| Crosby Securities Limited | RO | Advising on securities | 2015-09-07 | 2018-03-01 |
| RO | Dealing in securities | 2015-09-07 | 2018-03-01 |
| Rep | Advising on securities | 2015-08-19 | 2015-09-07 |
| Rep | Dealing in securities | 2015-08-19 | 2015-09-07 |
| Guosen Securities (HK) Brokerage Company, Limited | Rep | Advising on futures contracts | 2013-07-29 | 2015-07-13 |
| Rep | Advising on securities | 2013-07-29 | 2015-07-13 |
| Rep | Dealing in futures contracts | 2013-07-29 | 2015-07-13 |
| Rep | Dealing in securities | 2013-07-29 | 2015-07-13 |
| KEEFE, BRUYETTE & WOODS ASIA LIMITED | RO | Dealing in securities | 2012-08-06 | 2012-11-14 |
| Rep | Dealing in securities | 2010-03-04 | 2012-08-06 |
| FOX-PITT, KELTON (ASIA) LIMITED | Rep | Dealing in securities | 2009-06-22 | 2009-10-16 |
| CLSA FUTURES LIMITED | Rep | Dealing in futures contracts | 2006-05-22 | 2008-11-24 |
| CLSA LIMITED | Rep | Dealing in securities | 2006-02-20 | 2008-11-24 |