| M&F ASSET MANAGEMENT LIMITED | Rep | Dealing in securities | 2013-11-19 | 2014-03-21 |
| METRO CAPITAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2013-11-19 | 2014-03-21 |
| PRUDENTIAL BROKERAGE LIMITED | Rep | Dealing in securities | 2013-03-01 | 2013-07-17 |
| PRUDENTIAL INDEX TRADING COMPANY LIMITED | Rep | Dealing in futures contracts | 2013-03-01 | 2013-07-17 |
| PRUDENTIAL BROKERAGE LIMITED | RO | Dealing in securities | 2012-02-13 | 2013-03-01 |
| PRUDENTIAL INDEX TRADING COMPANY LIMITED | RO | Dealing in futures contracts | 2012-02-13 | 2013-03-01 |
| SHUANGYING SECURITIES LIMITED | RO | Dealing in securities | 2011-09-08 | 2012-01-04 |
| RO | Dealing in futures contracts | 2011-05-18 | 2012-01-04 |
| Rep | Dealing in futures contracts | 2011-04-26 | 2011-05-18 |
| Rep | Dealing in securities | 2011-04-26 | 2011-09-08 |
| FORTUNE (HK) SECURITIES LIMITED | Rep | Dealing in securities | 2011-01-26 | 2011-04-20 |
| Well Link International Securities Limited | Rep | Dealing in futures contracts | 2009-12-01 | 2011-04-20 |
| WINWIN SECURITIES LIMITED | Rep | Dealing in securities | 2009-12-01 | 2011-01-26 |
| Planetree Securities Limited | Rep | Dealing in securities | 2007-11-20 | 2009-11-17 |
| Planetree Futures Limited | Rep | Dealing in futures contracts | 2003-11-06 | 2009-11-17 |
| Well Link International Securities Limited | Rep | Advising on futures contracts | - | 2003-09-23 |
| Rep | Asset management | - | 2003-09-23 |
| Rep | Providing automated trading services | - | 2003-09-23 |
| Rep | Dealing in futures contracts | - | 2003-09-24 |