| BOCI SECURITIES LIMITED | Rep | Dealing in futures contracts | 2005-10-14 | 2018-12-18 |
| BOCI COMMODITIES & FUTURES LIMITED | Rep | Dealing in futures contracts | 2004-06-23 | 2011-01-27 |
| BOCI SECURITIES LIMITED | Rep | Dealing in securities | 2004-06-23 | 2018-12-18 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Leveraged foreign exchange trading | 2004-01-29 | 2004-03-24 |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Advising on futures contracts | - | 2003-08-26 |
| Rep | Asset management | - | 2003-08-26 |
| Rep | Providing automated trading services | - | 2003-08-26 |
| Rep | Dealing in futures contracts | - | 2004-03-24 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Advising on corporate finance | - | 2003-08-26 |
| Rep | Advising on securities | - | 2003-08-26 |
| Rep | Asset management | - | 2003-08-26 |
| Rep | Providing automated trading services | - | 2003-08-26 |
| Rep | Dealing in securities | - | 2004-03-24 |