| CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | Dealing in securities | 2016-07-01 | 2016-09-07 |
| Rep | Dealing in securities | 2015-11-03 | 2016-06-30 |
| CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2015-11-03 | 2016-09-07 |
| CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2015-11-03 | 2016-06-30 |
| ZHONGTAI INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2013-09-11 | 2014-11-06 |
| ZHONGTAI INTERNATIONAL SECURITIES LIMITED | Rep | Dealing in securities | 2013-09-11 | 2014-11-06 |
| Ark Securities (Hong Kong) Limited | Rep | Advising on securities | 2011-07-21 | 2011-10-01 |
| Rep | Dealing in securities | 2011-07-21 | 2011-10-01 |
| PROVIDENT FUTURES (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2011-07-21 | 2011-10-01 |
| Rep | Dealing in futures contracts | 2011-07-21 | 2011-10-01 |
| Ark Securities (Hong Kong) Limited | Rep | Dealing in securities | 2008-11-03 | 2010-08-23 |
| PROVIDENT FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2008-11-03 | 2010-08-23 |
| Well Link International Securities Limited | Rep | Dealing in futures contracts | 2008-10-02 | 2008-10-21 |
| WINWIN SECURITIES LIMITED | Rep | Dealing in securities | 2008-10-02 | 2008-10-21 |
| PROVIDENT FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2008-06-13 | 2008-09-11 |
| Ark Securities (Hong Kong) Limited | Rep | Dealing in securities | 2008-01-24 | 2008-09-11 |