| Bell Potter Securities (HK) Limited | RO | Dealing in securities | 2012-10-29 | 2012-12-31 |
| BOCI RESEARCH LIMITED | RO | Advising on securities | 2010-07-20 | 2011-06-11 |
| BOCI SECURITIES LIMITED | RO | Dealing in securities | 2010-03-19 | 2011-06-11 |
| Rep | Dealing in securities | 2010-01-08 | 2010-03-19 |
| Horizon21 (Hong Kong) Limited | RO | Advising on securities | 2008-06-30 | 2009-02-28 |
| J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2003-12-06 | 2006-02-03 |
| Rep | Dealing in futures contracts | 2003-12-06 | 2006-02-03 |
| J.P. MORGAN SECURITIES (FAR EAST) LIMITED | Rep | Advising on securities | 2003-09-17 | 2006-02-03 |
| J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on corporate finance | - | 2003-09-13 |
| Rep | Asset management | - | 2003-09-13 |
| Rep | Providing automated trading services | - | 2003-09-13 |
| Rep | Advising on securities | - | 2006-02-03 |
| Rep | Dealing in securities | - | 2006-02-03 |
| J.P. MORGAN FUTURES HONG KONG LIMITED | Rep | Asset management | - | 2003-09-13 |
| Rep | Providing automated trading services | - | 2003-09-13 |
| Rep | Advising on futures contracts | - | 2003-12-06 |
| Rep | Dealing in futures contracts | - | 2003-12-06 |
| J.P. MORGAN SECURITIES (FAR EAST) LIMITED | Rep | Advising on corporate finance | - | 2003-09-13 |
| Rep | Providing automated trading services | - | 2005-02-15 |
| Rep | Dealing in securities | - | 2006-02-03 |