| Nerico Brothers Limited (HK) | Rep | Dealing in securities | 2007-09-03 | 2010-08-01 |
| Rep | Dealing in futures contracts | 2007-02-27 | 2010-08-01 |
| Rep | Leveraged foreign exchange trading | 2007-02-27 | 2010-08-01 |
| CES Commodities (HK) Limited | Rep | Dealing in futures contracts | 2006-09-29 | 2007-01-27 |
| CES Forex (HK) Limited | Rep | Leveraged foreign exchange trading | 2006-09-29 | 2007-01-27 |
| SHUN LOONG FOREX COMPANY LIMITED | Rep | Leveraged foreign exchange trading | 2006-09-29 | 2007-01-27 |
| SHUN LOONG FUTURES LIMITED | Rep | Dealing in futures contracts | 2006-09-29 | 2007-01-27 |
| CINDA INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2005-02-17 | 2006-07-11 |
| CINDA INTERNATIONAL INVESTMENT MANAGEMENT LIMITED | Rep | Leveraged foreign exchange trading | 2005-02-17 | 2006-07-11 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | Dealing in futures contracts | 2004-10-18 | 2005-01-20 |
| Rep | Leveraged foreign exchange trading | 2004-05-25 | 2005-01-20 |
| Rep | Providing automated trading services | - | 2003-08-15 |
| Rep | Advising on futures contracts | - | 2003-11-15 |
| Rep | Asset management | - | 2003-11-15 |
| Rep | Dealing in futures contracts | - | 2003-11-15 |