Latest changes in SFC licensees

This page shows the appointments (+) and cessations (-) in SFC licensees over the last 14 days. Licensees are either Responsible Officers (ROs) or Representatives (Reps). We treat a person who holds both roles (in different categories of license) as an RO. We query the SFC database online and update the tables regularly, but we'll always be slightly behind. Note that licensees are not necessarily full-time employees and may have roles in more than 1 firm. As always, click on the column headings to sort up or down. To go back in time, pick a date (14-Apr-2003 or later) in the box below.

Count	Firm	Licensee	Position	Appointed	Ceased
1	ABAX GLOBAL CAPITAL (HONG KONG) LIMITED	Fu Lili	+Rep	14-Jun-2013
2	ABLE ALLIANCE INTERNATIONAL LIMITED	Po Angela On Ki	-Rep	18-Jan-2013	7-Jun-2013
3	AEGON Asset Management (Asia) Limited	Dingemans Richard Alexander	+Rep	13-Jun-2013
4	Affiliated Managers Group (Hong Kong) Limited	Wilmerding Alexander	+RO	14-Jun-2013
5	ALTRUIST FINANCIAL GROUP LIMITED	Yiu Chin	-RO	20-Jan-2004	13-Jun-2013
6	AMTD FINANCIAL PLANNING LIMITED	Chan Laurie Lok Yiu	+Rep	6-Jun-2013
7	Amundi Hong Kong Limited	Zhou Fangwen	+Rep	13-Jun-2013
8	ANZ Securities (HK) Limited	Cotroneo Tommaso	-RO	19-Nov-2012	14-Jun-2013
9	Arete Research Asia Limited	Leung Catherine Yu Hua	-Rep	5-Dec-2012	12-Jun-2013
10	ARGYLE STREET MANAGEMENT LIMITED	Wong Michelle Oi Chu	-Rep		18-Jun-2013
11	Asia Alternative Asset Partners Limited	Raftell Hanna Kristina	+Rep	17-Jun-2013
12	Asiya Investments Hong Kong Limited	Boushahri Ahmad A Q A M	-Rep	28-Nov-2012	7-Jun-2013
13		Johnson Christopher Lind	+Rep	13-Jun-2013
14	ASPEN HILL PARTNERS (HONG KONG) LIMITED	Fong Agnes Chiu Hung	-Rep	12-Apr-2012	14-Jun-2013
15		Lin Wai Shan	+Rep	17-Jun-2013
16	Astrum Capital Management Limited	Li Alvan Wai Ho	+Rep	6-Jun-2013
17	Athos Capital Limited	Gordon Amy Shelagh	+Rep	6-Jun-2013
18	BACH SYSTEMATIC INVESTING LIMITED	Ondo Henry Takashi	+RO	10-Jun-2013
19		Wu Miaodan	+RO	10-Jun-2013
20	BARCLAYS CAPITAL ASIA LIMITED	Poon Philip Chung Hein	-RO	22-Nov-2011	11-Jun-2013
21		Yang Lingxiu	-Rep	10-Jun-2010	7-Jun-2013
22	BARING ASSET MANAGEMENT (ASIA) LIMITED	Chai Albert Mei Khoon	+Rep	14-Jun-2013
23	BCT Financial Limited	Wong Chio Weng	+Rep	13-Jun-2013
24	Beijing Securities Limited	Chan Kazier Kit Wah	+Rep	17-Jun-2013
25	BFAM Partners (Hong Kong) Limited	Slezack Emmanuel	+Rep	17-Jun-2013
26	BGC SECURITIES (HONG KONG) LLC	Ho Carmen	+Rep	10-Jun-2013
27	BlackRock (Hong Kong) Limited	Kim Sung Chan	-Rep	4-Jun-2013	18-Jun-2013
28		Shi Tingting	+Rep	6-Jun-2013
29	BlackRock Asset Management North Asia Limited	Kim Sung Chan	-Rep	4-Jun-2013	18-Jun-2013
30		Shi Tingting	+Rep	6-Jun-2013
31	BLACKSTONE GROUP (HK) LIMITED (THE)	Jiang Hua (SFC:BBK016)	+Rep	11-Jun-2013
32	BNP PARIBAS SECURITIES (ASIA) LIMITED	Chan Gabriel Raeburn	+Rep	10-Jun-2013
33		Kaufmann Gregory Scott	+Rep	17-Jun-2013
34		Narain Jayesh Suresh	+Rep	18-Jun-2013
35		Phillips Alexander Cameron	-Rep	16-Nov-2012	10-Jun-2013
36	BOCI ASIA LIMITED	Lau Vincent Chi Kin (SFC:AHA572)	+Rep	17-Jun-2013
37	BOCI RESEARCH LIMITED	Li Wenbin	+Rep	13-Jun-2013
38		Liu Xi (SFC:AUG468)	-Rep	25-Nov-2009	7-Jun-2013
39		Sun Derrick	-Rep	9-Nov-2012	6-Jun-2013
40	BOCI SECURITIES LIMITED	Chen Dan (SFC:BBJ615)	+Rep	7-Jun-2013
41		Kao Su-Jung	+Rep	14-Jun-2013
42		Law Chiu Hing	+Rep	13-Jun-2013
43		Liu Xi (SFC:AUG468)	-Rep	7-Sep-2010	7-Jun-2013
44		Liu Yu (SFC:BBK382)	+Rep	13-Jun-2013
45		Lu Yan	+Rep	6-Jun-2013
46		Xu Haoyun	+Rep	13-Jun-2013
47	BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED	Chow King Yin	+Rep	11-Jun-2013
48		Miu Yik	+Rep	11-Jun-2013
49	BOCOM International (Asia) Limited	Liu Bo	+Rep	7-Jun-2013
50	BOCOM International Securities Limited	Chan Chun Yin (SFC:BBK468)	+Rep	14-Jun-2013
51		Leung Ngo Sheung	+Rep	6-Jun-2013
52		Liu Bo	+Rep	7-Jun-2013
53	Bosera Asset Management (International) Co., Limited	Hou Yong	-RO	12-Mar-2013	11-Jun-2013
54		Ma Yue	-Rep	24-May-2011	13-Jun-2013
55	CANTOR FITZGERALD (HONG KONG) CAPITAL MARKETS LIMITED	Smith Clive Anthony	-Rep	3-Jun-2013	10-Jun-2013
56		Stephens John William	+Rep	11-Jun-2013
57	CAPITAL GLOBAL MANAGEMENT LIMITED	Hsu Chia-Wei	-Rep	1-Mar-2011	18-Jun-2013
58			+RO	18-Jun-2013
59	CASH ASSET MANAGEMENT LIMITED	Wong Cho Ting	+Rep	17-Jun-2013
60	Cavalry Management Group Asia, Limited	Hurley John K	-RO	30-Apr-2010	19-Jun-2013
61		Tierney Michael Kevin	-RO	30-Apr-2010	19-Jun-2013
62	CCB INTERNATIONAL CAPITAL LIMITED	Hu Kun	-Rep	9-Sep-2009	8-Jun-2013
63	CCB INTERNATIONAL SECURITIES LIMITED	Li Kin Chung	-Rep	7-Jul-2011	12-Jun-2013
64	CENTALINE WEALTH MANAGEMENT LIMITED	Ho Kim Kwong	-RO	17-Sep-2012	6-Jun-2013
65		Yeung Tsz Kit (SFC:AOD475)	+Rep	19-Jun-2013
66	CHARLES SCHWAB, HONG KONG, LIMITED	Xie Shao	-Rep	2-Nov-2011	15-Jun-2013
