| BGC SECURITIES (HONG KONG) LLC | RO | Dealing in futures contracts | 2012-11-26 | 2016-12-31 |
| RO | Dealing in securities | 2012-11-26 | 2016-12-31 |
| Rep | Dealing in futures contracts | 2012-10-16 | 2012-11-26 |
| Rep | Dealing in securities | 2012-10-16 | 2012-11-26 |
| MIB FUTURES (HONG KONG) LIMITED | RO | Dealing in futures contracts | 2007-04-25 | 2012-05-24 |
| MIB SECURITIES (HONG KONG) LIMITED | RO | Dealing in securities | 2006-09-21 | 2012-05-24 |
| MIB FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2004-05-25 | 2007-04-25 |
| MIB SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2004-05-25 | 2006-09-21 |
| Credit Agricole Securities (Asia) Limited | Rep | Advising on corporate finance | - | 2003-12-10 |
| Rep | Advising on securities | - | 2003-12-10 |
| Rep | Asset management | - | 2003-12-10 |
| Rep | Dealing in securities | - | 2003-12-10 |
| RBS Asia Securities (Hong Kong) Limited | Rep | Advising on corporate finance | - | 2003-12-10 |
| Rep | Advising on securities | - | 2003-12-10 |
| Rep | Asset management | - | 2003-12-10 |
| Rep | Dealing in securities | - | 2003-12-10 |