| Tung Shing Futures (Brokers) Limited | Rep | Dealing in futures contracts | 2012-08-24 | 2013-03-14 |
| Tung Shing Securities (Brokers) Limited | Rep | Dealing in securities | 2012-08-24 | 2013-03-14 |
| Rep | Leveraged foreign exchange trading | 2012-08-24 | 2013-03-14 |
| CES Commodities (HK) Limited | Rep | Dealing in futures contracts | 2009-03-13 | 2012-07-08 |
| CES Forex (HK) Limited | Rep | Leveraged foreign exchange trading | 2009-03-13 | 2012-07-08 |
| Everbright Securities Investment Services (HK) Limited | Rep | Dealing in securities | 2009-03-13 | 2012-07-08 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Leveraged foreign exchange trading | 2006-03-14 | 2007-07-20 |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2005-11-07 | 2007-07-20 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2005-11-07 | 2007-07-20 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in securities | 2004-04-21 | 2005-10-21 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | Advising on futures contracts | - | 2004-02-27 |
| Rep | Asset management | - | 2004-02-27 |
| Rep | Dealing in futures contracts | - | 2005-10-21 |