| GMO-Z.com Forex HK Limited | Rep | Leveraged foreign exchange trading | 2012-09-27 | 2014-01-02 |
| GUOTAI JUNAN FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2012-07-26 | 2012-09-17 |
| Guotai Junan FX Limited | Rep | Leveraged foreign exchange trading | 2012-07-26 | 2012-09-17 |
| GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2012-07-26 | 2012-09-17 |
| CES Commodities (HK) Limited | Rep | Dealing in futures contracts | 2010-11-29 | 2012-07-19 |
| CES Forex (HK) Limited | Rep | Leveraged foreign exchange trading | 2010-11-29 | 2012-07-19 |
| Everbright Securities Investment Services (HK) Limited | Rep | Dealing in securities | 2010-11-29 | 2012-07-19 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in securities | 2010-01-05 | 2010-11-05 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | Dealing in futures contracts | 2009-11-17 | 2010-11-05 |