| Yuanta Asia Investment (Hong Kong) Limited | Rep | Dealing in futures contracts | 2011-01-31 | 2011-03-09 |
| Rep | Dealing in securities | 2011-01-31 | 2011-03-09 |
| Rep | Leveraged foreign exchange trading | 2011-01-31 | 2011-03-09 |
| HSBC BROKING (CHINA) LIMITED | Rep | Dealing in securities | 2010-11-04 | 2011-01-01 |
| HSBC BROKING FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2010-11-04 | 2011-01-01 |
| HSBC BROKING FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2010-11-04 | 2011-01-01 |
| HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2010-11-04 | 2011-01-01 |
| HSBC BROKING SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2010-11-04 | 2011-01-01 |
| CES Forex (HK) Limited | Rep | Leveraged foreign exchange trading | 2007-11-23 | 2010-10-22 |
| CES Commodities (HK) Limited | Rep | Dealing in futures contracts | 2007-10-15 | 2010-10-22 |
| Everbright Securities Investment Services (HK) Limited | Rep | Dealing in securities | 2007-10-15 | 2010-10-22 |
| Rep | Dealing in securities | 2007-02-06 | 2007-07-15 |
| CES Commodities (HK) Limited | Rep | Dealing in futures contracts | 2006-11-16 | 2007-07-15 |