| GLOBAL MASTERMIND FUTURES LIMITED | Rep | Dealing in futures contracts | 2019-01-02 | 2019-07-24 |
| GLOBAL MASTERMIND SECURITIES LIMITED | Rep | Dealing in securities | 2019-01-02 | 2019-07-24 |
| EMPEROR FUTURES LIMITED | Rep | Dealing in futures contracts | 2017-05-29 | 2018-10-16 |
| EMPEROR SECURITIES LIMITED (HK) | Rep | Dealing in securities | 2017-05-29 | 2018-10-16 |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Advising on futures contracts | 2012-09-05 | 2013-09-11 |
| Rep | Dealing in futures contracts | 2012-09-05 | 2014-06-06 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Advising on securities | 2012-09-05 | 2013-09-11 |
| Rep | Dealing in securities | 2012-09-05 | 2014-06-06 |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Advising on futures contracts | 2011-05-03 | 2012-03-31 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Advising on securities | 2011-05-03 | 2012-03-31 |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2011-03-30 | 2012-03-31 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2011-03-30 | 2012-03-31 |