| KARL-THOMSON SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2015-06-09 | 2015-12-21 |
| Rep | Dealing in securities | 2010-09-16 | 2012-05-14 |
| KARL-THOMSON COMMODITIES COMPANY LIMITED | Rep | Dealing in futures contracts | 2009-02-04 | 2010-07-09 |
| KARL-THOMSON SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2009-02-04 | 2010-07-09 |
| PIPER JAFFRAY ASIA FUTURES LIMITED | Rep | Dealing in futures contracts | 2004-02-24 | 2009-01-31 |
| PIPER JAFFRAY ASIA SECURITIES LIMITED | Rep | Dealing in securities | 2003-09-11 | 2009-01-31 |
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | Advising on futures contracts | - | 2003-08-22 |
| Rep | Asset management | - | 2003-08-22 |
| Rep | Dealing in futures contracts | - | 2003-08-22 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | Advising on corporate finance | - | 2003-08-22 |
| Rep | Advising on securities | - | 2003-08-22 |
| Rep | Asset management | - | 2003-08-22 |
| Rep | Providing automated trading services | - | 2003-08-22 |
| Rep | Dealing in securities | - | 2003-08-22 |