| HARRIS FRASER (INTERNATIONAL) LIMITED | Rep | Providing automated trading services | 2010-06-04 | 2011-08-30 |
| Rep | Asset management | 2010-06-04 | 2013-06-03 |
| Rep | Dealing in securities | 2010-06-04 | 2013-06-03 |
| XinKong International Securities Limited | Rep | Dealing in futures contracts | 2010-04-07 | 2010-05-28 |
| Rep | Dealing in securities | 2010-04-07 | 2010-05-28 |
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2009-02-23 | 2009-09-04 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2009-02-23 | 2009-09-04 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | Dealing in futures contracts | 2007-05-02 | 2008-10-26 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2004-04-02 | 2008-10-26 |
| KARL-THOMSON SECURITIES COMPANY LIMITED | Rep | Advising on corporate finance | - | 2004-02-06 |
| Rep | Advising on securities | - | 2004-02-06 |
| Rep | Asset management | - | 2004-02-06 |
| Rep | Providing automated trading services | - | 2004-02-06 |
| Rep | Dealing in securities | - | 2004-02-06 |