| Sunrise Brokers (Hong Kong) Limited | Rep | Dealing in futures contracts | 2011-07-05 | 2012-06-23 |
| Rep | Dealing in securities | 2011-07-05 | 2012-06-23 |
| MF Global Hong Kong Limited | Rep | Dealing in futures contracts | 2009-05-04 | 2010-11-26 |
| Rep | Dealing in securities | 2009-05-04 | 2010-11-26 |
| Nomura Asia Investment (Hong Kong) Limited | Rep | Dealing in futures contracts | 2007-08-13 | 2009-03-28 |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2007-08-13 | 2009-03-28 |
| Rep | Dealing in securities | 2007-08-13 | 2009-03-28 |
| Newedge Broker Limited | Rep | Providing automated trading services | 2007-01-08 | 2007-08-06 |
| Rep | Dealing in futures contracts | 2007-01-08 | 2007-08-06 |
| Rep | Dealing in securities | 2007-01-08 | 2007-08-06 |