah, Kanise AHF667 Licensed Representative (Provisional Licence) 1, 4CHAN Chun Shing, Peter APQ867 Licensed Representative (Provisional Licence) 1, 2CHAN Chun To ATP135 Licensed Representative (Provisional Licence) 1, 2CHAN Ho Ming ATS071 Licensed Representative (Provisional Licence) 1, 2, 4CHAN Hoi Fan AGB682 Licensed Representative (Provisional Licence) 1, 2CHAN Ka Kit ATS061 Licensed Representative (Provisional Licence) 4CHAN Kai Lun, Kelvin ATT439 Licensed Representative (Provisional Licence) 4CHAN Kai Man Kant AHM525 Licensed Representative (Provisional Licence) 4CHAN Kam Sing ACL574 Licensed Representative (Provisional Licence) 3CHAN Mei Mei AHX196 Licensed Representative (Provisional Licence) 1, 4CHAN Shek Bun, Ben AFI560 Licensed Representative (Provisional Licence) 1, 2CHAN Shek Chuen ARE460 Licensed Representative (Provisional Licence) 1, 2CHAN Susan Shu Fun ATW487 Licensed Representative (Provisional Licence) 1CHAN Wai Kin ATR859 Licensed Representative (Provisional Licence) 1, 2CHAN Wai Kit ATP151 Licensed Representative (Provisional Licence) 1CHAN Wai Sze, Wincy ATW775 Licensed Representative (Provisional Licence) 4CHAN Whole Man ATW092 Licensed Representative (Provisional Licence) 4CHAN Wing Chiu ATQ962 Licensed Representative (Provisional Licence) 1, 2CHAN Yat Hung ATW416 Licensed Representative (Provisional Licence) 1CHAN Yin Chun ATO951 Licensed Representative (Provisional Licence) 1, 2CHAN Yin Sum ATS054 Licensed Representative (Provisional Licence) 1CHANG Eric AOZ110 Licensed Representative (Provisional Licence) 1, 4, 9CHANG Wei-Chun AQM403 Licensed Representative (Provisional Licence) 1, 4CHANG Wen Hui ATW265 Licensed Representative (Provisional Licence) 4CHANG Yan Hui ATS685 Licensed Representative (Provisional Licence) 1, 6CHARLTON-JONES John Murray ATR494 Licensed Representative (Provisional Licence) 1CHAU Ho Hei AIE136 Licensed Representative (Provisional Licence) 1, 2CHAU Pak Lun ATO954 Licensed Representative (Provisional Licence) 1CHEN Chih-chieh ATH471 Licensed Representative (Provisional Licence) 1CHEN Jeff Hungche ALK183 Licensed Representative (Provisional Licence) 1CHEN Jie ATO813 Licensed Representative (Provisional Licence) 1, 6CHEN Su Ling ANX197 Licensed Representative (Provisional Licence) 1, 2CHEN Yi-chin ATQ774 Licensed Representative (Provisional Licence) 1

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2009CE Name CE No. Licence Type Types of Regulated ActivityCHEN Yu-Cheng ATR465 Licensed Representative (Provisional Licence) 4CHEN Ziyu AQM097 Licensed Representative (Provisional Licence) 1CHENG Dan ATO775 Licensed Representative (Provisional Licence) 1, 2CHENG Hiu Yan, Alan ANS223 Licensed Representative (Provisional Licence) 1CHEUNG Chi Tao, Ernest ATX298 Licensed Representative (Provisional Licence) 1CHEUNG Christopher Yiu Chung ATQ945 Licensed Representative (Provisional Licence) 1, 2CHEUNG Chung Mau, Simon ATR359 Licensed Representative (Provisional Licence) 1CHEUNG Ho Yu ATT485 Licensed Representative (Provisional Licence) 4CHEUNG Kim Fung, Paul ATR219 Licensed Representative (Provisional Licence) 1, 2CHEUNG Kin Pong ATS383 Licensed Representative (Provisional Licence) 4CHEUNG Man Cheong ATS060 Licensed Representative (Provisional Licence) 1, 2CHEUNG Shu Fai ATV536 Licensed Representative (Provisional Licence) 2CHEUNG Tai Kam ATT817 Licensed Representative (Provisional Licence) 1, 2CHEUNG Wai Lun ATO861 Licensed Representative (Provisional Licence) 4CHEUNG Wing Kei, Winnie AEM607 Licensed Representative (Provisional Licence) 4CHEUNG Ying Sum ATP206 Licensed Representative (Provisional Licence) 1CHIANG Mickey Wei-Chun AQQ259 Licensed Representative (Provisional Licence) 1, 4, 6CHIANG Randy ATV645 Licensed Representative (Provisional Licence) 1, 2CHIU Kwok Keung, Ringo ARG444 Licensed Representative (Provisional Licence) 1, 2CHIU Mo Sze, Winnie AFT535 Licensed Representative (Provisional Licence) 1, 2CHOI Chi Kin, Calvin AMP538 Licensed Representative (Provisional Licence) 6CHOI Chun Ning ATS068 Licensed Representative (Provisional Licence) 1, 2CHOI Shek To, Frank AMS084 Licensed Representative (Provisional Licence) 1, 2CHONG Wing Shing, Wilson ATO032 Licensed Representative (Provisional Licence) 6CHOW Ngai Chung ATR346 Licensed Representative (Provisional Licence) 1CHOW Sze Man ATQ888 Licensed Representative (Provisional Licence) 1, 2, 4CHOW Yuk Kei APV070 Licensed