| KGI ASIA LIMITED | Rep | Dealing in securities | 2017-10-03 | - |
| Rep | Dealing in securities | 2017-09-05 | 2017-10-02 |
| KGI FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2017-09-05 | - |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Leveraged foreign exchange trading | 2004-04-21 | 2017-08-24 |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Advising on futures contracts | 2003-04-01 | 2003-10-06 |
| Rep | Asset management | 2003-04-01 | 2003-10-06 |
| Rep | Providing automated trading services | 2003-04-01 | 2003-10-06 |
| Rep | Dealing in futures contracts | 2003-04-01 | 2017-08-24 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Advising on corporate finance | 2003-04-01 | 2003-09-29 |
| Rep | Asset management | 2003-04-01 | 2003-09-29 |
| Rep | Providing automated trading services | 2003-04-01 | 2003-09-29 |
| Rep | Advising on securities | 2003-04-01 | 2003-10-06 |
| Rep | Dealing in securities | 2003-04-01 | 2017-08-24 |