| Newedge Broker Hong Kong Limited | Rep | Dealing in futures contracts | 2010-11-30 | 2013-06-08 |
| SG Asset Finance (Hong Kong) Limited | Rep | Dealing in futures contracts | 2010-11-30 | 2013-06-08 |
| Rep | Dealing in securities | 2010-11-30 | 2013-06-08 |
| BARCLAYS CAPITAL ASIA LIMITED | Rep | Dealing in futures contracts | 2007-11-15 | 2010-07-13 |
| Rep | Dealing in securities | 2007-11-15 | 2010-07-13 |
| MF Global Hong Kong Limited | Rep | Dealing in securities | 2007-04-30 | 2007-06-11 |
| Rep | Dealing in futures contracts | 2005-12-12 | 2007-06-11 |
| MF Global Securities HK Limited | Rep | Dealing in securities | 2005-12-12 | 2007-04-30 |
| Credit Agricole Securities (Asia) Limited | Rep | Asset management | - | 2004-06-08 |
| Rep | Dealing in securities | - | 2005-07-26 |
| RBS Asia Futures Limited | Rep | Advising on futures contracts | - | 2004-06-08 |
| Rep | Asset management | - | 2004-06-08 |
| Rep | Dealing in futures contracts | - | 2005-07-26 |
| RBS Asia Securities (Hong Kong) Limited | Rep | Asset management | - | 2004-06-08 |
| Rep | Dealing in securities | - | 2005-02-04 |