| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2005-05-18 | - |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2005-05-18 | - |
| REXCAPITAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2004-07-28 | 2005-05-13 |
| WINGS SECURITIES (HK) LIMITED | Rep | Dealing in securities | 2004-05-31 | 2005-05-13 |
| HONG KONG FOREX INVESTMENT LIMITED | Rep | Leveraged foreign exchange trading | 2003-04-01 | 2004-05-28 |
| TSE'S SECURITIES LIMITED | Rep | Advising on corporate finance | 2003-04-01 | 2004-04-22 |
| Rep | Advising on securities | 2003-04-01 | 2004-04-22 |
| Rep | Asset management | 2003-04-01 | 2004-04-22 |
| Rep | Dealing in securities | 2003-04-01 | 2004-05-28 |