| J.P. MORGAN BROKING (HONG KONG) LIMITED | RO | Advising on futures contracts | 2013-05-30 | 2013-08-16 |
| RO | Advising on securities | 2013-05-30 | 2013-08-16 |
| RO | Dealing in futures contracts | 2013-05-30 | 2013-08-16 |
| RO | Dealing in securities | 2013-05-30 | 2013-08-16 |
| J.P. MORGAN SECURITIES (FAR EAST) LIMITED | RO | Advising on securities | 2012-10-25 | 2013-08-16 |
| RO | Dealing in securities | 2012-10-25 | 2013-08-16 |
| J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2012-05-14 | 2013-05-30 |
| Rep | Dealing in futures contracts | 2012-05-14 | 2013-05-30 |
| J.P. MORGAN SECURITIES (FAR EAST) LIMITED | Rep | Advising on securities | 2012-05-14 | 2012-10-25 |
| Rep | Dealing in securities | 2012-05-14 | 2012-10-25 |
| J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on securities | 2012-03-05 | 2013-05-30 |
| Rep | Dealing in securities | 2012-03-05 | 2013-05-30 |
| Religare Capital Markets (Hong Kong) Limited | RO | Dealing in securities | 2011-03-24 | 2011-12-01 |
| UBS SECURITIES HONG KONG LIMITED | RO | Dealing in securities | 2009-03-10 | 2010-05-14 |
| Rep | Dealing in securities | 2006-12-14 | 2009-03-10 |
| UBS SECURITIES ASIA LIMITED | Rep | Dealing in futures contracts | 2004-08-04 | 2010-05-14 |
| Rep | Dealing in securities | 2004-08-04 | 2010-05-14 |