| Quam Securities Limited | Rep | Dealing in futures contracts | 2011-07-07 | - |
| Rep | Dealing in securities | 2011-07-07 | - |
| KGI ASIA LIMITED | Rep | Dealing in securities | 2011-01-12 | 2011-06-29 |
| KGI FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2011-01-12 | 2011-06-29 |
| SOUTH CHINA COMMODITIES LIMITED | Rep | Dealing in futures contracts | 2009-12-22 | 2011-01-06 |
| SOUTH CHINA SECURITIES LIMITED | Rep | Dealing in securities | 2009-12-22 | 2011-01-06 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | Dealing in futures contracts | 2008-01-30 | 2009-12-11 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2008-01-30 | 2009-12-11 |
| HSBC BROKING FUTURES (ASIA) LIMITED | Rep | Advising on futures contracts | 2003-04-01 | 2004-09-10 |
| Rep | Asset management | 2003-04-01 | 2004-09-10 |
| Rep | Dealing in futures contracts | 2003-04-01 | 2008-01-24 |
| HSBC BROKING FUTURES (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2003-04-01 | 2004-09-10 |
| Rep | Asset management | 2003-04-01 | 2004-09-10 |
| Rep | Dealing in futures contracts | 2003-04-01 | 2008-01-24 |
| HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Providing automated trading services | 2003-04-01 | 2003-09-02 |
| Rep | Advising on corporate finance | 2003-04-01 | 2004-09-10 |
| Rep | Advising on securities | 2003-04-01 | 2004-09-10 |
| Rep | Asset management | 2003-04-01 | 2004-09-10 |
| Rep | Dealing in securities | 2003-04-01 | 2008-01-24 |
| HSBC BROKING SECURITIES (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2003-04-01 | 2004-09-10 |
| Rep | Advising on securities | 2003-04-01 | 2004-09-10 |
| Rep | Asset management | 2003-04-01 | 2004-09-10 |
| Rep | Dealing in securities | 2003-04-01 | 2008-01-24 |