| HALCYON SECURITIES LIMITED | RO | Dealing in futures contracts | 2014-03-05 | 2015-06-01 |
| Rep | Dealing in futures contracts | 2014-01-29 | 2014-03-05 |
| CHARLESWIN BULLION LIMITED | RO | Dealing in futures contracts | 2011-11-07 | 2013-09-10 |
| HAITONG INTERNATIONAL FUTURES LIMITED | RO | Asset management | - | 2003-08-26 |
| RO | Providing automated trading services | - | 2003-08-26 |
| RO | Advising on futures contracts | - | 2009-10-20 |
| RO | Dealing in futures contracts | - | 2009-10-20 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Advising on corporate finance | - | 2003-08-26 |
| Rep | Advising on securities | - | 2003-08-26 |
| Rep | Asset management | - | 2003-08-26 |
| Rep | Providing automated trading services | - | 2003-08-26 |
| Rep | Dealing in securities | - | 2009-10-20 |