| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2011-12-13 | 2015-01-01 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2011-12-13 | 2015-01-01 |
| KGI ASIA LIMITED | Rep | Dealing in securities | 2009-04-27 | 2011-12-05 |
| KGI FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2009-04-27 | 2011-12-05 |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2009-01-30 | 2009-04-18 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2009-01-30 | 2009-04-18 |
| Rep | Leveraged foreign exchange trading | 2009-01-30 | 2009-04-18 |
| Rep | Leveraged foreign exchange trading | 2005-08-31 | 2006-04-05 |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2004-06-25 | 2006-04-05 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2004-06-25 | 2006-04-05 |
| SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in securities | 2003-11-17 | 2004-06-04 |
| SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | Dealing in futures contracts | 2003-11-17 | 2004-06-04 |
| KGI ASIA LIMITED | Rep | Advising on corporate finance | - | 2003-11-06 |
| Rep | Advising on securities | - | 2003-11-06 |
| Rep | Asset management | - | 2003-11-06 |
| Rep | Dealing in securities | - | 2003-11-12 |
| KGI FUTURES (HONG KONG) LIMITED | Rep | Advising on futures contracts | - | 2003-11-06 |
| Rep | Asset management | - | 2003-11-06 |
| Rep | Dealing in futures contracts | - | 2003-11-12 |