| HSBC BROKING FOREX (ASIA) LIMITED | Rep | Leveraged foreign exchange trading | 2014-05-19 | 2014-08-23 |
| HSBC BROKING (CHINA) LIMITED | Rep | Dealing in securities | 2011-05-03 | 2012-08-14 |
| HSBC BROKING FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2011-05-03 | 2014-08-23 |
| HSBC BROKING FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2011-05-03 | 2014-08-23 |
| HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2011-05-03 | 2014-08-23 |
| HSBC BROKING SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2011-05-03 | 2014-08-23 |
| Nerico Brothers Limited (HK) | Rep | Dealing in securities | 2007-07-19 | 2011-04-03 |
| Rep | Dealing in futures contracts | 2006-08-22 | 2011-04-03 |