| UBS SECURITIES HONG KONG LIMITED | RO | Dealing in securities | 2010-03-04 | 2010-09-06 |
| UBS DERIVATIVES HONG KONG LIMITED | RO | Dealing in futures contracts | 2009-06-10 | 2010-09-06 |
| Rep | Advising on futures contracts | - | 2005-02-07 |
| Rep | Asset management | - | 2005-02-07 |
| Rep | Dealing in futures contracts | - | 2009-06-10 |
| UBS SECURITIES ASIA LIMITED | Rep | Advising on corporate finance | - | 2005-02-04 |
| Rep | Advising on futures contracts | - | 2005-02-04 |
| Rep | Asset management | - | 2005-02-04 |
| Rep | Advising on securities | - | 2005-03-24 |
| Rep | Dealing in futures contracts | - | 2010-09-06 |
| Rep | Dealing in securities | - | 2010-09-06 |