| CHINA INDUSTRIAL SECURITIES INTERNATIONAL BROKERAGE LIMITED | Rep | Dealing in securities | 2014-03-17 | - |
| CHINA INDUSTRIAL SECURITIES INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2014-03-17 | - |
| MIB FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2013-10-29 | 2014-01-23 |
| GOLDEN MOUNTAIN FINANCIAL LIMITED | Rep | Dealing in futures contracts | 2013-04-15 | 2013-09-20 |
| WING FUNG FUTURES LIMITED | Rep | Dealing in futures contracts | 2012-10-18 | 2012-11-19 |
| WING FUNG SECURITIES LIMITED | Rep | Dealing in securities | 2012-10-18 | 2012-11-19 |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2010-04-15 | 2012-09-29 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2010-04-15 | 2012-09-29 |
| HAI TONG SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in futures contracts | 2010-01-25 | 2011-05-03 |
| Rep | Dealing in securities | 2010-01-25 | 2011-05-03 |
| KGI ASIA LIMITED | Rep | Advising on corporate finance | 2003-04-01 | 2003-06-03 |
| Rep | Advising on securities | 2003-04-01 | 2003-06-03 |
| Rep | Asset management | 2003-04-01 | 2003-06-03 |
| Rep | Dealing in securities | 2003-04-01 | 2003-06-03 |
| KGI FUTURES (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2003-04-01 | 2003-06-03 |
| Rep | Asset management | 2003-04-01 | 2003-06-03 |
| Rep | Dealing in futures contracts | 2003-04-01 | 2003-06-03 |