67	CHIEF COMMODITIES LIMITED	Chow Kevin Hin Lun	+Rep	18-Jun-2013
68	CHIEF SECURITIES LIMITED	Chung Ka Yan	+Rep	17-Jun-2013
69	China Asset Management (Hong Kong) Limited	Lau Cheryl Chit Yue	+Rep	11-Jun-2013
70	China Galaxy International Securities (Hong Kong) Co., Limited	Cheung Michael Po Kuen	+Rep	13-Jun-2013
71		Xu Lingyan	+Rep	14-Jun-2013
72		Ye Qin	+Rep	7-Jun-2013
73	CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED	Shi Minglei (SFC:AYD165)	-RO	5-Jan-2012	15-Jun-2013
74	CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED	Lau Ken Kin Wing	-Rep	6-Mar-2012	7-Jun-2013
75	CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Gao Lu (SFC:BBK703)	+Rep	17-Jun-2013
76		Jiang Zhiwei (SFC:BBK034)	+Rep	11-Jun-2013
77		Lau Ken Kin Wing	-Rep	6-Mar-2012	7-Jun-2013
78	CHINA INTERNATIONAL FUTURES (HONG KONG) COMPANY LIMITED	Lee Man Chun	+Rep	14-Jun-2013
79	CHINA MAIKE FUTURES INTERNATIONAL LIMITED	Chan Tak Hong	-Rep	22-Mar-2012	8-Jun-2013
80	CHINA MERCHANTS FUTURES (HK) CO., LIMITED	Lee Chung Man (SFC:AGF470)	-Rep	12-Aug-2010	7-Jun-2013
81	CHINA MERCHANTS SECURITIES (HK) CO., LIMITED		-Rep	12-Aug-2010	7-Jun-2013
82		Li Bin (SFC:ANE146)	+Rep	19-Jun-2013
83	China Renaissance Securities (Hong Kong) Limited	Werkun Krzysztof	+Rep	6-Jun-2013
84	China Securities (International) Brokerage Company Limited	Lu Yen Ying	+Rep	13-Jun-2013
85		Wong Yuk Wai Crystal	+Rep	13-Jun-2013
86	China Securities (International) Corporate Finance Company Limited	Lam Mabel	+RO	16-Jun-2013
87		Lau Vincent Chi Kin (SFC:AHA572)	-RO	8-Apr-2013	16-Jun-2013
88		Qin Xuan	+Rep	6-Jun-2013
89	CHINA TIMES SECURITIES LIMITED	Ng Penny Yuk	+Rep	17-Jun-2013
90	CHINA XIN YONGAN FUTURES COMPANY LIMITED	Wong Yik Lun	+Rep	17-Jun-2013
91	CHINA YINSHENG SECURITIES LIMITED	Chan Yat Hang	-Rep	20-May-2013	8-Jun-2013
92		Chen Jordy Haoyun	-Rep	9-Jun-2010	15-Jun-2013
93	CHONG HING SECURITIES LIMITED	Cheng Kwok Ming	+Rep	10-Jun-2013
94	CIMB Securities Limited	Agarwal Manoj	-RO	27-Aug-2012	13-Jun-2013
95		Chan Chin Kiu	+Rep	7-Jun-2013
96		Huang Haofeng	+Rep	17-Jun-2013
97		Huang Wei	+Rep	7-Jun-2013
98		Shek Cheuk Hang	+Rep	6-Jun-2013
99		Wu Qifeng	+Rep	19-Jun-2013
100	CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED	Tsai Chi Wai	+Rep	11-Jun-2013
101	CINDA INTERNATIONAL FUTURES LIMITED	Fu Wei (SFC:AYC292)	+Rep	11-Jun-2013
102		Kwan Hilda Wai Ling	+Rep	11-Jun-2013
103	CINDA INTERNATIONAL SECURITIES LIMITED	Fu Wei (SFC:AYC292)	+Rep	11-Jun-2013
104		Kwan Hilda Wai Ling	+Rep	11-Jun-2013
105		Yeung Martin Ting For	+Rep	11-Jun-2013
106	CITIC Securities Brokerage (HK) Limited	Sze Chiu Kwan	+Rep	6-Jun-2013
107	CITIC Securities Corporate Finance (HK) Limited	Mo Weishu	+Rep	11-Jun-2013
108		Nie Shuoliang	-Rep	3-Mar-2011	15-Jun-2013
109	CITIC Securities Futures (HK) Limited	Chen Hao (SFC:ATB830)	+Rep	19-Jun-2013
110		Sun Jianfeng (SFC:AOC797)	+Rep	19-Jun-2013
111		Sze Chiu Kwan	+Rep	6-Jun-2013
112	CITIGROUP GLOBAL MARKETS ASIA LIMITED	Chow Hoi Shan	-Rep	27-May-2011	7-Jun-2013
113		Huang Lini	+Rep	7-Jun-2013
114		Huo Dengjin	+Rep	18-Jun-2013
115		Lau Alan John Yan Lun	-Rep	11-Feb-2009	7-Jun-2013
116		Lee Terry Tai-Suk	+Rep	18-Jun-2013
117		Liu Chao-ming	+Rep	14-Jun-2013
118		Sun Ying (SFC:AYR793)	+Rep	10-Jun-2013
119		Wang Junyi	+Rep	10-Jun-2013
120	CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Cho Yongjoon	+Rep	6-Jun-2013
121		Lau Alan John Yan Lun	-Rep	11-Feb-2009	7-Jun-2013
122		Lee Terry Tai-Suk	+Rep	18-Jun-2013
123		Liu Chao-ming	+Rep	14-Jun-2013
124	CITY CREDIT CAPITAL (HK) LIMITED	Zhang Jia Jun	+Rep	10-Jun-2013
125	CMB International Capital Limited	Chim So Ting	+Rep	7-Jun-2013
126	CNI Securities Group Limited	Suen Ho Yi	+Rep	11-Jun-2013
127	CONCORD ASSET MANAGEMENT (HK) LIMITED	Chan Ki Yin	+Rep	11-Jun-2013
128	CONVOY ASSET MANAGEMENT LIMITED	Chan Chi Chiu (SFC:BBG665)	+Rep	11-Jun-2013
129		Chan Chi Yan	+Rep	6-Jun-2013
130		Chik Joanne Yuen Wai	+Rep	11-Jun-2013
131		Chung James Ho Bong	+Rep	7-Jun-2013
132		Fung Eddy Yat Jing	+Rep	11-Jun-2013
133		Leung Victor Wing Tat	+Rep	11-Jun-2013
134		Lo Cheuk Wai	+Rep	11-Jun-2013
135		Ng Ka Fung (SFC:BBG849)	+Rep	11-Jun-2013
136		Pang Tak Yin	+Rep	11-Jun-2013
137		Tse Hei Man	+Rep	11-Jun-2013
138		Tsui Leong	+Rep	11-Jun-2013
139		Wan Shiyao	+Rep	11-Jun-2013
140	CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Hsia Shih-Hsuan	-Rep	11-Nov-2011	10-Jun-2013
141			+RO	10-Jun-2013
142		Wong Chung	-Rep	5-Nov-2012	10-Jun-2013
143		Wong Yun Tan	+Rep	10-Jun-2013
144	CORE PACIFIC-YAMAICHI CAPITAL LIMITED	Hsia Shih-Hsuan	-Rep	11-Nov-2011	10-Jun-2013
145			+RO	10-Jun-2013
146	CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Wong Chung	-Rep	5-Nov-2012	10-Jun-2013
147		Wong Yun Tan	+Rep	10-Jun-2013
148	Credit Suisse (Hong Kong) Limited	Cui Kevin	+Rep	19-Jun-2013
149		Gamble Paul	+Rep	17-Jun-2013
