| SDIC SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2012-07-09 | 2013-02-23 |
| SDIC SECURITIES FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2012-07-09 | 2013-02-23 |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2010-04-15 | 2012-06-28 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2010-04-15 | 2012-06-28 |
| HAI TONG SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in futures contracts | 2010-03-08 | 2011-05-03 |
| Rep | Dealing in securities | 2010-03-08 | 2011-05-03 |
| OKASAN INTERNATIONAL (ASIA) LIMITED | Rep | Dealing in futures contracts | 2009-03-17 | 2009-12-31 |
| Rep | Dealing in securities | 2009-03-17 | 2009-12-31 |
| CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | Dealing in securities | 2007-08-17 | 2009-02-28 |
| CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2007-08-17 | 2009-02-28 |
| CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2007-08-17 | 2009-02-28 |