| HOU TAK SECURITIES LIMITED | Rep | Dealing in securities | 2007-12-10 | 2008-11-27 |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2007-08-30 | 2007-12-08 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2007-08-30 | 2007-12-08 |
| KAISER FUTURES LIMITED | Rep | Dealing in futures contracts | 2006-11-10 | 2007-08-17 |
| KAISER SECURITIES LIMITED | Rep | Dealing in securities | 2006-11-10 | 2007-08-17 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | Providing automated trading services | - | 2003-08-15 |
| Rep | Asset management | - | 2003-12-09 |
| Rep | Advising on futures contracts | - | 2005-03-21 |
| Rep | Dealing in futures contracts | - | 2006-10-31 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Advising on corporate finance | - | 2005-03-21 |
| Rep | Advising on securities | - | 2005-03-21 |
| Rep | Asset management | - | 2005-03-21 |
| Rep | Dealing in securities | - | 2006-10-31 |