| Credit Suisse (Hong Kong) Limited | RO | Advising on futures contracts | 2013-07-23 | 2019-01-15 |
| RO | Advising on securities | 2013-07-23 | 2019-01-15 |
| RO | Dealing in futures contracts | 2013-07-23 | 2019-01-15 |
| RO | Dealing in securities | 2013-07-23 | 2019-01-15 |
| Credit Suisse Securities (Hong Kong) Limited | RO | Advising on securities | 2013-07-23 | 2019-01-15 |
| RO | Dealing in securities | 2013-07-23 | 2019-01-15 |
| Credit Suisse (Hong Kong) Limited | Rep | Dealing in futures contracts | 2009-06-09 | 2013-07-23 |
| Rep | Dealing in securities | 2009-06-09 | 2013-07-23 |
| Rep | Providing automated trading services | 2009-06-09 | 2013-11-01 |
| UBS DERIVATIVES HONG KONG LIMITED | Rep | Dealing in futures contracts | 2004-04-15 | 2009-04-22 |
| UBS SECURITIES ASIA LIMITED | Rep | Dealing in futures contracts | 2004-04-15 | 2009-04-22 |
| Rep | Dealing in securities | 2004-04-15 | 2009-04-22 |
| UBS SECURITIES HONG KONG LIMITED | Rep | Dealing in securities | 2004-04-15 | 2009-04-22 |