Representative (Provisional Licence) 1CHU Wai Lun ATR167 Licensed Representative (Provisional Licence) 1CHU Wen-ching ATQ760 Licensed Representative (Provisional Licence) 1CHUA Zi Kang ATO543 Licensed Representative (Provisional Licence) 1, 6CHUI Kar Man, Carmen ATR477 Licensed Representative (Provisional Licence) 4CHUNG Richard ALW173 Licensed Representative (Provisional Licence) 1CLAPPE Lindsay Michele ATO051 Licensed Representative (Provisional Licence) 1CRIVAT Bogdan Constantin ATO878 Licensed Representative (Provisional Licence) 1, 2CUI Enze ATO957 Licensed Representative (Provisional Licence) 1, 2CUTTS William Andrew ACX993 Licensed Representative (Provisional Licence) 1

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2009CE Name CE No. Licence Type Types of Regulated ActivityDAOU Mourad ATR365 Licensed Representative (Provisional Licence) 1, 2, 7DAVENPORT Paul Samuel APB999 Licensed Representative (Provisional Licence) 1DAVIDSON Gregory Edward ATW897 Licensed Representative (Provisional Licence) 4, 9DAVIS Colin Niel ATO966 Licensed Representative (Provisional Licence) 4, 9DE BASTIANI Randall Allen ATO807 Licensed Representative (Provisional Licence) 1, 6DE CALONNE D'AVESNES Amaury Xavier ATT818 Licensed Representative (Provisional Licence) 1, 4DENG Hefei ATW716 Licensed Representative (Provisional Licence) 1, 4DESMIDT Marc Bovell Paul ACP019 Licensed Representative (Provisional Licence) 1, 9DOYLE John Aaron ATO458 Licensed Representative (Provisional Licence) 1, 2DRAPER Lucy Jane Jessica ATS389 Licensed Representative (Provisional Licence) 1, 4DUFOURNET Thierry Jean ATQ807 Licensed Representative (Provisional Licence) 1ELLIS Steven Andrew ATW590 Licensed Representative (Provisional Licence) 5, 9EMERSON Kathleen Ann AEH820 Licensed Representative (Provisional Licence) 1EYSSAUTIER Jean-Luc Denys Maurice ATP153 Licensed Representative (Provisional Licence) 1, 4FIASCARIS Alessandro ATT604 Licensed Representative (Provisional Licence) 1, 4FISCHER Nathan David ATX270 Licensed Representative (Provisional Licence) 1FONG Leung Yu ATS070 Licensed Representative (Provisional Licence) 1FONG Yu ATS874 Licensed Representative (Provisional Licence) 4, 5, 9FOSTER Derek Patrick Jack ARU732 Licensed Representative (Provisional Licence) 1, 4, 7FU Jinfeng ATR255 Licensed Representative (Provisional Licence) 2FUNG King Hong ATR165 Licensed Representative (Provisional Licence) 1GALLIVAN Richard Joseph ATO893 Licensed Representative (Provisional Licence) 1, 6GARDAHAUT David Matthieu Laurent ATO961 Licensed Representative (Provisional Licence) 1, 2, 7GINESKY Bret Matthew ATT107 Licensed Representative (Provisional Licence) 4GOEL Pankaj ATR011 Licensed Representative (Provisional Licence) 1, 6GRAY Steven Robert ATW729 Licensed Representative (Provisional Licence) 1, 2GUAN Yan ATN561 Licensed Representative (Provisional Licence) 1, 6GUO Yan ATW316 Licensed Representative (Provisional Licence) 1GUPTA Ashutosh ATW073 Licensed Representative (Provisional Licence) 1, 2GUPTA Navin Kumar ATW420 Licensed Representative (Provisional Licence) 4GUPTA Sonal ATO967 Licensed Representative (Provisional Licence) 4HAO Lujiang ATR620 Licensed Representative (Provisional Licence) 1, 2HAO Yinan ATW084 Licensed Representative (Provisional Licence) 4, 9HARRIS David Anthony ADZ065 Licensed Representative (Provisional Licence) 1HARRIS Maury Norton ATR460 Licensed Representative (Provisional Licence) 4HATTORI Keiji ATR128 Licensed Representative (Provisional Licence) 1, 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2009CE Name CE No. Licence Type Types of Regulated ActivityHO Mei Ling ATS213 Licensed Representative (Provisional Licence) 1, 2HO Willis AST864 Licensed Representative (Provisional Licence) 1, 6HON Fun, Fionna ATN173 Licensed Representative (Provisional Licence) 1HSIEH Tiffany ATT782 Licensed Representative (Provisional Licence) 4HSIN Fanneau Ching ACT437 Licensed Representative (Provisional Licence) 9HSIN Sze Wai AJJ600 Licensed Representative (Provisional Licence) 1HSU Shu-Ting AOQ540 Licensed Representative (Provisional Licence) 4, 6, 9HU Kun ATS197 Licensed Representative (Provisional Licence) 1, 6HUANG Chia-Hsuan ATS381 Licensed Representative (Provisional Licence) 4, 9HUANG Wanqian ATS917 Licensed Representative (Provisional Licence) 4, 6HUI Ka Shing ATO962 Licensed Representative (Provisional Licence) 1HUI Lok Man ATS532 