| J.P. MORGAN BROKING (HONG KONG) LIMITED | RO | Advising on futures contracts | 2014-04-03 | - |
| RO | Advising on securities | 2014-04-03 | - |
| Rep | Advising on futures contracts | 2011-09-26 | 2014-04-03 |
| Rep | Advising on securities | 2011-09-26 | 2014-04-03 |
| Rep | Advising on futures contracts | 2008-05-22 | 2011-04-06 |
| Rep | Advising on securities | 2008-05-22 | 2011-04-06 |
| Rep | Dealing in futures contracts | 2008-05-22 | 2011-04-06 |
| Rep | Dealing in securities | 2008-05-22 | 2011-04-06 |
| BEAR STEARNS ASIA LIMITED | Rep | Advising on futures contracts | 2007-07-10 | 2009-11-23 |
| Rep | Advising on securities | 2007-07-10 | 2009-11-23 |
| Rep | Dealing in futures contracts | 2007-04-02 | 2009-11-23 |
| Rep | Dealing in securities | 2007-04-02 | 2009-11-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Dealing in securities | 2005-04-22 | 2007-03-03 |
| MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2005-04-22 | 2007-03-03 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Advising on securities | 2003-12-15 | 2005-04-22 |