| CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2009-03-30 | 2009-10-01 |
| CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | Dealing in securities | 2009-02-09 | 2009-10-01 |
| CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2009-02-09 | 2009-10-01 |
| ABCI Securities Company Limited | Rep | Dealing in securities | 2005-11-23 | 2008-11-26 |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2004-08-24 | 2005-11-16 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2004-08-24 | 2005-11-16 |
| Rep | Leveraged foreign exchange trading | 2004-08-24 | 2005-11-16 |
| CES Commodities (HK) Limited | Rep | Dealing in futures contracts | 2003-11-04 | 2004-08-06 |
| CES Forex (HK) Limited | Rep | Leveraged foreign exchange trading | 2003-11-04 | 2004-08-06 |
| Everbright Securities Investment Services (HK) Limited | Rep | Dealing in securities | 2003-11-04 | 2004-08-06 |
| CINDA INTERNATIONAL FUTURES LIMITED | Rep | Advising on futures contracts | - | 2003-07-08 |
| Rep | Asset management | - | 2003-07-08 |
| Rep | Dealing in futures contracts | - | 2003-07-08 |
| CINDA INTERNATIONAL INVESTMENT MANAGEMENT LIMITED | Rep | Leveraged foreign exchange trading | - | 2003-07-08 |
| CINDA INTERNATIONAL SECURITIES LIMITED | Rep | Advising on corporate finance | - | 2003-07-08 |
| Rep | Advising on securities | - | 2003-07-08 |
| Rep | Asset management | - | 2003-07-08 |
| Rep | Providing automated trading services | - | 2003-07-08 |
| Rep | Dealing in securities | - | 2003-07-08 |