| BOCI SECURITIES LIMITED | Rep | Advising on securities | 2018-09-06 | - |
| Rep | Leveraged foreign exchange trading | 2011-09-23 | 2014-11-26 |
| Rep | Dealing in futures contracts | 2005-10-13 | - |
| BOCI COMMODITIES & FUTURES LIMITED | Rep | Dealing in futures contracts | 2004-08-02 | 2011-01-27 |
| BOCI SECURITIES LIMITED | Rep | Dealing in securities | 2004-08-02 | - |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Leveraged foreign exchange trading | 2003-12-16 | 2004-07-19 |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Advising on futures contracts | 2003-04-01 | 2003-10-06 |
| Rep | Asset management | 2003-04-01 | 2003-10-06 |
| Rep | Providing automated trading services | 2003-04-01 | 2003-10-06 |
| Rep | Dealing in futures contracts | 2003-04-01 | 2004-07-19 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Advising on corporate finance | 2003-04-01 | 2003-09-29 |
| Rep | Asset management | 2003-04-01 | 2003-09-29 |
| Rep | Providing automated trading services | 2003-04-01 | 2003-09-29 |
| Rep | Advising on securities | 2003-04-01 | 2003-10-06 |
| Rep | Dealing in securities | 2003-04-01 | 2004-07-19 |