| XinKong International Securities Limited | Rep | Advising on securities | 2011-10-18 | 2011-11-30 |
| Rep | Dealing in futures contracts | 2011-10-18 | 2011-11-30 |
| Rep | Dealing in securities | 2011-10-18 | 2011-11-30 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | Dealing in futures contracts | 2010-06-07 | 2011-09-21 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Asset management | 2010-06-07 | 2011-09-21 |
| Rep | Dealing in securities | 2010-06-07 | 2011-09-21 |
| DELTA ASIA FINANCIAL FUTURES LIMITED | RO | Advising on futures contracts | 2009-06-02 | 2010-04-29 |
| RO | Dealing in futures contracts | 2009-06-02 | 2010-04-29 |
| Delta Asia Wealth Management Limited | Rep | Asset management | 2008-11-28 | 2010-04-29 |
| DELTA ASIA FINANCIAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2007-04-11 | 2009-06-02 |
| DELTA ASIA SECURITIES LIMITED | Rep | Dealing in securities | 2007-04-11 | 2010-04-29 |
| YF SECURITIES COMPANY LIMITED | RO | Dealing in securities | 2003-09-27 | 2007-03-15 |
| YF FUTURES COMPANY LIMITED | Rep | Dealing in futures contracts | 2003-08-18 | 2007-03-15 |
| YF SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2003-08-18 | 2003-09-27 |
| CITIC Securities Futures (HK) Limited | Rep | Dealing in futures contracts | 2003-06-06 | 2003-08-01 |
| CITIC Securities Brokerage (HK) Limited | RO | Providing automated trading services | - | 2003-08-01 |
| RO | Dealing in securities | - | 2003-08-01 |