Licensed Representative (Provisional Licence) 1HUI Siu Ming ATS640 Licensed Representative (Provisional Licence) 1HUNG Bo Chun ATW784 Licensed Representative (Provisional Licence) 4HUTCHINSON Simon Andrew ATS220 Licensed Representative (Provisional Licence) 1IP Mina Mei Na ATS690 Licensed Representative (Provisional Licence) 1, 6JAFFRAY Scott John ARH186 Licensed Representative (Provisional Licence) 1, 4, 9JESSNER Gregory ATR236 Licensed Representative (Provisional Licence) 1, 2JEULIN Francois, Thierry ATJ464 Licensed Representative (Provisional Licence) 1, 2, 7JIANG Tianyu ATR856 Licensed Representative (Provisional Licence) 1, 4, 6JOHNSON Pekka David ADL598 Licensed Representative (Provisional Licence) 1JOLLY Rimmo ATR852 Licensed Representative (Provisional Licence) 1JOSHI Nimish Amar ATR487 Licensed Representative (Provisional Licence) 4JUNG Yi-Ping ATR846 Licensed Representative (Provisional Licence) 4KAM Fred AAY119 Licensed Representative (Provisional Licence) 4, 9KAMATH Sujay Anthony Derrick ATS181 Licensed Representative (Provisional Licence) 1KAN Lai Ping, Pinky AKY991 Licensed Representative (Provisional Licence) 1KANANI Sachin ATR828 Licensed Representative (Provisional Licence) 1, 2KANG Fang Yu ATR249 Licensed Representative (Provisional Licence) 1, 2KANG Sang Hun ATR857 Licensed Representative (Provisional Licence) 1, 2KAWAKITA Tadakatsu ANH120 Licensed Representative (Provisional Licence) 1, 2, 4KERNEIS Sophie Caroline Emma AGF004 Licensed Representative (Provisional Licence) 1, 2KEYES Leslie Yu-ling ABZ047 Licensed Representative (Provisional Licence) 4KIM Hongtae ATQ968 Licensed Representative (Provisional Licence) 1, 4, 6KIM Janet Jung In ATO846 Licensed Representative (Provisional Licence) 1, 6KIM Jeffrey Il Jung ATQ943 Licensed Representative (Provisional Licence) 1, 2

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2009CE Name CE No. Licence Type Types of Regulated ActivityKIM Jun Hyun ATQ904 Licensed Representative (Provisional Licence) 1, 6KO Chin Hung, Patrick AJO155 Licensed Representative (Provisional Licence) 1, 4KO Kit, Scarlett AFR179 Licensed Representative (Provisional Licence) 1, 4, 6KUGA Yasutaka ATS489 Licensed Representative (Provisional Licence) 9KUO Ming-Jian AHJ590 Licensed Representative (Provisional Licence) 1, 4KWAK Paul Youngjin ATS676 Licensed Representative (Provisional Licence) 1, 6KWOK Shuk Kam ATO879 Licensed Representative (Provisional Licence) 1KWOK Yik Man, Joyce ATS268 Licensed Representative (Provisional Licence) 1, 2KWONG Wing Hong, Danny ATT112 Licensed Representative (Provisional Licence) 1LAHOGUE Nicolas Bruno ATW519 Licensed Representative (Provisional Licence) 1, 2LAI Chak On ACF328 Licensed Representative (Provisional Licence) 1, 2LAI Chi Hoi APW068 Licensed Representative (Provisional Licence) 1LAI Chun Wing ATR740 Licensed Representative (Provisional Licence) 1LAI Pak Kin ATR485 Licensed Representative (Provisional Licence) 1LAM Boon Ho, Benjamin AHA421 Licensed Representative (Provisional Licence) 1, 4LAM Britney Maria AJG751 Licensed Representative (Provisional Licence) 1, 4, 6, 9LAM Elaine ATS343 Licensed Representative (Provisional Licence) 1, 4LAM Lam, Linda AGP663 Licensed Representative (Provisional Licence) 4LAM Lap Yen, Roger ACQ984 Licensed Representative (Provisional Licence) 1, 6LAM Pik Yan, Amy AIB737 Licensed Representative (Provisional Licence) 1LAM Sau Lan, Sara ATS541 Licensed Representative (Provisional Licence) 1, 2LATHER Manik ATQ944 Licensed Representative (Provisional Licence) 1, 2LAU Chun Yip Ernest ATS772 Licensed Representative (Provisional Licence) 1LAU Hiu Hoi ATP179 Licensed Representative (Provisional Licence) 2LAU Kwan Chun ATQ916 Licensed Representative (Provisional Licence) 1LAU Pui Yan ATR491 Licensed Representative (Provisional Licence) 1, 2LAU Sau Yee, Yokei ATW783 Licensed Representative (Provisional Licence) 4LAU Wing Fung ASJ918 Licensed Representative (Provisional Licence) 4LAW Ching Man ATO965 Licensed Representative (Provisional Licence) 4, 9LAW Kam Yam ATR340 Licensed Representative (Provisional Licence) 1LAW Ting Pong ATO654 Licensed Representative (Provisional Licence) 1LAW Yin Ping ARN597 Licensed Representative (Provisional Licence) 1LAWRENCE Steven Joseph ATV793 Licensed Representative (Provisional Licence) 1, 2LEE Chai Sin AJA483 Licensed Representative (Provisional Licence) 1, 2LEE Cheuk Kwan, Vulcan ATW421 Licensed Representative (Provisional Licence) 1, 6LEE Chi Lin, Rita ATS907 Licensed Representative (Provisional Licence) 1, 2

