| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2007-10-31 | - |
| RO | Dealing in securities | 2006-11-15 | 2007-10-31 |
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2006-06-30 | - |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2006-06-30 | 2006-11-15 |
| CHINA MERCHANTS FUTURES (HK) CO., LIMITED | Rep | Advising on futures contracts | 2003-04-01 | 2004-05-24 |
| Rep | Asset management | 2003-04-01 | 2004-05-24 |
| Rep | Providing automated trading services | 2003-04-01 | 2004-05-24 |
| Rep | Dealing in futures contracts | 2003-04-01 | 2006-06-24 |
| CHINA MERCHANTS SECURITIES (HK) CO., LIMITED | Rep | Advising on corporate finance | 2003-04-01 | 2004-05-24 |
| Rep | Advising on securities | 2003-04-01 | 2004-05-24 |
| Rep | Asset management | 2003-04-01 | 2004-05-24 |
| Rep | Providing automated trading services | 2003-04-01 | 2004-05-24 |
| Rep | Dealing in securities | 2003-04-01 | 2006-06-24 |