| CreditEase Wealth Management (HK) Limited | RO | Advising on securities | 2016-01-25 | 2016-10-20 |
| RO | Asset management | 2016-01-25 | 2016-10-20 |
| Rep | Advising on securities | 2015-12-23 | 2016-01-25 |
| Rep | Asset management | 2015-12-23 | 2016-01-25 |
| Citigroup Global Markets Asia Limited | Rep | Dealing in futures contracts | 2013-06-03 | 2015-12-03 |
| CITIGROUP FIRST INVESTMENT MANAGEMENT LIMITED | RO | Advising on securities | 2009-08-04 | 2015-12-03 |
| RO | Asset management | 2009-08-04 | 2015-12-03 |
| Rep | Advising on securities | 2009-06-17 | 2009-08-04 |
| Rep | Asset management | 2009-06-17 | 2009-08-04 |
| Citigroup Global Markets Asia Limited | Rep | Dealing in securities | 2009-06-17 | 2015-12-03 |
| CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Dealing in futures contracts | 2009-06-17 | 2013-08-31 |
| BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED | RO | Advising on futures contracts | 2005-05-20 | 2006-01-11 |
| RO | Advising on securities | 2005-05-20 | 2006-01-11 |
| RO | Asset management | 2005-05-20 | 2006-01-11 |
| RO | Dealing in securities | 2005-05-20 | 2006-01-11 |
| Rep | Advising on futures contracts | - | 2005-05-20 |
| Rep | Advising on securities | - | 2005-05-20 |
| Rep | Asset management | - | 2005-05-20 |