| UBS SECURITIES HONG KONG LIMITED | Rep | Dealing in futures contracts | 2018-05-07 | - |
| RO | Providing automated trading services | 2016-12-19 | - |
| RO | Dealing in securities | 2016-12-19 | - |
| UBS SECURITIES ASIA LIMITED | RO | Dealing in securities | 2015-08-07 | - |
| UBS SECURITIES HONG KONG LIMITED | RO | Providing automated trading services | 2015-08-07 | 2016-12-18 |
| RO | Dealing in securities | 2015-08-07 | 2016-12-18 |
| Rep | Providing automated trading services | 2011-10-13 | 2015-08-07 |
| UBS SECURITIES ASIA LIMITED | Rep | Dealing in futures contracts | 2007-06-20 | - |
| Rep | Dealing in securities | 2007-06-20 | 2015-08-07 |
| UBS SECURITIES HONG KONG LIMITED | Rep | Dealing in securities | 2007-06-20 | 2015-08-07 |
| Morgan Stanley Asia Limited | Rep | Providing automated trading services | 2006-04-20 | 2007-05-09 |
| Rep | Dealing in securities | 2006-04-20 | 2007-05-09 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Providing automated trading services | 2006-04-20 | 2007-05-09 |
| Rep | Dealing in futures contracts | 2006-04-20 | 2007-05-09 |