| UBS SECURITIES ASIA LIMITED | Rep | Dealing in futures contracts | 2010-10-15 | 2013-11-16 |
| Rep | Dealing in securities | 2010-10-15 | 2013-11-16 |
| UBS SECURITIES HONG KONG LIMITED | Rep | Dealing in securities | 2010-03-18 | 2013-11-16 |
| UBS DERIVATIVES HONG KONG LIMITED | Rep | Dealing in futures contracts | 2009-09-15 | 2013-11-16 |
| RO | Dealing in futures contracts | 2009-03-24 | 2009-09-15 |
| Rep | Dealing in futures contracts | 2005-05-20 | 2009-03-24 |
| RO | Dealing in futures contracts | - | 2005-05-20 |
| UBS SECURITIES ASIA LIMITED | RO | Dealing in futures contracts | - | 2010-10-15 |
| RO | Dealing in securities | - | 2010-10-15 |
| UBS SECURITIES HONG KONG LIMITED | RO | Dealing in securities | - | 2010-03-18 |