| CITY CREDIT CAPITAL (HK) LIMITED | Rep | Leveraged foreign exchange trading | 2012-11-26 | 2013-05-17 |
| ENLIGHTEN FUTURES LIMITED | Rep | Dealing in futures contracts | 2011-09-28 | 2012-07-31 |
| ENLIGHTEN SECURITIES LIMITED | Rep | Dealing in securities | 2011-09-28 | 2012-07-31 |
| KINGSTON FUTURES LIMITED | Rep | Dealing in futures contracts | 2011-04-20 | 2011-09-20 |
| KINGSTON SECURITIES LIMITED | Rep | Dealing in securities | 2011-04-20 | 2011-09-20 |
| ENLIGHTEN FUTURES LIMITED | Rep | Dealing in futures contracts | 2010-12-24 | 2011-04-15 |
| ENLIGHTEN SECURITIES LIMITED | Rep | Dealing in securities | 2010-12-24 | 2011-04-15 |
| ENLIGHTEN FUTURES LIMITED | Rep | Dealing in futures contracts | 2010-04-21 | 2010-11-14 |
| ENLIGHTEN SECURITIES LIMITED | Rep | Dealing in securities | 2010-04-21 | 2010-11-14 |