| ORIENTAL WEALTH FUTURES LIMITED | Rep | Dealing in futures contracts | 2009-08-25 | 2011-04-04 |
| ORIENTAL WEALTH SECURITIES LIMITED | Rep | Dealing in securities | 2009-08-25 | 2011-04-04 |
| Ark Securities (Hong Kong) Limited | Rep | Asset management | 2009-07-24 | 2009-08-22 |
| Rep | Dealing in securities | 2009-06-26 | 2009-08-22 |
| PROVIDENT FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2009-06-26 | 2009-08-22 |
| WING FUNG FINTECH LIMITED | Rep | Leveraged foreign exchange trading | 2009-02-17 | 2009-03-20 |
| WING FUNG FUTURES LIMITED | Rep | Dealing in futures contracts | 2009-02-17 | 2009-03-20 |
| WING FUNG SECURITIES LIMITED | Rep | Dealing in securities | 2009-02-17 | 2009-03-20 |
| Success Futures and Foreign Exchange Limited | Rep | Dealing in futures contracts | 2008-07-07 | 2008-10-13 |
| Rep | Leveraged foreign exchange trading | 2008-07-07 | 2008-10-13 |
| Success Securities Limited | Rep | Dealing in securities | 2008-07-07 | 2008-10-13 |