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2009CE Name CE No. Licence Type Types of Regulated ActivityLEE Ka Ho ATO877 Licensed Representative (Provisional Licence) 1LEE Man Hang ATT475 Licensed Representative (Provisional Licence) 1, 2LEE Tak Sing AFU833 Licensed Representative (Provisional Licence) 9LEE Tiffany May ATS692 Licensed Representative (Provisional Licence) 1, 6LEE Wai Keung AFK372 Licensed Representative (Provisional Licence) 1, 4, 6LEE Wai Wah, Pauline AKP372 Licensed Representative (Provisional Licence) 1, 6LEE Wing Sin, Desmond AMX783 Licensed Representative (Provisional Licence) 1, 4LEE Yim Lan, Phyllis ATR619 Licensed Representative (Provisional Licence) 1LEE Yin Lok, Frederick ATO882 Licensed Representative (Provisional Licence) 4LEONG Gregory Scott AIB404 Licensed Representative (Provisional Licence) 1, 4LETHIELLEUX Aymeric, Nicolas, David ATQ947 Licensed Representative (Provisional Licence) 1, 2, 7LEUNG Ambrose Yin Pok ATO811 Licensed Representative (Provisional Licence) 1, 2, 7LEUNG Chiu Chung ATW111 Licensed Representative (Provisional Licence) 4LEUNG Hon Fai, Kevin AOX681 Licensed Representative (Provisional Licence) 9LEUNG Hon Kuen ATM775 Licensed Representative (Provisional Licence) 1, 2LEUNG Ka Yee ATS905 Licensed Representative (Provisional Licence) 9LEUNG King Ming AAH114 Licensed Representative (Provisional Licence) 2LEUNG Kit Man, Sophie ATW521 Licensed Representative (Provisional Licence) 9LEUNG Man Tak, Yannick ATR355 Licensed Representative (Provisional Licence) 1, 2LEUNG Trenton Pui Lam ATV455 Licensed Representative (Provisional Licence) 2LEUNG Wa Sang, Kenneth ATW781 Licensed Representative (Provisional Licence) 4LI Haoting ATV659 Licensed Representative (Provisional Licence) 2LI Hing Lung ATN189 Licensed Representative (Provisional Licence) 1, 2, 4LI Jia ATO453 Licensed Representative (Provisional Licence) 1, 6LI Ming AMW601 Licensed Representative (Provisional Licence) 1, 2LI Shawn Xiang ATO715 Licensed Representative (Provisional Licence) 1, 6LI Shuk Yin ATV554 Licensed Representative (Provisional Licence) 1LI Yibai ATR119 Licensed Representative (Provisional Licence) 1, 4, 6LI Zengyi ATQ757 Licensed Representative (Provisional Licence) 1, 2, 7LIAO Shuting ATT452 Licensed Representative (Provisional Licence) 4LIM Khoon Hian Michael ATS891 Licensed Representative (Provisional Licence) 4LIM Ruoh Chwin ATQ960 Licensed Representative (Provisional Licence) 4LIM Siow Wei ATV571 Licensed Representative (Provisional Licence) 1, 2LIN Li ATR493 Licensed Representative (Provisional Licence) 1, 2LIN Xiaoli ATR336 Licensed Representative (Provisional Licence) 1, 6LIN Yu Hong ATS207 Licensed Representative (Provisional Licence) 4

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2009CE Name CE No. Licence Type Types of Regulated ActivityLING Vey Sern ATS897 Licensed Representative (Provisional Licence) 4LIU Allen Benjamin ATS058 Licensed Representative (Provisional Licence) 1, 2LIU Chung Ching ATT576 Licensed Representative (Provisional Licence) 1LIU Hon Keung ATP152 Licensed Representative (Provisional Licence) 1, 2LIU Jidi ATS680 Licensed Representative (Provisional Licence) 1, 6LIU Kit Ying, Christine AOJ342 Licensed Representative (Provisional Licence) 1, 7LIU Tsan Pui ATX291 Licensed Representative (Provisional Licence) 1, 2LIU Yi ATR118 Licensed Representative (Provisional Licence) 4LO Chi Hung ATS893 Licensed Representative (Provisional Licence) 1, 2LO Kwong Chun ATS353 Licensed Representative (Provisional Licence) 4LOH Weixian, Emily AOY689 Licensed Representative (Provisional Licence) 1LOI Tsun ABZ775 Licensed Representative (Provisional Licence) 1LONG Ben Lixiang ANI750 Licensed Representative (Provisional Licence) 9LOOK Rosalind AKJ147 Licensed Representative (Provisional Licence) 1, 2, 7LU Chun Yuen ATS378 Licensed Representative (Provisional Licence) 1LU Gloria Yi ADA784 Licensed Representative (Provisional Licence) 4LU Guokun ATO478 Licensed Representative (Provisional Licence) 1, 2LU Jiuzhou ATR182 Licensed Representative (Provisional Licence) 6LUI Chai Yan ATS535 Licensed Representative (Provisional Licence) 1, 2LUI Hoi Yan, Jaclyn ANQ808 Licensed Representative (Provisional Licence) 1, 2LUK Hoi Kin ATP130 Licensed Representative (Provisional Licence) 1, 2LUK Ping Kwan ATS091 Licensed Representative (Provisional Licence) 1, 2MA King Lun ATP133 Licensed Representative (Provisional Licence) 1, 2MA Wai Sze, Chrisie ATW866 Licensed Representative (Provisional Licence) 1, 4, 9MAK Chi Cheung ATS270 Licensed Representative (Provisional Licence) 1, 2MAK Kwok Leung APF173 Licensed Representative (Provisional Licence) 1MAN Shing Wai ATR360 Licensed Representative (Provisional Licence) 1, 2MANNO Niccolo ATO463 Licensed Representative (Provisional Licence) 1MAO Beichen ATS704 Licensed Representative (Provisional Licence) 1, 6MC DONALD James Duncan ATS219 Licensed Representative (Provisional Licence) 1MILLER Daniel Owen ACU447 Licensed Representative (Provisional Licence) 1MISRA Nityanand ATO881 Licensed Representative (Provisional Licence) 1, 2, 7MO Kim Fai, Patrick ATT466 Licensed Representative (Provisional Licence) 1MO Yik Wah, Terry ATW779 Licensed Representative (Provisional Licence) 4MODRAKOVIC Stela ATQ776 Licensed Representative (Provisional Licence) 1, 2MOK Chin Ping ATV927 Licensed Representative (Provisional Licence) 1

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2009CE Name CE No. Licence Type Types of Regulated ActivityMOK Jeanne ACE638 Licensed Representative (Provisional Licence) 1, 4NAHAR Pawan ATT423 Licensed Representative (Provisional Licence) 1NAIK Abhijeet Kisan ATS209 Licensed Representative (Provisional Licence) 4NAKATSUKA Mayo APR799 Licensed Representative (Provisional Licence) 1NAM Taekhyung ATO050 Licensed Representative (Provisional Licence) 1, 2, 7NEUNDORFER Patrick Harmon ATS485 Licensed Representative (Provisional Licence) 1, 2, 7NG Lit Cheuk ATR684 Licensed Representative (Provisional Licence) 1NGAI Heung Ming ATS799 Licensed Representative (Provisional Licence) 1, 6NIP Wing Han, Maggie ADT666 Licensed Representative (Provisional Licence) 1, 4OMURO Tomoyoshi APP829 Licensed Representative (Provisional Licence) 1ONG Lee Hsien ATR168 Licensed Representative (Provisional Licence) 6OR Jane Carol Ng ATN704 Licensed Representative (Provisional Licence) 1ORDERS Jonathan Oliver Darcy AAK390 Licensed Representative (Provisional Licence) 1, 4, 6PANG Ching Yee ATV626 Licensed Representative (Provisional Licence) 1PANG Kwok Tung, Alan ATT779 Licensed Representative (Provisional Licence) 1PANG Siu Lun ATT501 Licensed Representative (Provisional Licence) 1PANG Wing Shing ATW745 Licensed Representative (Provisional Licence) 2, 3PATTERSON Richard John AFK071 Licensed Representative (Provisional Licence) 1, 2PENALOZA Philip O. AAI785 Licensed Representative (Provisional Licence) 1, 4, 9PENG Zhiyuan ATR337 Licensed Representative (Provisional Licence) 1POON Chun Wing ATR652 Licensed Representative (Provisional Licence) 1POON Ka Wing ATS954 Licensed Representative (Provisional Licence) 1, 2PRESS Matthew ATI127 Licensed Representative (Provisional Licence) 1, 2, 4, 5PUN Hiu Lok ATT772 Licensed Representative (Provisional Licence) 1, 4RASTOMJEE Cyrus Russi ATS154 Licensed Representative (Provisional Licence) 1RAUIS Bruno Martin Jacques Michel ATS714 Licensed Representative (Provisional Licence) 1, 2RHEE Albert Kyuik ATS674 Licensed Representative (Provisional Licence) 1, 6RICKLOW Darryl Michael ATW459 Licensed Representative (Provisional Licence) 1, 2ROBERTSON Blair Meighen ACH688 Licensed Representative (Provisional Licence) 1, 6ROBINSON Hugo William James ATO789 Licensed Representative (Provisional Licence) 4RODRIGUES Peter John ABY942 Licensed Representative (Provisional Licence) 4, 9ROLLINS Christopher Tourlea ATO457 Licensed Representative (Provisional Licence) 1SABHERWAL Hemant AML888 Licensed Representative (Provisional Licence) 1, 6SAK Kai Yau ATR363 Licensed Representative (Provisional Licence) 1, 2SASPORTAS Ashley Joseph ATP147 Licensed Representative (Provisional Licence) 1SCOTT Christopher ATO855 Licensed Representative (Provisional Licence) 1

