| PHILLIP COMMODITIES (HK) LIMITED | Rep | Advising on futures contracts | 2010-12-13 | 2012-04-15 |
| Rep | Dealing in futures contracts | 2010-12-13 | 2012-04-15 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Advising on securities | 2010-12-13 | 2012-04-15 |
| Rep | Dealing in securities | 2010-12-13 | 2012-04-15 |
| CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | Dealing in securities | 2006-09-01 | 2007-02-16 |
| CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2006-09-01 | 2007-02-16 |
| CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2006-09-01 | 2007-02-16 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | Dealing in futures contracts | 2005-11-02 | 2006-08-29 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2005-08-31 | 2006-08-29 |
| CINDA INTERNATIONAL INVESTMENT MANAGEMENT LIMITED | Rep | Leveraged foreign exchange trading | 2003-07-24 | 2004-02-05 |