| PIPER JAFFRAY ASIA FUTURES LIMITED | Rep | Dealing in futures contracts | 2004-03-23 | 2005-01-26 |
| PIPER JAFFRAY ASIA SECURITIES LIMITED | Rep | Dealing in securities | 2004-03-23 | 2008-06-24 |
| SOUTH CHINA COMMODITIES LIMITED | Rep | Advising on futures contracts | - | 2004-01-12 |
| Rep | Asset management | - | 2004-01-12 |
| Rep | Dealing in futures contracts | - | 2004-03-04 |
| SOUTH CHINA SECURITIES LIMITED | Rep | Advising on corporate finance | - | 2004-01-12 |
| Rep | Advising on securities | - | 2004-01-12 |
| Rep | Asset management | - | 2004-01-12 |
| Rep | Providing automated trading services | - | 2004-01-12 |
| Rep | Dealing in securities | - | 2004-03-04 |