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2009CE Name CE No. Licence Type Types of Regulated ActivitySHAH Bhavin ATO810 Licensed Representative (Provisional Licence) 1, 2, 7SHARMA Pankaj ATO968 Licensed Representative (Provisional Licence) 4SHETH Mihir Milindra ATO049 Licensed Representative (Provisional Licence) 1SHI Xiaoyu ATO814 Licensed Representative (Provisional Licence) 1, 6SHIVALINGAM Sanjeevan ATR492 Licensed Representative (Provisional Licence) 1SIA Lim, Selina ACO266 Licensed Representative (Provisional Licence) 4SIN Pak Cheong Philip Charles AGC925 Licensed Representative (Provisional Licence) 1, 6SIT Wing Man Fanny ATO770 Licensed Representative (Provisional Licence) 1SO Hing Nin, Henry ATR442 Licensed Representative (Provisional Licence) 1SO Kit Wai, Susanna ATS534 Licensed Representative (Provisional Licence) 1, 4SO Regina Ka Ying ATT109 Licensed Representative (Provisional Licence) 1SOMANI Anirudh ATS210 Licensed Representative (Provisional Licence) 1STREETER Mark ATS186 Licensed Representative (Provisional Licence) 1SU Shan AOU240 Licensed Representative (Provisional Licence) 1, 6SUN Peifang ATR253 Licensed Representative (Provisional Licence) 4, 5, 9SUN Quanyong ATV923 Licensed Representative (Provisional Licence) 1, 4SUPANGAT Herman AQF073 Licensed Representative (Provisional Licence) 1, 4SZE Cha Mau ATW605 Licensed Representative (Provisional Licence) 3TAKAHASHI Gennosuke ATN349 Licensed Representative (Provisional Licence) 1, 2TAM Hon Bun, Edwin ATO772 Licensed Representative (Provisional Licence) 1, 2, 7TAM Kin Sang, Samson ATQ922 Licensed Representative (Provisional Licence) 1, 2TAN Li Chiang, Aurelia ATQ763 Licensed Representative (Provisional Licence) 1TANG Ke AST875 Licensed Representative (Provisional Licence) 1, 6TANG Yun Kwong ATV457 Licensed Representative (Provisional Licence) 1, 2, 4, 5, 9TEATHER Edward Kenneth ATO800 Licensed Representative (Provisional Licence) 4THEODORE Sam William ATS057 Licensed Representative (Provisional Licence) 4TING Ka Man ATR339 Licensed Representative (Provisional Licence) 1TO Sze Wing, Crystal ATR755 Licensed Representative (Provisional Licence) 1TOKIZAWA Hayata ATV564 Licensed Representative (Provisional Licence) 1, 4, 9TONG Tsz Chun ATS073 Licensed Representative (Provisional Licence) 1, 2TOY Michelle ATO561 Licensed Representative (Provisional Licence) 1TSAI Chien-kuo ALA691 Licensed Representative (Provisional Licence) 4TSAI Yeung ATS683 Licensed Representative (Provisional Licence) 1, 6TSANG Kwok Leung, Duncan AML597 Licensed Representative (Provisional Licence) 1TSANG Shun ATT402 Licensed Representative (Provisional Licence) 1TSE Koon Nang, Colin ATR121 Licensed Representative (Provisional Licence) 1, 9

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2009CE Name CE No. Licence Type Types of Regulated ActivityTSO Shiu Kei, David ATO644 Licensed Representative (Provisional Licence) 1TSUE Wing Yeung ATP049 Licensed Representative (Provisional Licence) 4, 9TSUI Chak Sum ATT780 Licensed Representative (Provisional Licence) 4VALENTINE Benjamin Neil ATQ905 Licensed Representative (Provisional Licence) 1, 2VANDEVILLE Betty Yvonne Gusta Mathilde ATS636 Licensed Representative (Provisional Licence) 1, 4WACHTMEISTER Pontus Nils Fredrik S ATS490 Licensed Representative (Provisional Licence) 9WAN Cheuk Wing ATP167 Licensed Representative (Provisional Licence) 4WAN Chi Man ATP150 Licensed Representative (Provisional Licence) 1WANG Chao ATO947 Licensed Representative (Provisional Licence) 4WANG Lu ATT456 Licensed Representative (Provisional Licence) 1, 6WANG Tai-jen, Jeffrey ATO198 Licensed Representative (Provisional Licence) 1, 2WANG Xiaofan ATR687 Licensed Representative (Provisional Licence) 1WANG Xinying ATO443 Licensed Representative (Provisional Licence) 1, 2WANG Yan Yiu ATR361 Licensed Representative (Provisional Licence) 1, 2WATSON Toby Clive Sutherland ATR020 Licensed Representative (Provisional Licence) 1, 2WEAVER Jacob Carl ATS224 Licensed Representative (Provisional Licence) 1WEE Yee Yeong AJM734 Licensed Representative (Provisional Licence) 1WEN Yaomin ATW445 Licensed Representative (Provisional Licence) 1, 6WIJAYA Sastra ATR636 Licensed Representative (Provisional Licence) 1WINTER Philip Francis David AQG466 Licensed Representative (Provisional Licence) 1, 2WONG Bo Kwun, Queenie ABE476 Licensed Representative (Provisional Licence) 1, 2WONG Choi Fat ATR490 Licensed Representative (Provisional Licence) 1WONG Chun ATS895 Licensed Representative (Provisional Licence) 1WONG Chung Yan ATS382 Licensed Representative (Provisional Licence) 4WONG Ka Fei, Alfred ATS072 Licensed Representative (Provisional Licence) 1, 2WONG Ka Hang ATO876 Licensed Representative (Provisional Licence) 1WONG Kai Lap , Eric AET869 Licensed Representative (Provisional Licence) 1, 6WONG Kam Fei ATW444 Licensed Representative (Provisional Licence) 1, 4, 6WONG King Chung APB407 Licensed Representative (Provisional Licence) 1, 6WONG Kwok Wai AOY613 Licensed Representative (Provisional Licence) 1, 4WONG Man Chi Maggie ATV731 Licensed Representative (Provisional Licence) 1WONG Man Huen, Mandy AKO878 Licensed Representative (Provisional Licence) 1, 2, 4, 5WONG Man Kay, Ignacio ATS153 Licensed Representative (Provisional Licence) 1, 2WONG Peter ATR166 Licensed Representative (Provisional Licence) 1, 3WONG Tai Cheung, Andrew AKO636 Licensed Representative (Provisional Licence) 1, 7WONG Wai Tao ATW049 Licensed Representative (Provisional Licence) 1, 2