150		Lebrun Jamie	-Rep	31-May-2013	17-Jun-2013
151		Shardlow Alexanda Alan Nathan	+Rep	19-Jun-2013
152	CSOP Asset Management Limited	Chung Ka Yue	-Rep	20-Sep-2012	7-Jun-2013
153	Cypress Capital Hong Kong Limited	Li Tsz Lam	+RO	19-Jun-2013
154		Lin Shih Chieh (SFC:AKV330)	+RO	19-Jun-2013
155	DBS ASIA CAPITAL LIMITED	Ho Stephen Chiming	-RO	23-Mar-2011	15-Jun-2013
156	De Riva Asia Limited	Lee Dick Tik Man	-Rep	21-Mar-2013	18-Jun-2013
157			+RO	18-Jun-2013
158		Ling Daisy Yan Ki	-Rep	12-Nov-2010	10-Jun-2013
159	De Tiger Capital Limited	Kwong Joseph Gin Ming	+Rep	6-Jun-2013
160	Delta Asia Wealth Management Limited	Wong Siu Kee	+Rep	10-Jun-2013
161	DEUTSCHE SECURITIES ASIA LIMITED	Castellan Steven	-Rep	4-Jun-2013	9-Jun-2013
162		Fu Hsiang Chuan	-Rep	30-Aug-2010	12-Jun-2013
163		Henwood Julian Peter	-Rep	14-Jun-2013	19-Jun-2013
164		Kelly Patrick Cahill	+Rep	10-Jun-2013
165		Pitkin Joel Hyuck-Choon	-Rep	3-Jun-2013	13-Jun-2013
166		Singh Vaibhav	-Rep	4-Jun-2013	9-Jun-2013
167		Wang Peipei	+Rep	10-Jun-2013
168	Direxion Asia Limited	Blackburn Andrew James	+RO	13-Jun-2013
169		Jablonski Sylvia M	+RO	13-Jun-2013
170	E FUND MANAGEMENT (HONG KONG) CO., LIMITED	Tseng Ko	-Rep	20-May-2013	14-Jun-2013
171			+RO	14-Jun-2013
172	ELITE FINANCIAL SERVICES LIMITED	Lee Annie Yuk Chun	-Rep	6-Jun-2013	8-Jun-2013
173		Tsui Chun Kuen Ken	-Rep	6-Jun-2013	8-Jun-2013
174		Wong Ho Tat	-Rep	6-Jun-2013	8-Jun-2013
175		Wong Man Wai (SFC:AON653)	-Rep	6-Jun-2013	8-Jun-2013
176	EMPEROR FUTURES LIMITED	Mou Shuk Han	-Rep	13-Nov-2009	10-Jun-2013
177	EMPEROR INTERNATIONAL EXCHANGE (HONG KONG) COMPANY LIMITED	Chang Ho Yin	+Rep	7-Jun-2013
178	EMPEROR SECURITIES LIMITED	Mou Shuk Han	-Rep	13-Nov-2009	10-Jun-2013
179	ENERCHINE INVESTMENT MANAGEMENT LIMITED	Chan Chi Hang (SFC:ALH858)	+Rep	13-Jun-2013
180	Everbright Capital Management Limited	Ahmed Alauddin	+Rep	18-Jun-2013
181		McCafferty Gregory Dominic	+Rep	6-Jun-2013
182	ExaByte Capital Management (HK) Limited	Qian Sam Zhongshan	+RO	7-Jun-2013
183	Excalibur Global Financial Group Limited	Mok Chit Hang	+Rep	13-Jun-2013
184	FAIR CAPITAL MANAGEMENT LIMITED	Yip Tai Yuen	-Rep	15-May-2013	14-Jun-2013
185			+RO	14-Jun-2013
186	FIL Investment Advisors	Li David Yin Hei	+Rep	7-Jun-2013
187	FIL Investment Management (Hong Kong) Limited		+Rep	7-Jun-2013
188	FINAPORT (HONG KONG) LIMITED	Mangaraj Sambit	+Rep	10-Jun-2013
189	FIRST STATE INVESTMENTS (HONG KONG) LIMITED	Casarotto Renzo Virginio	-Rep	17-Jun-2013	18-Jun-2013
190		Warner Joanne Kathleen	-Rep	17-Jun-2013	18-Jun-2013
191	FUBON SECURITIES (HONG KONG) LIMITED	Chan Tsz Hon	-Rep	10-Dec-2012	8-Jun-2013
192		Yu Anthony Sai Yin	+Rep	6-Jun-2013
193	FULBRIGHT FUTURES LIMITED	Lam Ka Kin	+Rep	6-Jun-2013
194	FULBRIGHT SECURITIES LIMITED		+Rep	6-Jun-2013
195	Fundamental Dynamics (HK) Limited	D'Souza Felix Otto	+RO	11-Jun-2013
196		Jamet Nicolas Jean-Claude Bernard	+Rep	18-Jun-2013
197		Mercer Alan Kenneth	+RO	11-Jun-2013
198	Futu Securities International (HONG KONG) Limited	Chan Wing Kei (SFC:AMM087)	+Rep	17-Jun-2013
199	FX ONE LIMITED	He Yujing	-Rep	16-Jan-2013	9-Jun-2013
200	FXCM ASIA LIMITED	Lam Kwong Fung	-Rep	2-Aug-2006	15-Jun-2013
201	Gain Capital - Forex.com Hong Kong Limited	Chu Hon Ting	+Rep	17-Jun-2013
202		Ko Nok	+Rep	6-Jun-2013
203		Zhao Pu	+Rep	7-Jun-2013
204	GAM HONG KONG LIMITED	Cheng Carol Wai Chu	-Rep		18-Jun-2013
205	GAVEKAL CAPITAL LIMITED	Lee Jeonghee	-Rep	31-Aug-2010	10-Jun-2013
206		Ma Gavin See-Yin	+Rep	11-Jun-2013
207	GCIS LIMITED	Snelgrove Paul Rodger	+Rep	7-Jun-2013
208	GETCO Asia (Hong Kong) Limited	Moslehi Farid	-RO	19-Oct-2012	14-Jun-2013
209	GF FUTURES (HONG KONG) CO., LIMITED	Lee Chung Man (SFC:AGF470)	+Rep	13-Jun-2013
210		Tsui Chung	-Rep	3-Apr-2013	14-Jun-2013
211	GF Securities (Hong Kong) Brokerage Limited	Lee Chung Man (SFC:AGF470)	+Rep	13-Jun-2013
212		Tsui Chung	-Rep	17-Jun-2010	14-Jun-2013
213	GLORY SKY GLOBAL MARKETS LIMITED	Yu Chi Kwong (SFC:BBG507)	+Rep	6-Jun-2013
214	GOLDMAN SACHS (ASIA) L.L.C.	Chang David Da-Wei	+Rep	7-Jun-2013
215		Devereux Wong Virginia	-Rep	12-Feb-2010	14-Jun-2013
216		Mehra Nehal	+Rep	17-Jun-2013
217		Ngoh You'An	-Rep	21-Oct-2010	8-Jun-2013
218		Pool Lucinda Emma	-Rep	28-Jun-2012	6-Jun-2013
219		Potishko Dmitri	+Rep	14-Jun-2013
220		Richdale Kate Gaskell	+Rep	14-Jun-2013
221		Shaykevich Inna Aleksandra	+Rep	18-Jun-2013
222		Shipton James Roger Francis	-Rep	27-Sep-2004	18-Jun-2013
223		Siette Juliet	+Rep	14-Jun-2013
224		Sun Fei (SFC:BBK314)	+Rep	14-Jun-2013
225		Tang Shaohua	+Rep	13-Jun-2013
226		Wai Tony Pak Ming	+Rep	13-Jun-2013
227		Wu Ya Lan	+Rep	6-Jun-2013
228	GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Potishko Dmitri	+Rep	14-Jun-2013
229		Sun Fei (SFC:BBK314)	+Rep	14-Jun-2013
230	GOLDMAN SACHS FUTURES (ASIA) LIMITED	Mehra Nehal	+Rep	17-Jun-2013
231		Pool Lucinda Emma	-Rep	28-Jun-2012	6-Jun-2013
