| MF Global Hong Kong Limited | Rep | Dealing in futures contracts | 2011-08-01 | 2011-11-11 |
| Rep | Dealing in securities | 2011-08-01 | 2011-11-11 |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2008-10-13 | 2011-05-25 |
| Rep | Dealing in securities | 2008-10-13 | 2011-05-25 |
| LEHMAN BROTHERS ASIA LIMITED | Rep | Dealing in futures contracts | 2008-03-04 | 2008-09-29 |
| Rep | Dealing in securities | 2008-03-04 | 2008-09-29 |
| J.P. MORGAN SECURITIES (FAR EAST) LIMITED | Rep | Advising on securities | 2006-02-27 | 2008-02-13 |
| Rep | Dealing in securities | 2006-02-27 | 2008-02-13 |
| J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2006-01-04 | 2008-02-13 |
| Rep | Dealing in futures contracts | 2006-01-04 | 2008-02-13 |
| Rep | Advising on securities | 2004-10-06 | 2008-02-13 |
| Rep | Dealing in securities | 2004-10-06 | 2008-02-13 |
| J.P. MORGAN SECURITIES (FAR EAST) LIMITED | Rep | Providing automated trading services | 2004-10-06 | 2005-02-15 |
| Rep | Advising on securities | 2004-10-06 | 2005-12-06 |
| Rep | Dealing in securities | 2004-10-06 | 2005-12-06 |