| BARCLAYS CAPITAL ASIA LIMITED | RO | Dealing in futures contracts | 2019-01-09 | 2022-05-13 |
| RO | Dealing in securities | 2019-01-09 | 2022-05-13 |
| Rep | Dealing in futures contracts | 2018-05-08 | 2019-01-09 |
| Rep | Dealing in securities | 2018-05-08 | 2019-01-09 |
| Credit Suisse (Hong Kong) Limited | RO | Advising on futures contracts | 2013-11-27 | 2017-03-25 |
| Credit Suisse Securities (Hong Kong) Limited | RO | Dealing in securities | 2012-02-27 | 2017-03-25 |
| Credit Suisse (Hong Kong) Limited | RO | Providing automated trading services | 2011-06-23 | 2013-11-01 |
| RO | Dealing in futures contracts | 2011-06-23 | 2017-03-25 |
| RO | Dealing in securities | 2009-11-30 | 2017-03-25 |
| Rep | Dealing in securities | 2009-07-24 | 2009-11-30 |
| Rep | Providing automated trading services | 2009-07-24 | 2011-06-23 |
| Rep | Dealing in futures contracts | 2009-07-24 | 2011-06-23 |
| UBS SECURITIES ASIA LIMITED | RO | Dealing in securities | 2005-04-27 | 2007-03-06 |
| Rep | Advising on corporate finance | - | 2005-02-04 |
| Rep | Asset management | - | 2005-02-04 |
| Rep | Advising on securities | - | 2005-03-24 |
| Rep | Dealing in securities | - | 2005-04-27 |