| SG SECURITIES (HK) LIMITED | RO | Providing automated trading services | 2016-07-20 | 2017-05-31 |
| RO | Dealing in futures contracts | 2016-07-20 | 2017-05-31 |
| RO | Dealing in securities | 2016-07-20 | 2017-05-31 |
| Rep | Providing automated trading services | 2014-11-25 | 2016-07-20 |
| Rep | Dealing in futures contracts | 2014-11-25 | 2016-07-20 |
| Rep | Dealing in securities | 2014-11-25 | 2016-07-20 |
| Citigroup Global Markets Asia Limited | Rep | Dealing in futures contracts | 2013-06-03 | 2014-01-06 |
| Rep | Dealing in securities | 2010-11-22 | 2014-01-06 |
| CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Dealing in futures contracts | 2010-11-22 | 2013-08-31 |
| Rep | Dealing in securities | 2010-11-22 | 2013-08-31 |
| Macquarie Asia Securities Limited | RO | Dealing in futures contracts | 2009-03-03 | 2010-09-21 |
| Rep | Dealing in futures contracts | 2008-10-08 | 2009-03-03 |
| MACQUARIE CAPITAL LIMITED | Rep | Dealing in securities | 2008-10-08 | 2010-09-21 |
| DEUTSCHE SECURITIES ASIA LIMITED | Rep | Dealing in futures contracts | 2005-03-17 | 2008-07-11 |
| Rep | Dealing in securities | 2005-02-24 | 2008-07-11 |