| HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | RO | Dealing in futures contracts | 2010-02-18 | 2011-01-05 |
| RO | Dealing in securities | 2010-02-18 | 2011-01-05 |
| RO | Advising on securities | 2010-02-11 | 2011-01-05 |
| RO | Asset management | 2009-12-28 | 2011-01-05 |
| Rep | Asset management | 2009-11-23 | 2009-12-28 |
| PUREHEART CAPITAL ASIA LIMITED | RO | Advising on securities | 2007-03-08 | 2009-10-17 |
| RO | Asset management | 2007-03-08 | 2009-10-17 |
| SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED | RO | Advising on securities | 2006-02-24 | 2006-06-01 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in securities | 2006-02-24 | 2006-06-01 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | Dealing in futures contracts | 2006-02-24 | 2006-06-01 |
| BMI FUNDS MANAGEMENT LIMITED | RO | Asset management | 2005-11-17 | 2006-02-13 |
| RO | Advising on securities | 2005-08-02 | 2006-02-13 |
| Rep | Advising on securities | 2005-07-07 | 2005-08-02 |
| CHAMPUS ASSET MANAGEMENT LIMITED | RO | Advising on securities | 2003-08-12 | 2005-06-24 |
| Rep | Advising on securities | 2003-07-21 | 2003-08-12 |
| Rep | Advising on corporate finance | - | 2003-04-23 |
| Rep | Advising on securities | - | 2003-04-23 |
| Rep | Asset management | - | 2003-07-21 |