| GUOTAI JUNAN FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2012-10-15 | - |
| Guotai Junan FX Limited | Rep | Leveraged foreign exchange trading | 2012-10-15 | - |
| GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2012-10-15 | - |
| Yuanta Securities (Hong Kong) Company Limited | Rep | Dealing in futures contracts | 2012-06-26 | 2012-09-29 |
| Rep | Dealing in securities | 2012-06-26 | 2012-09-29 |
| Rep | Leveraged foreign exchange trading | 2012-06-26 | 2012-09-29 |
| Yuanta Asia Investment (Hong Kong) Limited | Rep | Dealing in futures contracts | 2009-02-23 | 2012-09-29 |
| Rep | Dealing in securities | 2009-02-23 | 2012-09-29 |
| Rep | Leveraged foreign exchange trading | 2009-02-23 | 2012-09-29 |
| CES Commodities (HK) Limited | Rep | Dealing in futures contracts | 2007-04-30 | 2009-02-07 |
| CES Forex (HK) Limited | Rep | Leveraged foreign exchange trading | 2007-02-27 | 2009-02-07 |
| Everbright Securities Investment Services (HK) Limited | Rep | Dealing in securities | 2006-12-19 | 2009-02-07 |