| HSBC BROKING FUTURES (ASIA) LIMITED | RO | Dealing in futures contracts | 2018-08-06 | 2019-06-26 |
| HSBC BROKING SECURITIES (ASIA) LIMITED | RO | Dealing in securities | 2018-08-06 | 2019-06-26 |
| HSBC BROKING SECURITIES (HONG KONG) LIMITED | RO | Dealing in securities | 2018-08-06 | 2019-06-26 |
| HSBC BROKING SECURITIES (ASIA) LIMITED | RO | Advising on securities | 2015-01-19 | 2017-07-16 |
| HSBC BROKING FUTURES (ASIA) LIMITED | RO | Dealing in futures contracts | 2014-06-03 | 2017-07-16 |
| HSBC BROKING SECURITIES (ASIA) LIMITED | RO | Dealing in securities | 2014-06-03 | 2017-07-16 |
| HSBC BROKING SECURITIES (HONG KONG) LIMITED | RO | Dealing in securities | 2014-06-03 | 2017-07-16 |
| HSBC BROKING FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2014-04-24 | 2014-06-03 |
| HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2014-04-24 | 2014-06-03 |
| HSBC BROKING SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2014-04-24 | 2014-06-03 |
| Citigroup Global Markets Asia Limited | Rep | Advising on securities | 2011-09-05 | 2012-11-15 |
| Rep | Dealing in securities | 2007-06-18 | 2012-11-15 |
| CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Dealing in futures contracts | 2007-06-18 | 2012-11-15 |
| Morgan Stanley Asia Limited | Rep | Providing automated trading services | 2006-02-22 | 2007-04-26 |
| Rep | Dealing in securities | 2006-02-22 | 2007-04-26 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Providing automated trading services | 2006-02-22 | 2007-04-26 |
| Rep | Dealing in futures contracts | 2006-02-22 | 2007-04-26 |