| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2009-11-10 | 2013-05-10 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2009-11-10 | 2013-05-10 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | Dealing in futures contracts | 2006-02-23 | 2009-08-01 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2006-02-23 | 2009-08-01 |
| BOCI SECURITIES LIMITED | Rep | Dealing in futures contracts | 2005-10-13 | 2006-02-20 |
| BOCI COMMODITIES & FUTURES LIMITED | Rep | Advising on futures contracts | - | 2004-01-13 |
| Rep | Asset management | - | 2004-01-13 |
| Rep | Dealing in futures contracts | - | 2006-02-20 |
| BOCI SECURITIES LIMITED | Rep | Advising on corporate finance | - | 2004-01-12 |
| Rep | Advising on securities | - | 2004-01-12 |
| Rep | Asset management | - | 2004-01-12 |
| Rep | Dealing in securities | - | 2006-02-20 |