232		Potishko Dmitri	+Rep	14-Jun-2013
233		Shaykevich Inna Aleksandra	+Rep	18-Jun-2013
234		Shipton James Roger Francis	-Rep	27-Sep-2004	18-Jun-2013
235		Sun Fei (SFC:BBK314)	+Rep	14-Jun-2013
236		Wu Ya Lan	+Rep	6-Jun-2013
237	GRAND VINCO CAPITAL LIMITED	Chung Jasper Ho Chi	-Rep	6-Aug-2009	14-Jun-2013
238			+RO	14-Jun-2013
239	Great Lakes Hong Kong Limited	Purpura William Charles	-RO	26-Apr-2010	13-Jun-2013
240	GuocoCapital Limited	Kam Man Wai	+Rep	14-Jun-2013
241	GuocoCommodities Limited		+Rep	14-Jun-2013
242	GUOSEN SECURITIES (HK) ASSET MANAGEMENT COMPANY LIMITED	Chen Chen (SFC:AXA055)	-Rep	21-Mar-2011	14-Jun-2013
243		Lee Andrew Shu Yan	-Rep	26-Sep-2011	10-Jun-2013
244	Guosen Securities (HK) Brokerage Company, Limited	Chen Chen (SFC:AXA055)	-Rep	10-Apr-2013	14-Jun-2013
245		Huang Jining	+Rep	17-Jun-2013
246		Sun Yuan	+Rep	10-Jun-2013
247	GUOTAI JUNAN CAPITAL LIMITED	Ng Pak Lin	+Rep	10-Jun-2013
248	Guotai Junan FX Limited	Kan Pinky Lai Ping	+Rep	10-Jun-2013
249	GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Han Zhe	-Rep	10-Apr-2013	9-Jun-2013
250		Shen Bowen	-Rep	4-Mar-2011	18-Jun-2013
251	HAI TONG ASSET MANAGEMENT (HK) LIMITED	Wu Jiang (SFC:AVD832)	-Rep	15-Sep-2010	10-Jun-2013
252			+RO	10-Jun-2013
253		Xie Zhengyang	-RO	27-Feb-2012	10-Jun-2013
254	HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED	Wu Jiang (SFC:AVD832)	-Rep	15-Sep-2010	10-Jun-2013
255			+RO	10-Jun-2013
256		Xie Zhengyang	-RO	27-Feb-2012	10-Jun-2013
257	HAITONG INTERNATIONAL CAPITAL LIMITED	Chan Yin Lam (SFC:ANM835)	-RO	17-Jan-2013	15-Jun-2013
258		Wong Jovi Chi Wing	-Rep	15-Sep-2010	15-Jun-2013
259	HAITONG INTERNATIONAL FUTURES LIMITED	Ho Kwok Wai (SFC:ATL880)	-Rep	27-Jul-2010	13-Jun-2013
260		Lee Man Yu	-Rep	30-Aug-2012	15-Jun-2013
261		Lo Kai Chung	-Rep	4-Sep-2004	8-Jun-2013
262	HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED	Kong Weipeng	+RO	11-Jun-2013
263		Xie Zhengyang	-RO	27-Feb-2012	10-Jun-2013
264	HAITONG INTERNATIONAL RESEARCH LIMITED	Song Lynn Sun	-Rep	14-Mar-2012	6-Jun-2013
265	HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Chan Hoi Cheung	+Rep	11-Jun-2013
266		Fung Wilson Kee Hang	+Rep	14-Jun-2013
267		Ho Kwok Wai (SFC:ATL880)	-Rep	27-Jul-2010	13-Jun-2013
268		Kong Weipeng	+Rep	11-Jun-2013
269		Lee Chiu Fung	+Rep	18-Jun-2013
270		Lee Man Yu	-Rep	30-Aug-2012	15-Jun-2013
271		Lo Kai Chung	-Rep	10-May-2004	8-Jun-2013
272		Sun Ying (SFC:AYF100)	-Rep	11-Oct-2011	8-Jun-2013
273	HANG SENG INVESTMENT MANAGEMENT LIMITED	Sun Alex Chi Keung	+Rep	17-Jun-2013
274	HANG SENG INVESTMENT SERVICES LIMITED	Dai Yiqing	-Rep	23-Jul-2008	14-Jun-2013
275	HANG TAI SECURITIES LIMITED	Ng Penny Yuk	-RO		16-Jun-2013
276		Sze Paul Tat Shing	+RO	7-Jun-2013
277	HARRIS FRASER (INTERNATIONAL) LIMITED	Pan Yuming (SFC:ATJ035)	-Rep	15-Mar-2011	13-Jun-2013
278	Holly Su Futures (Hongkong) Co., Ltd.	Zhang Yiwei (SFC:AQH375)	-RO	24-May-2013	10-Jun-2013
279	HOORAY CAPITAL LIMITED	Ho Ka Wan	-Rep	25-Jul-2011	7-Jun-2013
280	HOORAY SECURITIES LIMITED		-Rep	25-Jul-2011	7-Jun-2013
281	Horizon Asset International (HK) Limited	Son Won Joon	+Rep	13-Jun-2013
282	Houlihan Lokey (China) Limited	Xu Jun	+Rep	10-Jun-2013
283	HSBC BROKING SECURITIES (ASIA) LIMITED	Wong Chin Ho	+Rep	11-Jun-2013
284		Woo Diana	+Rep	11-Jun-2013
285	HSBC Corporate Finance (Hong Kong) Limited	Lee Enoch Yi Nwo	-Rep	9-Mar-2012	14-Jun-2013
286	HSBC Global Asset Management (Hong Kong) Limited	Chaudoin Nathan Richard	+Rep	18-Jun-2013
287		Dunnett Brian David	-Rep	28-May-2013	10-Jun-2013
288		Pang Jason Yat Sing	+Rep	13-Jun-2013
289		Parker Angus James Coats	+Rep	11-Jun-2013
290	HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Chaudoin Nathan Richard	+Rep	18-Jun-2013
291		Dunnett Brian David	-Rep	28-May-2013	10-Jun-2013
292		Parker Angus James Coats	+Rep	11-Jun-2013
293	HSBC SECURITIES BROKERS (ASIA) LIMITED	Chow Wing Nga Alison	-Rep	21-Jul-2011	15-Jun-2013
294		Molin Gregory Benoit Benjamin	-Rep	25-May-2012	17-Jun-2013
295	HUI KAI ASSET MANAGEMENT LIMITED	Chu Jones Law Kwong	+Rep	7-Jun-2013
296	IBTS ASIA (HK) LIMITED	Chan Larry Kei Hong	-Rep	24-May-2010	15-Jun-2013
297		Tsui Chung	+Rep	17-Jun-2013
298	ICBC INTERNATIONAL CAPITAL LIMITED	Liu Yang	+Rep	17-Jun-2013
299		Sun Qijia	+Rep	17-Jun-2013
300	ICBC INTERNATIONAL FUND MANAGEMENT LIMITED	Choi Ka Wai (SFC:ALA617)	+Rep	7-Jun-2013
301		Huang Liming (SFC:AJE095)	+Rep	7-Jun-2013
302		Lu Benson Cheng	+Rep	7-Jun-2013
303		Xu Hai (SFC:AMA054)	+Rep	7-Jun-2013
304		Xu Ke (SFC:AWZ396)	+Rep	7-Jun-2013
305		Zhang Qianqian (SFC:AXK077)	+Rep	7-Jun-2013
306	ICBC INTERNATIONAL RESEARCH LIMITED	Cheng Yuen Hong	-Rep	19-Jan-2010	15-Jun-2013
307	IND-X Securities (Asia) Limited	Han Shan	-Rep	1-Sep-2008	6-Jun-2013
308	ING INVESTMENT MANAGEMENT ASIA PACIFIC (HONG KONG) LIMITED	Arora Bhanu	-Rep	2-Nov-2010	14-Jun-2013