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2009CE Name CE No. Licence Type Types of Regulated ActivityWONG Wing Cho ATR473 Licensed Representative (Provisional Licence) 1WONG Yuk Fai ATS542 Licensed Representative (Provisional Licence) 1, 2WU Carl ATS488 Licensed Representative (Provisional Licence) 1, 4WU Fanghua ASJ740 Licensed Representative (Provisional Licence) 4WU Jin ATW234 Licensed Representative (Provisional Licence) 1WU Qiong ATQ759 Licensed Representative (Provisional Licence) 1, 4, 6WU Shanshan ATQ890 Licensed Representative (Provisional Licence) 1, 2WU Vicky ATO955 Licensed Representative (Provisional Licence) 1, 2XIE Chengsi ATQ775 Licensed Representative (Provisional Licence) 1XU Feng ATS770 Licensed Representative (Provisional Licence) 1, 6XU Jing Jing ATR685 Licensed Representative (Provisional Licence) 1, 4XU Mengmeng ARI794 Licensed Representative (Provisional Licence) 1, 4, 6XU Naijie ATR686 Licensed Representative (Provisional Licence) 4, 9XU Xin ATS864 Licensed Representative (Provisional Licence) 1, 6YAN Hao ASH980 Licensed Representative (Provisional Licence) 1YAN In Tan, Teresa ACY655 Licensed Representative (Provisional Licence) 1, 2YAN Weiying, Grace ATQ907 Licensed Representative (Provisional Licence) 1, 4, 9YANG Shenshen ATV287 Licensed Representative (Provisional Licence) 6YEH Shu-hung ATQ772 Licensed Representative (Provisional Licence) 1YEK Jia Jin Justin ATS711 Licensed Representative (Provisional Licence) 1, 6YEON Dayea AQU055 Licensed Representative (Provisional Licence) 1, 6YEUNG Bailey ATN558 Licensed Representative (Provisional Licence) 1, 2, 7YEUNG Chi Man ATR478 Licensed Representative (Provisional Licence) 4YEUNG Chun Wah, Roger ABQ555 Licensed Representative (Provisional Licence) 1, 2YEUNG Chun Wai, Anthony AME473 Licensed Representative (Provisional Licence) 1, 7YEUNG Kin Lok ATV435 Licensed Representative (Provisional Licence) 1, 2YEUNG Pauline ATR855 Licensed Representative (Provisional Licence) 1, 2, 7YEUNG Pik Ki, Becky ASO317 Licensed Representative (Provisional Licence) 1YEUNG Tak Wah ATR495 Licensed Representative (Provisional Licence) 1, 2YIAN Chui Wah, Lethe ACT312 Licensed Representative (Provisional Licence) 1, 2, 4, 9YIM Man Leong, Francis ADN999 Licensed Representative (Provisional Licence) 1, 2YIM Ying Ki ATV465 Licensed Representative (Provisional Licence) 1, 2YIP Man Yi, Serina AEL135 Licensed Representative (Provisional Licence) 1YIP Yin ATT869 Licensed Representative (Provisional Licence) 1YOKOSUKA Sayaka ATR827 Licensed Representative (Provisional Licence) 1, 2YU Shek Lun ATQ882 Licensed Representative (Provisional Licence) 1

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2009CE Name CE No. Licence Type Types of Regulated ActivityYU Tin Yau, Elvin AGK719 Licensed Representative (Provisional Licence) 1, 4, 9YUEN Lai Fong, Dorothy ACA976 Licensed Representative (Provisional Licence) 4, 5, 9YUNG Lai Kuen ATV279 Licensed Representative (Provisional Licence) 1ZAHEER Sajjad Ashish ATO193 Licensed Representative (Provisional Licence) 1, 2ZENG Zhujun ATQ773 Licensed Representative (Provisional Licence) 1, 2ZHANG BROGLE Jing ATR489 Licensed Representative (Provisional Licence) 1, 4ZHANG Dijiang ATS379 Licensed Representative (Provisional Licence) 6ZHANG Gerald ATS686 Licensed Representative (Provisional Licence) 1, 6ZHANG Jingjing ATO456 Licensed Representative (Provisional Licence) 1, 6ZHANG Kai ATR358 Licensed Representative (Provisional Licence) 9ZHANG Liwei AKU933 Licensed Representative (Provisional Licence) 1, 6ZHANG Xudong ATR338 Licensed Representative (Provisional Licence) 1ZHAO Sharon Chang ARN679 Licensed Representative (Provisional Licence) 1ZHU Pingping ATO774 Licensed Representative (Provisional Licence) 1ZHU Tianfeng ATV955 Licensed