| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2009-03-23 | 2019-09-13 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2009-03-23 | 2019-09-13 |
| CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | Dealing in securities | 2009-01-15 | 2009-03-21 |
| CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2009-01-15 | 2009-03-21 |
| CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2009-01-15 | 2009-03-21 |
| CITIC Securities Brokerage (HK) Limited | Rep | Dealing in securities | 2005-03-29 | 2009-01-09 |
| CITIC Securities Futures (HK) Limited | Rep | Dealing in futures contracts | 2005-03-29 | 2009-01-09 |
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | Advising on futures contracts | - | 2004-07-20 |
| Rep | Asset management | - | 2004-07-20 |
| Rep | Dealing in futures contracts | - | 2005-03-29 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | Providing automated trading services | - | 2003-09-11 |
| Rep | Advising on corporate finance | - | 2004-07-20 |
| Rep | Advising on securities | - | 2004-07-20 |
| Rep | Asset management | - | 2004-07-20 |
| Rep | Dealing in securities | - | 2005-03-29 |