| PHILLIP COMMODITIES (HK) LIMITED | Rep | Dealing in futures contracts | 2008-05-23 | 2016-05-14 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2008-05-23 | 2016-05-14 |
| EMPEROR FUTURES LIMITED | Rep | Dealing in futures contracts | 2007-10-12 | 2008-05-02 |
| EMPEROR SECURITIES LIMITED (HK) | Rep | Dealing in securities | 2004-05-31 | 2008-05-02 |
| EMPEROR FUTURES LIMITED | RO | Dealing in futures contracts | 2003-10-31 | 2007-10-12 |
| EMPEROR SECURITIES LIMITED (HK) | RO | Dealing in securities | 2003-10-31 | 2004-04-30 |
| EMPEROR FUTURES LIMITED | Rep | Advising on futures contracts | - | 2003-09-01 |
| Rep | Asset management | - | 2003-09-01 |
| Rep | Dealing in futures contracts | - | 2003-10-31 |
| EMPEROR SECURITIES LIMITED (HK) | Rep | Advising on corporate finance | - | 2003-09-01 |
| Rep | Advising on securities | - | 2003-09-01 |
| Rep | Asset management | - | 2003-09-01 |
| Rep | Providing automated trading services | - | 2003-09-01 |
| Rep | Dealing in securities | - | 2003-10-31 |