| Credit Suisse (Hong Kong) Limited | Rep | Providing automated trading services | 2008-11-06 | 2013-11-01 |
| Rep | Dealing in futures contracts | 2008-11-06 | 2014-02-21 |
| Rep | Dealing in securities | 2007-06-12 | 2014-02-21 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Providing automated trading services | 2007-06-12 | 2008-11-24 |
| Rep | Dealing in futures contracts | 2007-06-12 | 2008-11-24 |
| Credit Suisse Securities (Hong Kong) Limited | Rep | Dealing in securities | 2007-06-12 | 2014-02-21 |
| LEHMAN BROTHERS ASIA LIMITED | Rep | Dealing in futures contracts | 2004-03-19 | 2007-05-14 |
| Rep | Dealing in securities | 2004-03-19 | 2007-05-14 |
| LEHMAN BROTHERS FUTURES ASIA LIMITED | Rep | Dealing in futures contracts | 2004-03-19 | 2007-05-14 |
| LEHMAN BROTHERS SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2004-03-19 | 2007-05-14 |