| Newedge Broker Hong Kong Limited | RO | Dealing in futures contracts | 2011-01-19 | 2011-07-16 |
| SG Asset Finance (Hong Kong) Limited | RO | Dealing in futures contracts | 2011-01-19 | 2011-07-16 |
| RO | Dealing in securities | 2011-01-19 | 2011-07-16 |
| Newedge Broker Hong Kong Limited | Rep | Dealing in futures contracts | 2008-10-13 | 2011-01-19 |
| SG Asset Finance (Hong Kong) Limited | Rep | Dealing in futures contracts | 2008-10-13 | 2011-01-19 |
| Rep | Dealing in securities | 2008-10-13 | 2011-01-19 |
| Newedge Broker Limited | Rep | Providing automated trading services | 2006-06-29 | 2009-07-31 |
| Rep | Dealing in futures contracts | 2006-06-29 | 2009-07-31 |
| Rep | Dealing in securities | 2006-06-29 | 2009-07-31 |