| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2008-11-05 | - |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2008-11-05 | - |
| PIPER JAFFRAY ASIA FUTURES LIMITED | Rep | Dealing in futures contracts | 2004-02-21 | 2008-11-03 |
| PIPER JAFFRAY ASIA SECURITIES LIMITED | Rep | Dealing in securities | 2003-09-15 | 2008-11-03 |
| Tung Shing Futures (Brokers) Limited | Rep | Dealing in futures contracts | 2003-06-16 | 2003-09-10 |
| Tung Shing Securities (Brokers) Limited | Rep | Dealing in securities | 2003-06-16 | 2003-09-10 |
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | Advising on futures contracts | 2003-04-01 | 2003-06-10 |
| Rep | Asset management | 2003-04-01 | 2003-06-10 |
| Rep | Dealing in futures contracts | 2003-04-01 | 2003-06-12 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | Advising on corporate finance | 2003-04-01 | 2003-06-10 |
| Rep | Advising on securities | 2003-04-01 | 2003-06-10 |
| Rep | Asset management | 2003-04-01 | 2003-06-10 |
| Rep | Providing automated trading services | 2003-04-01 | 2003-06-12 |
| Rep | Dealing in securities | 2003-04-01 | 2003-06-12 |