| Jefferies Hong Kong Limited | RO | Dealing in futures contracts | 2012-10-03 | 2015-08-31 |
| RO | Dealing in securities | 2012-06-08 | 2015-08-31 |
| JEFFERIES BACHE (HONG KONG) LIMITED | RO | Dealing in futures contracts | 2012-03-20 | 2012-11-30 |
| Jefferies Hong Kong Limited | Rep | Dealing in securities | 2012-03-06 | 2012-06-08 |
| JEFFERIES BACHE (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2012-01-20 | 2012-03-20 |
| HSBC BROKING FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2009-08-24 | 2011-09-24 |
| HSBC FUTURES (SINGAPORE) PTE LTD | Rep | Dealing in futures contracts | 2009-08-24 | 2011-09-24 |
| Newedge Broker Hong Kong Limited | Rep | Dealing in futures contracts | 2008-10-13 | 2009-04-22 |
| SG Asset Finance (Hong Kong) Limited | Rep | Dealing in futures contracts | 2008-10-13 | 2009-04-22 |
| Rep | Dealing in securities | 2008-10-13 | 2009-04-22 |
| Newedge Broker Limited | Rep | Providing automated trading services | 2006-09-06 | 2009-04-22 |
| Rep | Dealing in futures contracts | 2006-09-06 | 2009-04-22 |
| Rep | Dealing in securities | 2006-09-06 | 2009-04-22 |
| RO | Dealing in futures contracts | - | 2003-04-04 |
| RO | Providing automated trading services | - | 2004-01-16 |
| RO | Dealing in securities | - | 2004-01-16 |