| HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Advising on securities | 2015-04-02 | 2018-03-29 |
| RO | Dealing in securities | 2014-07-31 | 2018-03-29 |
| HSBC BROKING SECURITIES (HONG KONG) LIMITED | RO | Dealing in securities | 2014-07-31 | 2017-07-16 |
| HSBC BROKING FOREX (ASIA) LIMITED | Rep | Leveraged foreign exchange trading | 2014-06-25 | 2018-03-29 |
| HSBC BROKING FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2014-06-25 | 2018-03-29 |
| HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2014-06-25 | 2014-07-31 |
| HSBC BROKING SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2014-06-25 | 2014-07-31 |
| CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2009-11-05 | 2011-02-01 |
| Rep | Advising on securities | 2009-11-05 | 2011-06-30 |
| Rep | Asset management | 2009-11-05 | 2011-06-30 |