| Jefferies Hong Kong Limited | Rep | Dealing in futures contracts | 2014-11-27 | 2015-05-15 |
| Rep | Dealing in securities | 2014-11-27 | 2015-05-15 |
| Vantage Capital Markets HK Limited | Rep | Dealing in futures contracts | 2012-09-17 | 2014-11-01 |
| Rep | Dealing in securities | 2012-09-17 | 2014-11-01 |
| CANTOR FITZGERALD (HONG KONG) CAPITAL MARKETS LIMITED | Rep | Dealing in futures contracts | 2011-11-24 | 2012-08-06 |
| Rep | Dealing in securities | 2011-11-24 | 2012-08-06 |
| BNP PARIBAS FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2010-05-19 | 2011-04-29 |
| BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | Providing automated trading services | 2009-11-26 | 2011-04-29 |
| Rep | Dealing in securities | 2007-06-12 | 2011-04-29 |
| FOX-PITT, KELTON (ASIA) LIMITED | RO | Dealing in securities | 2006-08-11 | 2007-05-07 |
| Rep | Dealing in securities | 2006-05-02 | 2006-08-11 |
| SINOPAC FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2004-10-28 | 2006-04-03 |
| SINOPAC SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2004-10-28 | 2006-04-03 |
| CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | Dealing in securities | 2004-04-30 | 2004-10-15 |
| CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2004-04-30 | 2004-10-15 |
| CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2004-04-30 | 2004-10-15 |