| KARL-THOMSON COMMODITIES COMPANY LIMITED | Rep | Dealing in futures contracts | 2009-03-02 | 2021-07-02 |
| KARL-THOMSON SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2009-03-02 | 2021-07-02 |
| PIPER JAFFRAY ASIA FUTURES LIMITED | Rep | Dealing in futures contracts | 2007-06-25 | 2009-03-01 |
| PIPER JAFFRAY ASIA SECURITIES LIMITED | Rep | Dealing in securities | 2006-08-22 | 2009-03-01 |
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | Advising on futures contracts | - | 2003-12-01 |
| Rep | Asset management | - | 2003-12-01 |
| Rep | Dealing in futures contracts | - | 2003-12-01 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | Providing automated trading services | - | 2003-09-11 |
| Rep | Advising on corporate finance | - | 2003-12-01 |
| Rep | Advising on securities | - | 2003-12-01 |
| Rep | Asset management | - | 2003-12-01 |
| Rep | Dealing in securities | - | 2003-12-01 |