Representative (Provisional Licence) 4ZHU Yuan ATS925 Licensed Representative (Provisional Licence) 1, 4AKIZUKI Manabu AMM295 Licensed Representative (Temporary Licence) 4BARRETT David J ATY693 Licensed Representative (Temporary Licence) 1BEHIN Jean-Marc, Edouard ATX318 Licensed Representative (Temporary Licence) 1, 2BEVERIDGE Neil Alexander Stewart ATM595 Licensed Representative (Temporary Licence) 4BIALLUCH Lilli Charlotte ATI237 Licensed Representative (Temporary Licence) 4BOTELHO BASTOS Pedro Augusto ATV304 Licensed Representative (Temporary Licence) 1CHINNERY Michelle Anne ARD431 Licensed Representative (Temporary Licence) 1CLAPPIER John Frederick AGL393 Licensed Representative (Temporary Licence) 1, 2CLARK Dwane Bryan ATX809 Licensed Representative (Temporary Licence) 1DELL Benjamin Philip ATX653 Licensed Representative (Temporary Licence) 4DUGGAL Sanjiv APW681 Licensed Representative (Temporary Licence) 1ELLIS John Robert Victor ATS889 Licensed Representative (Temporary Licence) 4FINEBERG Jonathan Erich AFQ918 Licensed Representative (Temporary Licence) 1, 4GEORGE Bradley John AQF002 Licensed Representative (Temporary Licence) 4GRIFFITHS Graeme Derek Victor AOA583 Licensed Representative (Temporary Licence) 4GRIFFITHS Graeme Derek Victor AOA583 Licensed Representative (Temporary Licence) 4GUINLE Alexandra Mercedes Catherine ATY690 Licensed Representative (Temporary Licence) 1HELFER Paul Douglas ARF416 Licensed Representative (Temporary Licence) 1IMMEL Andreas Wolfram Peter AMR653 Licensed Representative (Temporary Licence) 1IP Angela Sin-Yue ANN456 Licensed Representative (Temporary Licence) 2

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REMOVALS OF LICENSED PERSONS/REGISTERED INSTITUTIONS DURING 10/2009CE Name CE No. Licence Type Types of Regulated ActivityJOUBERT Pierre Delmar ATI743 Licensed Representative (Temporary Licence) 1, 6KAUFFMANN Todd Christopher ATY699 Licensed Representative (Temporary Licence) 1KOHTANI Motoya ARF535 Licensed Representative (Temporary Licence) 4KONIALIDIS Nikolaos Chrysostomos ATX891 Licensed Representative (Temporary Licence) 4KONIALIDIS Nikolaos Chrysostomos ATX891 Licensed Representative (Temporary Licence) 4KONIALIDIS Nikolaos Chrysostomos ATX891 Licensed Representative (Temporary Licence) 4LACEY Mark Anthony ARP109 Licensed Representative (Temporary Licence) 4LAU Ashleigh Rachel Yerk-nan ATY696 Licensed Representative (Temporary Licence) 1LEYTON RIVAS Rodrigo Eugenio ATX993 Licensed Representative (Temporary Licence) 1MARUYAMA Yuko ATW218 Licensed Representative (Temporary Licence) 4MINNETIAN Matthew James AMN565 Licensed Representative (Temporary Licence) 4NISHI Katsuhiro ATW712 Licensed Representative (Temporary Licence) 1NOWLIN Kevin Michael ACN458 Licensed Representative (Temporary Licence) 1PATTISAHUSIWA Nurdiaz Alvin ATS149 Licensed Representative (Temporary Licence) 4PEEBLES Douglas James AMD163 Licensed Representative (Temporary Licence) 4PETTINATO Jillian Elaine ATO928 Licensed Representative (Temporary Licence) 4POLLAK Alex AMS704 Licensed Representative (Temporary Licence) 4RAMALINGGAM Keiko ATY692 Licensed Representative (Temporary Licence) 1RAW Catherine Philippa ATR488 Licensed Representative (Temporary Licence) 4SAITO Katsushi ATW220 Licensed Representative (Temporary Licence) 4SAKURAI Yuta AQU371 Licensed Representative (Temporary Licence) 4SHEN Ju-ching ATS930 Licensed Representative (Temporary Licence) 4SIDIK Muhamad Umar Johan ATS150 Licensed Representative (Temporary Licence) 4SIMMS Kevin Frederick AUA284 Licensed Representative (Temporary Licence) 4SINGH Gauravjit ATJ285 Licensed Representative (Temporary Licence) 1, 6STOFFELS D'HAUTEFORT Helie, Armand, Emmanuel, Francois ATW119 Licensed Representative (Temporary Licence) 1, 4SUBRAMANIAN Anand ATY694 Licensed Representative (Temporary Licence) 1TOGHER Anthony Michael ANB173 Licensed Representative (Temporary Licence) 4TUBBS Daniel Stuart ATR183 Licensed Representative (Temporary Licence) 4URUSHIHARA Ryoichi ARR527 Licensed Representative (Temporary Licence) 4WACKETT Andrew Crawford AMX311 Licensed Representative (Temporary Licence) 4WIGGINS Clive Richard ATV718 Licensed Representative (Temporary Licence) 4WILLIAMS Toby Lee AEO751 Licensed Representative (Temporary Licence) 4YAMAGUCHI Keiko ATW221 Licensed Representative (Temporary Licence) 4

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