| KARL-THOMSON COMMODITIES COMPANY LIMITED | Rep | Dealing in futures contracts | 2009-02-02 | - |
| KARL-THOMSON SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2009-02-02 | - |
| PIPER JAFFRAY ASIA FUTURES LIMITED | Rep | Dealing in futures contracts | 2004-02-21 | 2009-01-23 |
| PIPER JAFFRAY ASIA SECURITIES LIMITED | Rep | Dealing in securities | 2003-08-30 | 2009-01-23 |
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | Advising on futures contracts | 2003-04-01 | 2003-08-19 |
| Rep | Asset management | 2003-04-01 | 2003-08-19 |
| Rep | Dealing in futures contracts | 2003-04-01 | 2003-08-19 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | Advising on corporate finance | 2003-04-01 | 2003-08-19 |
| Rep | Advising on securities | 2003-04-01 | 2003-08-19 |
| Rep | Asset management | 2003-04-01 | 2003-08-19 |
| Rep | Providing automated trading services | 2003-04-01 | 2003-08-19 |
| Rep | Dealing in securities | 2003-04-01 | 2003-08-19 |