| FIRST SHANGHAI FUTURES LIMITED | Rep | Dealing in futures contracts | 2013-03-18 | 2018-10-31 |
| FIRST SHANGHAI SECURITIES LIMITED | Rep | Dealing in securities | 2013-03-18 | 2018-10-31 |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Advising on futures contracts | 2012-07-13 | 2012-12-15 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Advising on securities | 2012-07-13 | 2012-12-15 |
| Rep | Leveraged foreign exchange trading | 2012-03-15 | 2012-12-15 |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2011-06-10 | 2012-12-15 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2011-05-26 | 2012-12-15 |
| HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED | Rep | Advising on futures contracts | 2011-03-23 | 2011-06-24 |
| Rep | Advising on securities | 2011-03-23 | 2011-06-24 |
| Rep | Asset management | 2011-03-23 | 2011-06-24 |
| HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED | Rep | Advising on futures contracts | 2011-03-23 | 2011-06-24 |
| Rep | Advising on securities | 2011-03-23 | 2011-06-24 |
| Rep | Asset management | 2011-03-23 | 2011-06-24 |
| HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED | Rep | Advising on securities | 2011-03-23 | 2011-06-24 |
| Rep | Asset management | 2011-03-23 | 2011-06-24 |
| Rep | Dealing in securities | 2011-03-23 | 2011-06-24 |