| CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | Dealing in securities | 2010-10-29 | 2014-02-05 |
| CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2010-10-29 | 2013-03-20 |
| CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2010-10-29 | 2014-02-05 |
| FULBRIGHT FUTURES LIMITED | Rep | Dealing in futures contracts | 2008-08-15 | 2009-08-08 |
| FULBRIGHT SECURITIES LIMITED | Rep | Dealing in securities | 2008-08-15 | 2009-08-08 |
| CITIC Securities Brokerage (HK) Limited | Rep | Dealing in securities | 2004-06-26 | 2005-09-19 |
| CITIC Securities Futures (HK) Limited | Rep | Dealing in futures contracts | 2004-06-26 | 2005-09-19 |
| Tung Shing Futures (Brokers) Limited | Rep | Dealing in futures contracts | - | 2004-06-25 |
| Tung Shing Securities (Brokers) Limited | Rep | Advising on corporate finance | - | 2004-01-10 |
| Rep | Advising on securities | - | 2004-01-10 |
| Rep | Asset management | - | 2004-01-10 |
| Rep | Dealing in securities | - | 2004-06-25 |