| JVSakk Asset Management Limited | Rep | Asset management | 2012-06-15 | 2014-02-07 |
| FIRST SHANGHAI FUTURES LIMITED | Rep | Dealing in futures contracts | 2010-04-26 | 2012-04-27 |
| FIRST SHANGHAI SECURITIES LIMITED | Rep | Dealing in securities | 2010-04-26 | 2012-04-27 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Leveraged foreign exchange trading | 2009-06-18 | 2010-03-05 |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2009-04-30 | 2010-03-05 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2009-04-30 | 2010-03-05 |
| HSBC BROKING FOREX (ASIA) LIMITED | Rep | Leveraged foreign exchange trading | 2008-01-17 | 2009-03-07 |
| HSBC BROKING FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2007-12-14 | 2009-03-07 |
| HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2007-12-14 | 2009-03-07 |