309		Hao Wenli Williams	-Rep	17-Sep-2010	14-Jun-2013
310		Yuen Pui Ho	-Rep	25-Mar-2010	14-Jun-2013
311	ING LIFE INSURANCE COMPANY (BERMUDA) LIMITED	Wong David Tai Wai	+RO	17-Jun-2013
312	INSTINET PACIFIC LIMITED	Chu Wayne Wing Kar	+Rep	10-Jun-2013
313		Wadhera Karan Dharam	+Rep	17-Jun-2013
314	INVESCO ASSET MANAGEMENT ASIA LIMITED	Abdul Rasheed Abdul Jalil Bin	-Rep	10-Jun-2013	16-Jun-2013
315		Cheung Ka Chun (SFC:BBK722)	+Rep	17-Jun-2013
316		Lui Edmond Ho Yin	+Rep	19-Jun-2013
317	INVESCO HONG KONG LIMITED	Cheung Ka Chun (SFC:BBK722)	+Rep	17-Jun-2013
318	ITG Hong Kong Limited	Chung James Wai Hong	+Rep	13-Jun-2013
319	J.P. MORGAN BROKING (HONG KONG) LIMITED	Chan Lilian Nga Yee	+Rep	7-Jun-2013
320		Wang Yuan	-Rep	28-Aug-2012	7-Jun-2013
321	J.P. MORGAN SECURITIES (FAR EAST) LIMITED	Geng Cong (SFC:AUW030)	-Rep	13-Jan-2012	6-Jun-2013
322		Shao Shan	-Rep	13-Jan-2012	7-Jun-2013
323		Sun Tianyang	-Rep	3-Feb-2012	14-Jun-2013
324	JEFFERIES BACHE (HONG KONG) LIMITED	Malhotra Ashwan Kumar	-RO	22-Sep-2005	11-Jun-2013
325	Jefferies Hong Kong Limited	Lawrence Daniel Leonard	+Rep	17-Jun-2013
326		Liu Dongheng	+Rep	17-Jun-2013
327		Shi Feng (SFC:AWI080)	+Rep	10-Jun-2013
328	JF ASSET MANAGEMENT LIMITED	Chan Charmaine Ching Man	+Rep	7-Jun-2013
329	JF INTERNATIONAL MANAGEMENT INC.		+Rep	7-Jun-2013
330	JPMorgan Funds (Asia) Limited		+Rep	7-Jun-2013
331	JS CRESVALE CAPITAL LIMITED	Lee Wing Kee	-Rep	27-Jan-2012	17-Jun-2013
332	KGI ASIA LIMITED	Chen Jordy Haoyun	+Rep	18-Jun-2013
333		Chin Yick Tung	+Rep	18-Jun-2013
334		Ko Kwok Kuen	+Rep	7-Jun-2013
335		Poon King Chung	+Rep	7-Jun-2013
336		Shea Shun Keung	+Rep	7-Jun-2013
337		Sun Yung-Lun	-Rep	16-Oct-2012	12-Jun-2013
338		Tam Yuet Fung	+Rep	19-Jun-2013
339		Tuen Hiu Ching	+Rep	19-Jun-2013
340		Wu Yuk Hung	+Rep	18-Jun-2013
341		Yau Wai Keong	+Rep	19-Jun-2013
342		Yeung Sau Yin	+Rep	7-Jun-2013
343		Yeung Yeuk Kei	+Rep	10-Jun-2013
344	KGI CAPITAL ASIA LIMITED	Lee Yun Cheng	+Rep	13-Jun-2013
345	KGI FUTURES (HONG KONG) LIMITED	Kwan Hiu Fai	+Rep	18-Jun-2013
346		Shea Shun Keung	+Rep	7-Jun-2013
347		Tuen Hiu Ching	+Rep	19-Jun-2013
348		Yeung Sau Yin	+Rep	7-Jun-2013
349		Yeung Yeuk Kei	+Rep	10-Jun-2013
350	KGI SECURITIES (HONG KONG) LIMITED	Kwan Chung Tsz	+Rep	18-Jun-2013
351		Lam Clive King Kui	+Rep	18-Jun-2013
352	KGI WEALTH MANAGEMENT LIMITED	Yuan Qi	+Rep	11-Jun-2013
353	KIM ENG FUTURES (HONG KONG) LIMITED	Wong Tsz Yan (SFC:AYD595)	-Rep	1-Nov-2011	8-Jun-2013
354	KIM ENG SECURITIES (HONG KONG) LIMITED		-Rep	3-Oct-2011	8-Jun-2013
355	Knight Capital Asia Limited	Gough Philip John	-RO	23-Oct-2008	17-Jun-2013
356	Kriya Capital Limited	Leung Stephanie Wing Ying	+Rep	10-Jun-2013
357	LaSalle Investment Management Securities Hong Kong Limited	Ma Patrick Wai Shun	-Rep	1-Nov-2010	19-Jun-2013
358			+RO	19-Jun-2013
359		Siu Catherine Yan Kei	-Rep	4-Jul-2008	19-Jun-2013
360			+RO	19-Jun-2013
361	LGT INVESTMENT MANAGEMENT (ASIA) LIMITED	Ng Donald Ping Fun	+Rep	19-Jun-2013
362	LINK SECURITIES HONG KONG LIMITED	North Michael Joseph	+Rep	6-Jun-2013
363	LIPPO FUTURES LIMITED	Tuen Hiu Ching	-Rep	23-Jul-2003	15-Jun-2013
364	LIPPO INVESTMENTS MANAGEMENT LIMITED	Tsui Annie Sze Kwan	+Rep	17-Jun-2013
365	LIPPO SECURITIES LIMITED	Tuen Hiu Ching	-Rep	23-Jul-2003	15-Jun-2013
366	LIS Investment Services Limited	Chang Wai Hong	-Rep	25-Aug-2011	10-Jun-2013
367	LOUIS CAPITAL MARKETS (HONG KONG) LIMITED	Walker Alicia	+Rep	10-Jun-2013
368	LUK FOOK SECURITIES (HK) LIMITED	Wong Gilbert Kin Chun	-Rep	15-May-2013	19-Jun-2013
369			+RO	19-Jun-2013
370	m CAPITAL investment management Limited	Zhou Linlin	-Rep	3-Aug-2009	19-Jun-2013
371	M3 Capital Partners (HK) Limited	Zhang Liang	+Rep	7-Jun-2013
372	Macquarie Capital (Hong Kong) Limited	Bendall Mark Adrian	-Rep	18-Jun-2012	13-Jun-2013
373			+RO	13-Jun-2013
374		Chiang Kuang An	+Rep	13-Jun-2013
375		Leong Kok Mun	+Rep	17-Jun-2013
376	MACQUARIE CAPITAL SECURITIES LIMITED	Bendall Mark Adrian	-Rep	18-Jun-2012	13-Jun-2013
377			+RO	13-Jun-2013
378		Chiang Kuang An	+Rep	13-Jun-2013
379		Lee Kevin Si Chun	+Rep	18-Jun-2013
380		Leong Kok Mun	+Rep	17-Jun-2013
381	MACQUARIE FUNDS MANAGEMENT HONG KONG LIMITED	Lee Mary Wai Chong	-Rep	22-Dec-2010	6-Jun-2013
382			+RO	6-Jun-2013
383	Mayfair Pacific Financial Group Limited	Wong Ka Man (SFC:AFQ602)	-Rep	5-Nov-2010	18-Jun-2013
384			+RO	18-Jun-2013
385	MCL Assets Limited	Chan Geoffrey Chi Yuen	-Rep	2-Mar-2009	11-Jun-2013
386		Loong Pauline Pui Ling	-Rep	18-Feb-2013	10-Jun-2013
387	MCL BROKERAGE LIMITED	Chu John Kin Fun	+Rep	7-Jun-2013
388	MCL CAPITAL LIMITED	Kan Philip Siu Lun	+RO	7-Jun-2013
389	MCM Asia Limited	Zhang Heather Heqian	+Rep	10-Jun-2013
390	MERCER INVESTMENTS (HK) LIMITED	Wong Sze Man	-Rep	4-Jan-2013	9-Jun-2013
391	MERRILL LYNCH (ASIA PACIFIC) LIMITED	Abraham Deepak George	+Rep	10-Jun-2013
392		Ashra Devesh Bharat	+Rep	17-Jun-2013
