| BOCI SECURITIES LIMITED | Rep | Advising on securities | 2018-03-12 | 2018-06-18 |
| Rep | Dealing in futures contracts | 2018-03-12 | 2018-06-18 |
| Rep | Dealing in securities | 2018-03-12 | 2018-06-18 |
| Rep | Dealing in futures contracts | 2011-09-15 | 2016-03-08 |
| Rep | Advising on securities | 2010-09-24 | 2016-03-08 |
| Rep | Dealing in securities | 2010-09-24 | 2016-03-08 |
| FT Securities Limited | Rep | Advising on futures contracts | 2005-09-30 | 2006-10-14 |
| Rep | Dealing in futures contracts | 2005-09-30 | 2006-10-14 |
| Rep | Advising on corporate finance | - | 2004-05-14 |
| Rep | Advising on securities | - | 2004-05-14 |
| Rep | Asset management | - | 2004-05-14 |
| Rep | Dealing in securities | - | 2006-10-14 |
| JEFFERIES BACHE (HONG KONG) LIMITED | Rep | Advising on futures contracts | - | 2004-05-14 |
| Rep | Asset management | - | 2004-05-14 |
| Rep | Dealing in futures contracts | - | 2005-10-04 |