| CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED | RO | Advising on futures contracts | 2017-12-20 | 2020-03-14 |
| RO | Dealing in futures contracts | 2017-12-20 | 2020-03-14 |
| CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED | Rep | Advising on securities | 2015-04-10 | 2020-03-14 |
| CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED | Rep | Dealing in futures contracts | 2015-02-16 | 2017-12-20 |
| CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED | Rep | Leveraged foreign exchange trading | 2015-02-16 | 2016-05-23 |
| Rep | Dealing in securities | 2015-02-16 | 2020-03-14 |
| UOB KAY HIAN (HONG KONG) LIMITED | Rep | Dealing in securities | 2014-01-02 | 2015-01-09 |
| UOB KAY HIAN FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2014-01-02 | 2015-01-09 |
| HSBC BROKING FOREX (ASIA) LIMITED | Rep | Leveraged foreign exchange trading | 2008-07-28 | 2013-12-20 |
| HSBC BROKING FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2008-06-19 | 2013-12-20 |
| HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2008-06-19 | 2013-12-20 |