| EMPEROR SECURITIES LIMITED (HK) | Rep | Dealing in securities | 2009-01-12 | 2011-03-29 |
| EMPEROR FUTURES LIMITED | Rep | Dealing in futures contracts | 2008-08-21 | 2011-03-29 |
| EMPEROR INTERNATIONAL EXCHANGE (HONG KONG) COMPANY LIMITED | Rep | Leveraged foreign exchange trading | 2008-08-21 | 2009-01-31 |
| CINDA INTERNATIONAL INVESTMENT MANAGEMENT LIMITED | Rep | Leveraged foreign exchange trading | 2007-09-12 | 2008-07-25 |
| Rep | Leveraged foreign exchange trading | 2006-06-28 | 2007-04-17 |
| CINDA INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2006-06-21 | 2008-07-25 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | Dealing in futures contracts | 2005-12-22 | 2006-04-28 |