| SOUTH CHINA COMMODITIES LIMITED | Rep | Dealing in futures contracts | 2011-09-05 | 2011-09-07 |
| South China Forex Limited | Rep | Leveraged foreign exchange trading | 2011-09-05 | 2011-09-07 |
| SOUTH CHINA SECURITIES LIMITED | Rep | Dealing in securities | 2011-09-05 | 2011-09-07 |
| CELESTIAL COMMODITIES LIMITED | Rep | Dealing in futures contracts | 2011-05-17 | 2011-07-20 |
| CELESTIAL SECURITIES LIMITED | Rep | Dealing in securities | 2011-05-17 | 2011-07-20 |
| Nerico Brothers Limited (HK) | Rep | Dealing in securities | 2009-01-12 | 2009-04-14 |
| Rep | Leveraged foreign exchange trading | 2009-01-12 | 2009-04-14 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2008-07-29 | 2008-10-30 |
| Rep | Leveraged foreign exchange trading | 2008-01-23 | 2008-10-30 |