| ENLIGHTEN FUTURES LIMITED | Rep | Dealing in futures contracts | 2007-11-15 | 2012-10-26 |
| ENLIGHTEN SECURITIES LIMITED | Rep | Dealing in securities | 2007-11-15 | 2012-10-26 |
| Nomura Asia Investment (Hong Kong) Limited | Rep | Dealing in futures contracts | 2006-03-01 | 2006-09-22 |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2006-03-01 | 2006-09-22 |
| Rep | Dealing in securities | 2006-03-01 | 2006-09-22 |
| FIRST SHANGHAI FUTURES LIMITED | Rep | Dealing in futures contracts | 2005-09-22 | 2006-02-21 |
| FIRST SHANGHAI SECURITIES LIMITED | Rep | Dealing in securities | 2005-01-26 | 2006-02-21 |
| Rakuten Securities Hong Kong Limited | Rep | Leveraged foreign exchange trading | 2004-03-23 | 2004-06-24 |
| SHUN LOONG FOREX COMPANY LIMITED | Rep | Leveraged foreign exchange trading | 2003-06-10 | 2004-03-16 |
| HONG KONG FOREX INVESTMENT LIMITED | Rep | Leveraged foreign exchange trading | - | 2003-06-09 |