| CES Commodities (HK) Limited | Rep | Dealing in futures contracts | 2012-08-03 | 2012-11-26 |
| CES Forex (HK) Limited | Rep | Leveraged foreign exchange trading | 2012-08-03 | 2012-11-26 |
| Everbright Securities Investment Services (HK) Limited | Rep | Dealing in securities | 2012-08-03 | 2012-11-26 |
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2010-05-10 | 2012-04-30 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2010-05-10 | 2012-04-30 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | Advising on futures contracts | 2009-12-02 | 2010-05-01 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Advising on securities | 2009-07-24 | 2010-05-01 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | Dealing in futures contracts | 2009-02-17 | 2010-05-01 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2009-02-17 | 2010-05-01 |