| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2010-12-24 | 2011-02-06 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2010-12-24 | 2011-02-06 |
| Rep | Leveraged foreign exchange trading | 2010-12-24 | 2011-02-06 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | Leveraged foreign exchange trading | 2010-10-15 | 2010-11-06 |
| Rep | Dealing in futures contracts | 2010-04-30 | 2010-11-06 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2010-04-30 | 2010-11-06 |
| CES Commodities (HK) Limited | Rep | Dealing in futures contracts | 2010-01-12 | 2010-02-19 |
| Everbright Securities Investment Services (HK) Limited | Rep | Dealing in securities | 2008-04-15 | 2010-02-19 |