393		Behera Roshan Raj	-Rep	4-Jun-2013	11-Jun-2013
394		Bhasin Reena Verma	+Rep	18-Jun-2013
395		Bhutta Jonas Hemant	-Rep	17-Jun-2013	18-Jun-2013
396		Brille Brian Joseph	-Rep	5-Mar-2010	15-Jun-2013
397		Chan Chun To	+Rep	6-Jun-2013
398		Cheung Wai Ki (SFC:APQ154)	-Rep	13-Sep-2007	13-Jun-2013
399		Chopra Sameer	+Rep	18-Jun-2013
400		Desai Hital Prakash	+Rep	17-Jun-2013
401		Garing Simon Robert	-Rep	11-Jun-2013	14-Jun-2013
402		Hong Fanny Suet Kei	+Rep	10-Jun-2013
403		Kitami Masaaki	-Rep	10-Jun-2013	12-Jun-2013
404		Lamba Vikram Singh	+Rep	10-Jun-2013
405		Lau Fung Ki	-Rep	25-Mar-2008	14-Jun-2013
406		Lee Martin Kin Mann	+Rep	10-Jun-2013
407		Li Kan Fung	-Rep	7-Nov-2005	7-Jun-2013
408		Ng Hoi Dick	+Rep	18-Jun-2013
409		Piercy Aaron James	+Rep	18-Jun-2013
410		Sohn Jiung	-Rep	18-Jul-2011	12-Jun-2013
411		Tsoi Geoffrey Wai Yip	+Rep	10-Jun-2013
412		Wong Sharon	-Rep	6-Dec-2006	8-Jun-2013
413		Zhang Xiaosong	-Rep	9-Jun-2006	7-Jun-2013
414	MERRILL LYNCH FAR EAST LIMITED	Abraham Deepak George	+Rep	10-Jun-2013
415		Ashra Devesh Bharat	+Rep	17-Jun-2013
416		Brille Brian Joseph	-Rep	5-Mar-2010	15-Jun-2013
417		Chan Chun To	+Rep	6-Jun-2013
418		Desai Hital Prakash	+Rep	17-Jun-2013
419		Lamba Vikram Singh	+Rep	10-Jun-2013
420		Lee Martin Kin Mann	+Rep	10-Jun-2013
421		Li Kan Fung	-Rep	20-Aug-2010	7-Jun-2013
422		Ng Hoi Dick	+Rep	18-Jun-2013
423		Piercy Aaron James	+Rep	18-Jun-2013
424		Sohn Jiung	-Rep	18-Jul-2011	12-Jun-2013
425		Tsoi Geoffrey Wai Yip	+Rep	10-Jun-2013
426		Wong Sharon	-Rep	31-Aug-2010	8-Jun-2013
427		Zhang Xiaosong	-Rep	9-Jun-2006	7-Jun-2013
428	Million Rich Futures Limited	Chan Chi Chiu	+Rep	14-Jun-2013
429		Chung Colin Chin Tao	+Rep	14-Jun-2013
430	Million Rich Securities Limited	Chan Chi Chiu	+Rep	14-Jun-2013
431		Chung Colin Chin Tao	+Rep	14-Jun-2013
432	MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED	Dale Ashley Robert William	+RO	13-Jun-2013
433	Mirae Asset Securities (HK) Limited		-RO	8-Nov-2011	13-Jun-2013
434	Mitsubishi UFJ Securities (HK), Limited	Lu Dong	+Rep	13-Jun-2013
435		Qureshi Qassim Ali	+Rep	10-Jun-2013
436	MIZUHO SECURITIES ASIA LIMITED	Pervez Ahsan	-Rep	27-May-2013	7-Jun-2013
437		Takahashi Kei	+Rep	19-Jun-2013
438		Takahashi Toshio	-Rep	17-Jun-2013	19-Jun-2013
439		Zhang Xiaoshi	+Rep	14-Jun-2013
440	Moody's Investors Service Hong Kong Limited	Lee John (SFC:AYC035)	-Rep	16-Sep-2011	8-Jun-2013
441		Lee Si Nae	+Rep	17-Jun-2013
442	Morgan Stanley Asia Limited	Calio Joseph Evan	-Rep	7-Jun-2013	14-Jun-2013
443		Conte Antony	+Rep	14-Jun-2013
444		Devitt Scott William	-Rep	31-May-2013	7-Jun-2013
445		Fun Silvia Sze Wai	+Rep	10-Jun-2013
446		Greene Jr William Jeffrey	+Rep	13-Jun-2013
447		Lee Man Kit (SFC:APM126)	+Rep	17-Jun-2013
448		Leung Issac Kam Lung	+Rep	19-Jun-2013
449		Sasaki Keiko	-Rep	31-May-2013	7-Jun-2013
450		Sinha Ashutosh	-Rep	30-May-2013	6-Jun-2013
451		Van Eldik Martijn	+Rep	17-Jun-2013
452		Weng Julia Li Jun	-Rep	3-Jun-2013	10-Jun-2013
453	Morgan Stanley Hong Kong Securities Limited	Lee Man Kit (SFC:APM126)	+Rep	17-Jun-2013
454		Leung Issac Kam Lung	+Rep	19-Jun-2013
455	NAN FUNG INVESTMENT ADVISER LIMITED	Chan Karen Ka Ning	+Rep	11-Jun-2013
456	Nanhua Asset Management (Hong Kong) Corporation Limited	Ma Xiaoling (SFC:AQU423)	+Rep	13-Jun-2013
457	Neuberger Berman Asia Limited	Nackenson Richard Sol	-Rep	10-May-2013	10-Jun-2013
458	Neutron INV Partners Limited	Chan Mei Yan	-RO	13-May-2011	7-Jun-2013
459		Cheung Yat Ming	-RO	11-Jul-2011	7-Jun-2013
460	Newedge Broker Hong Kong Limited	Connor David Jonathan	-Rep	30-Nov-2010	8-Jun-2013
461		Longuet-Higgins Philip Jonathan	+Rep	13-Jun-2013
462		Wu Wai Hung	+Rep	10-Jun-2013
463	Newedge Financial Hong Kong Limited	Connor David Jonathan	-Rep	30-Nov-2010	8-Jun-2013
464		Longuet-Higgins Philip Jonathan	+Rep	13-Jun-2013
465		Wu Wai Hung	+Rep	10-Jun-2013
466	NGAM Hong Kong Limited	Ho Li Ching Madeline	-Rep	10-Jun-2013	11-Jun-2013
467		Kwok Elaine Yi Lam	+Rep	17-Jun-2013
468	NOMURA INTERNATIONAL (HONG KONG) LIMITED	Fujiwara Satoshi	-Rep	13-Jun-2013	19-Jun-2013
469		Fukushima Daisuke	-Rep	3-Jun-2013	7-Jun-2013
470		Hora Neeraj	+Rep	17-Jun-2013
471		Liu Sufeng	+Rep	10-Jun-2013
472		Narayan Vishal	+Rep	10-Jun-2013
473		Soni Karan	-Rep	18-Apr-2011	8-Jun-2013
474		Sun Tingting	+Rep	10-Jun-2013
475		Wadhera Karan Dharam	-Rep	7-Jan-2010	16-Jun-2013
476		Wong Tang Tang	-Rep	3-Aug-2009	8-Jun-2013
477	OKASAN INTERNATIONAL (ASIA) LIMITED	Cheng Siyuan	-Rep	1-Nov-2011	7-Jun-2013
478	ORIENT SECURITIES (HONG KONG) LIMITED	Mak Tsz Hang	+Rep	13-Jun-2013
479	ORIENTAL PATRON ASIA LIMITED	Lee Mark Ho Ming	+Rep	17-Jun-2013
480	ORIENTAL WEALTH FUTURES LIMITED	Lai May King Yeng	-Rep	26-Nov-2012	15-Jun-2013
481	ORIENTAL WEALTH SECURITIES LIMITED		-Rep	26-Nov-2012	15-Jun-2013
482	ORTUS CAPITAL MANAGEMENT LIMITED	Chau Patrick Pak Ming	+Rep	7-Jun-2013
