| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Advising on securities | 2010-04-13 | 2011-06-30 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | Dealing in futures contracts | 2007-02-28 | 2012-02-19 |
| Rep | Leveraged foreign exchange trading | 2007-01-25 | 2012-02-19 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2007-01-25 | 2012-02-19 |
| EMPEROR INTERNATIONAL EXCHANGE (HONG KONG) COMPANY LIMITED | Rep | Leveraged foreign exchange trading | 2006-05-08 | 2006-12-31 |
| EMPEROR SECURITIES LIMITED (HK) | Rep | Dealing in securities | 2006-05-08 | 2006-12-20 |
| CINDA INTERNATIONAL INVESTMENT MANAGEMENT LIMITED | Rep | Leveraged foreign exchange trading | 2006-01-25 | 2006-03-27 |
| CINDA INTERNATIONAL SECURITIES LIMITED | Rep | Dealing in securities | 2005-12-02 | 2006-03-27 |