| SINO-RICH SECURITIES & FUTURES LIMITED | Rep | Advising on securities | 2014-10-06 | 2016-01-26 |
| Rep | Dealing in futures contracts | 2014-10-06 | 2016-01-26 |
| Rep | Dealing in securities | 2014-10-06 | 2016-01-26 |
| WING FUNG FINTECH LIMITED | Rep | Leveraged foreign exchange trading | 2011-05-12 | 2013-11-23 |
| WING FUNG FUTURES LIMITED | Rep | Dealing in futures contracts | 2011-04-07 | 2013-11-23 |
| WING FUNG SECURITIES LIMITED | Rep | Dealing in securities | 2011-04-07 | 2013-11-23 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | Dealing in futures contracts | 2004-08-26 | 2006-03-13 |
| PHILLIP CAPITAL MANAGEMENT (HK) LIMITED | Rep | Advising on securities | 2004-08-17 | 2006-03-13 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2004-08-17 | 2006-03-13 |
| KARL THOMSON INVESTMENT CONSULTANTS LIMITED | Rep | Advising on securities | 2004-04-23 | 2004-06-02 |