| SINOPAC FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2010-06-14 | 2010-12-27 |
| SINOPAC SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2010-06-14 | 2010-12-27 |
| Ark Securities (Hong Kong) Limited | Rep | Dealing in securities | 2007-10-11 | 2008-12-01 |
| PROVIDENT FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2007-10-11 | 2008-12-01 |
| BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED | Rep | Dealing in futures contracts | 2007-05-22 | 2007-08-10 |
| BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED | Rep | Dealing in securities | 2007-05-22 | 2007-08-10 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2006-04-28 | 2006-06-30 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | Dealing in futures contracts | 2006-04-10 | 2006-06-30 |
| Finet Securities Limited | Rep | Dealing in futures contracts | 2005-12-12 | 2006-03-14 |