483	OSK International Investments Hong Kong Limited	Tang Chi Hong	+Rep	17-Jun-2013
484	PANGU CAPITAL LIMITED	Ko Richard Guanlin	-RO	27-Jul-2012	17-Jun-2013
485	PARTNERS CAPITAL INTERNATIONAL LIMITED	Fung Chun Wai (SFC:AWG917)	+RO	6-Jun-2013
486	PEGASUS FUND MANAGERS LIMITED	Cheng Man Wai (SFC:AER418)	-Rep	21-Jun-2012	14-Jun-2013
487	PHILLIP COMMODITIES (H.K.) LIMITED	Chiu Jonathan Chun Yip	-Rep	29-Dec-2009	14-Jun-2013
488		Ho Yiu Kei (SFC:AZK129)	+Rep	10-Jun-2013
489		Mau Yat Hei	+Rep	7-Jun-2013
490		Tai Kwan Tat	+Rep	17-Jun-2013
491	PHILLIP SECURITIES (HONG KONG) LIMITED	Chiu Jonathan Chun Yip	-Rep	29-Dec-2009	14-Jun-2013
492		Ho Yiu Kei (SFC:AZK129)	+Rep	10-Jun-2013
493		Tai Kwan Tat	+Rep	17-Jun-2013
494		Yeung Sau Hei	+Rep	11-Jun-2013
495	Pictet Asset Management (Hong Kong) Limited	Pan Jianhui	+Rep	6-Jun-2013
496	Ping An of China Capital (Hong Kong) Company Limited	Wang Jianyang (SFC:ANH046)	+Rep	13-Jun-2013
497	Pinnacle Partners Asset Management (HK) Company Limited	Yu Hui (SFC:APY326)	+Rep	7-Jun-2013
498	PLATINUM BROKING COMPANY LIMITED	Lee Juliano	+Rep	19-Jun-2013
499	PLATINUM SECURITIES COMPANY LIMITED	Chu Ka Siu	+Rep	11-Jun-2013
500	PO SANG FUTURES LIMITED	Tam Hon Wai	+Rep	7-Jun-2013
501	POLARIS SECURITIES (HONG KONG) LIMITED	Lam Terence Joe Cho Ying	-RO	3-Jan-2012	8-Jun-2013
502		Weng Ming Sung	+Rep	10-Jun-2013
503	POMONA CAPITAL ASIA LIMITED	Stephens John Charles	-RO	18-Dec-2012	18-Jun-2013
504	PRINCIPAL ASSET MANAGEMENT COMPANY (ASIA) LIMITED	Chang Helen	+RO	11-Jun-2013
505	PRINCIPAL GLOBAL INVESTORS (ASIA) LIMITED	Ho Derek Ping Nga	+RO	13-Jun-2013
506		Lam Wong Carmen Wei Ching	+RO	13-Jun-2013
507	PRUDENTIAL BROKERAGE LIMITED	Chan Lok Ming	+Rep	17-Jun-2013
508	PRUDENTIAL INDEX TRADING COMPANY LIMITED		+Rep	17-Jun-2013
509	Public Financial Securities Limited	Ng Yin Tsang	-RO	24-May-2005	17-Jun-2013
510	Public Securities Limited	Tam Yuet Fung	-Rep	4-Mar-2013	12-Jun-2013
511		Wu Yuk Hung	-Rep	24-May-2010	10-Jun-2013
512		Yau Wai Keong	-Rep	12-Mar-2013	12-Jun-2013
513	QILU INTERNATIONAL FUTURES LIMITED	Chan Wai Hung (SFC:ARA444)	+Rep	10-Jun-2013
514		Leung Yuk Yip	-Rep	15-Apr-2013	7-Jun-2013
515	QILU INTERNATIONAL SECURITIES LIMITED	Chan Wai Hung (SFC:ARA444)	+Rep	10-Jun-2013
516		Leung Yuk Yip	-Rep	27-Mar-2013	7-Jun-2013
517	QUAM CAPITAL LIMITED	Cheng Hudson Chun Fai	-Rep	14-Oct-2010	15-Jun-2013
518	QUAM SECURITIES COMPANY LIMITED	So Jennifer Lai Shan	-Rep	29-Jun-2012	14-Jun-2013
519			+RO	14-Jun-2013
520	RBC INVESTMENT MANAGEMENT (ASIA) LIMITED	Sun Jingwei	+Rep	7-Jun-2013
521	RBS Asia Corporate Finance Limited	Charan Manohar Singh	-Rep	25-Aug-2011	10-Jun-2013
522	Redford Asset Management Limited	Pak Jin Fai	+Rep	19-Jun-2013
523	REDFORD CORPORATE FINANCE LIMITED		+Rep	19-Jun-2013
524	REDFORD SECURITIES LIMITED		+Rep	19-Jun-2013
525	RHB OSK Capital Hong Kong Limited	Lee Geoffrey Chak Fai	+Rep	17-Jun-2013
526	RHB OSK Futures Hong Kong Limited	Tang Chi Hong	+Rep	17-Jun-2013
527	RHB OSK Securities Hong Kong Limited	Cheng Chi Wah	+Rep	10-Jun-2013
528		Ding Ye	+Rep	6-Jun-2013
529		Hong Dae Suk	+Rep	13-Jun-2013
530		Tang Chi Hong	+Rep	17-Jun-2013
531	RICHLAND WORLDWIDE LIMITED	Lo Mei Yan	+Rep	13-Jun-2013
532	Rothschild (Hong Kong) Limited	Zhou Hao (SFC:AXY854)	-Rep	24-Nov-2011	8-Jun-2013
533	RRJ Management (HK) Limited	Ngo Tai Chuan	+Rep	17-Jun-2013
534		Tong Chi Keung	+Rep	7-Jun-2013
535	S.A.C. Capital Advisors (Hong Kong) Limited	Odorczuk Adam Robert	+Rep	13-Jun-2013
536	Sanford C. Bernstein (Hong Kong) Limited	Ortelli Mario Zaccaria Carlo	+Rep	17-Jun-2013
537		Tam Jeffrey Lap Hang	+Rep	11-Jun-2013
538	SANFULL SECURITIES LIMITED	Leung Yiu Hung	+Rep	19-Jun-2013
539	SCHRODER INVESTMENT MANAGEMENT (HONG KONG) LIMITED	Marsland John Robert	-Rep	19-Jun-2013	19-Jun-2013
540	SFM HK Management Limited	Odorczuk Adam Robert	-Rep	16-Mar-2011	7-Jun-2013
541	SG SECURITIES (HK) LIMITED	Rougeron Ep Bradley Catherine Annick Caroline	+Rep	10-Jun-2013
542		Zhu Yan (SFC:BBK147)	+Rep	13-Jun-2013
543	SHENG YUAN SECURITIES LIMITED	Yu Ruofan	-Rep	31-Jan-2011	10-Jun-2013
544	SHK ONLINE (SECURITIES) LIMITED	Chan Yee Ting (SFC:ATX933)	-Rep	13-Feb-2012	8-Jun-2013
545	Simsen Asset Management (HK) Limited	Chen Bin (SFC:ANS061)	+Rep	17-Jun-2013
546	SINCERE SECURITIES LIMITED	Lau Sai Kit Dennis	+Rep	6-Jun-2013
547		Xavier Francisco Maria	-Rep	21-May-2009	10-Jun-2013
548	SINOPAC SECURITIES (ASIA) LIMITED	Li Chen (SFC:BBK724)	+Rep	14-Jun-2013
549		Zhou Yu (SFC:AXV331)	-Rep	15-Aug-2011	6-Jun-2013
550	Somerley Asset Management Limited	Li Ying Wah	+Rep	14-Jun-2013
551		Sit Chi Keung	+Rep	14-Jun-2013
552	South China Asset Management Limited	Chu Chun Yi	+Rep	14-Jun-2013
553		Wu Karl Kin Chung	+Rep	11-Jun-2013
554		Zheng Bao	+Rep	14-Jun-2013
555	SOUTH CHINA COMMODITIES LIMITED	Wu Karl Kin Chung	+Rep	11-Jun-2013
