| CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | Dealing in securities | 2012-12-04 | 2014-06-18 |
| CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2012-12-04 | 2014-06-18 |
| CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2012-12-04 | 2014-06-18 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | Dealing in futures contracts | 2005-10-10 | 2007-08-07 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2005-10-10 | 2007-08-07 |
| PHILLIP COMMODITIES (HK) LIMITED | Rep | Providing automated trading services | - | 2003-08-15 |
| Rep | Asset management | - | 2003-12-09 |
| Rep | Advising on futures contracts | - | 2004-02-18 |
| Rep | Dealing in futures contracts | - | 2004-02-18 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Advising on corporate finance | - | 2004-02-18 |
| Rep | Advising on securities | - | 2004-02-18 |
| Rep | Asset management | - | 2004-02-18 |
| Rep | Dealing in securities | - | 2004-02-20 |