| UBS SECURITIES ASIA LIMITED | RO | Dealing in futures contracts | 2014-03-27 | 2016-03-15 |
| UBS DERIVATIVES HONG KONG LIMITED | RO | Dealing in futures contracts | 2011-01-11 | 2016-03-15 |
| UBS SECURITIES HONG KONG LIMITED | RO | Dealing in securities | 2011-01-11 | 2016-03-15 |
| Rep | Dealing in securities | 2010-07-27 | 2011-01-11 |
| UBS DERIVATIVES HONG KONG LIMITED | Rep | Dealing in futures contracts | 2010-05-25 | 2011-01-11 |
| UBS SECURITIES ASIA LIMITED | Rep | Dealing in futures contracts | 2010-05-25 | 2014-03-27 |
| Rep | Dealing in securities | 2010-05-25 | 2016-03-15 |
| DEUTSCHE SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2004-02-12 | 2004-04-12 |