556	SOUTH CHINA SECURITIES LIMITED		+Rep	11-Jun-2013
557	SPS SECURITIES LIMITED	Chan Yin Sum	-Rep	11-Sep-2009	10-Jun-2013
558	Standard & Poor's Hong Kong Limited	Kwan Patricia Anne Wai Man	+Rep	17-Jun-2013
559		Li Haihu	+Rep	6-Jun-2013
560	Standard Chartered Securities (Hong Kong) Limited	Campbell Bradley Donald	-Rep	2-Apr-2013	6-Jun-2013
561			+RO	6-Jun-2013
562		East Jeremy John	+Rep	17-Jun-2013
563		Fan Lai Kwan	+Rep	17-Jun-2013
564		Han Zhe	+Rep	19-Jun-2013
565		Tse Tanya Cheuk Lee	+Rep	18-Jun-2013
566	STATE STREET GLOBAL ADVISORS ASIA LIMITED	Fung Yuen Tsun	+Rep	14-Jun-2013
567	STI Asset Management Limited	Wen Cyrus Jun-Ming	+Rep	14-Jun-2013
568	Success Futures and Foreign Exchange Limited	Man Chun Kit	-Rep	23-Aug-2012	8-Jun-2013
569	Success Securities Limited		-Rep	23-Aug-2012	8-Jun-2013
570	Sucden Financial (HK) Limited	Cheung Sun Hei	+Rep	11-Jun-2013
571	SUN HUNG KAI COMMODITIES LIMITED	Chan Yee Ting (SFC:ATX933)	-Rep	9-Oct-2009	8-Jun-2013
572		Lau Kin Sing Ericson	+Rep	10-Jun-2013
573		Leung Tat Kwong	+Rep	10-Jun-2013
574		Mok Seng Pan	+Rep	14-Jun-2013
575	SUN HUNG KAI FOREX LIMITED	Chan Yee Ting (SFC:ATX933)	-Rep	30-May-2012	8-Jun-2013
576		Lau Sin Ying	+Rep	13-Jun-2013
577		Mok Seng Pan	+Rep	14-Jun-2013
578		Ngan Ka Sing	+Rep	7-Jun-2013
579	SUN HUNG KAI INVESTMENT SERVICES LIMITED	Chan Yee Ting (SFC:ATX933)	-Rep	9-Oct-2009	8-Jun-2013
580		Lau Kin Sing Ericson	+Rep	10-Jun-2013
581		Leung Tat Kwong	+Rep	10-Jun-2013
582		Mok Seng Pan	+Rep	14-Jun-2013
583		Wong Sim	+Rep	10-Jun-2013
584		Ye Siyang	+Rep	14-Jun-2013
585	Sunrise Brokers (Hong Kong) Limited	Narasaki Shuya	-Rep	4-Jan-2012	19-Jun-2013
586	T.F.S. Derivatives HK Limited	Nesbitt Jonathan Michael	-Rep	30-Nov-2011	14-Jun-2013
587	TAIWAN CONCORD CAPITAL SECURITIES (HONG KONG) LIMITED	Chan Ki Yin	+Rep	11-Jun-2013
588	TANRICH FUTURES LIMITED	Choi Pok Man	+Rep	7-Jun-2013
589		Ho Yan Chiu	+Rep	11-Jun-2013
590		Wong Hoi Ying	-Rep	3-Dec-2012	12-Jun-2013
591	TANRICH SECURITIES COMPANY LIMITED	Au Kwok Leung	-Rep	7-May-2013	15-Jun-2013
592		Choi Pok Man	+Rep	7-Jun-2013
593		Ho Yan Chiu	+Rep	11-Jun-2013
594		Law Man Chiu	+Rep	11-Jun-2013
595		Wong Hoi Ying	-Rep	3-Dec-2012	12-Jun-2013
596	TARGET CAPITAL MANAGEMENT LIMITED	Lau Nga Ki	-Rep	3-Dec-2012	10-Jun-2013
597		So Chung (SFC:BBH466)	+Rep	14-Jun-2013
598	TCW ASIA LIMITED	Ching Leslie Ka Chun	-Rep	6-May-2013	17-Jun-2013
599			+RO	17-Jun-2013
600	TRIPOD MANAGEMENT LIMITED	Wong Eric Dylan	+Rep	14-Jun-2013
601	Tung Shing Securities (Brokers) Limited	Lai Ka Wing (SFC:BBJ821)	+Rep	7-Jun-2013
602	UBS DERIVATIVES HONG KONG LIMITED	Arora Dhruv	+Rep	19-Jun-2013
603	UBS SECURITIES ASIA LIMITED	Fisher Trenton Matthew	+Rep	17-Jun-2013
604		Murata Yuka	+Rep	10-Jun-2013
605		Sapunova Alexandrina	+Rep	10-Jun-2013
606		Zhang Lianhua	-Rep	17-May-2011	8-Jun-2013
607		Zhou Mi	-Rep	5-Jul-2011	15-Jun-2013
608	UBS SECURITIES HONG KONG LIMITED	Guo Xinyu	+Rep	7-Jun-2013
609		Li Dong (SFC:BAE317)	-Rep	13-Sep-2012	8-Jun-2013
610		Ling Yao	-Rep	6-May-2013	7-Jun-2013
611		Xu Xin (SFC:ATS864)	+Rep	10-Jun-2013
612		Zhao Hanqing	+Rep	17-Jun-2013
613	UNITED SIMSEN SECURITIES LIMITED	Lee Ching Hung (SFC:AXX537)	+Rep	18-Jun-2013
614		Leung Kong Fai	+Rep	18-Jun-2013
615	UOB KAY HIAN (HONG KONG) LIMITED	Dong Yingying (SFC:AYM102)	-Rep	16-Nov-2011	20-Jun-2013
616		Lai Man Sing (SFC:AJA111)	+Rep	17-Jun-2013
617		Yeung Calson Kar Tsun	+Rep	17-Jun-2013
618	UOB KAY HIAN FUTURES (HONG KONG) LIMITED		+Rep	17-Jun-2013
619	UPBEST COMMODITIES COMPANY LIMITED	Wong Wai Leung (SFC:AFQ279)	-RO	27-Feb-2004	6-Jun-2013
620	UPBEST SECURITIES COMPANY LIMITED		-Rep	24-Mar-2006	6-Jun-2013
621	Vantage Capital Markets HK Limited	Levy Raphael Jonathan Chalom	+Rep	19-Jun-2013
622	VMS Securities Limited	Cheung Kwok Wai (SFC:ADX694)	+Rep	7-Jun-2013
623	WELLINGTON GLOBAL INVESTMENT MANAGEMENT LIMITED	Pool Gregory Daniel	+Rep	10-Jun-2013
624	Xin Tian Fund Management Company Limited	Ng Gordon Ching Hang	+Rep	10-Jun-2013
625		Zhu Liping (SFC:ANT815)	+Rep	10-Jun-2013
626	YUANTA ASSET MANAGEMENT (H.K.) LIMITED	Liu Chia-Ping	+Rep	19-Jun-2013
627	YUANTA FUTURES (HK) CO., LIMITED	Chiang Wei-Yuan	-RO	24-Feb-2012	15-Jun-2013
628	Yuanta Securities (Hong Kong) Company Limited	Chan Andrew Wai Men	+Rep	11-Jun-2013
629		Chan Hui	-Rep	26-Jul-2010	8-Jun-2013
630		Ho Mei Kei	+Rep	17-Jun-2013
631		Lam Terence Joe Cho Ying	-RO	25-May-2012	8-Jun-2013
632		Mui Kay Boon	-Rep	17-Nov-2010	8-Jun-2013
633		Pong Chui Ming	+Rep	13-Jun-2013
634		Tsui Yau Wan	-Rep	26-Oct-2011	8-Jun-2013
635		Weng Ming Sung	+Rep	10-Jun-2013
636		Yang Yeu Shun	+Rep	13-Jun-2013
637	YUN CHOU INTERNATIONAL INVESTMENT HOLDINGS (H.K.) LIMITED	Man Chun Kit	+Rep	18-Jun-2013
638		Man Kam Cheuk	-RO	30-Mar-2012	14-Jun-2013
639		Yuen Pak Cheung	+RO	10-Jun-2013

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