| MIZUHO SECURITIES ASIA LIMITED | RO | Advising on futures contracts | 2014-06-06 | 2016-02-15 |
| RO | Advising on securities | 2014-06-06 | 2016-02-15 |
| RO | Dealing in futures contracts | 2014-06-06 | 2016-02-15 |
| RO | Dealing in securities | 2014-06-06 | 2016-02-15 |
| Rep | Advising on futures contracts | 2014-03-26 | 2014-06-06 |
| Rep | Advising on securities | 2014-03-26 | 2014-06-06 |
| Rep | Dealing in futures contracts | 2014-03-26 | 2014-06-06 |
| Rep | Dealing in securities | 2014-03-26 | 2014-06-06 |
| Citigroup Global Markets Asia Limited | Rep | Dealing in futures contracts | 2013-06-03 | 2013-06-07 |
| Rep | Dealing in securities | 2010-07-07 | 2013-06-07 |
| CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Dealing in futures contracts | 2010-07-07 | 2013-06-07 |
| Rep | Dealing in securities | 2010-07-07 | 2013-06-07 |