| Manford Financial Limited | RO | Advising on futures contracts | 2022-02-09 | - |
| RO | Advising on securities | 2022-02-09 | - |
| RO | Asset management | 2022-02-09 | - |
| RO | Dealing in futures contracts | 2022-02-09 | - |
| RO | Dealing in securities | 2022-02-09 | - |
| XHK Limited | RO | Dealing in futures contracts | 2019-07-09 | 2021-11-30 |
| RO | Dealing in securities | 2019-07-09 | 2021-11-30 |
| Eddid Securities and Futures Limited | RO | Advising on futures contracts | 2018-03-02 | 2019-06-27 |
| RO | Dealing in futures contracts | 2018-03-02 | 2019-06-27 |
| RO | Advising on securities | 2017-10-27 | 2019-06-27 |
| RO | Dealing in securities | 2017-10-27 | 2019-06-27 |
| Rep | Advising on securities | 2017-08-28 | 2017-10-27 |
| Rep | Dealing in securities | 2017-08-28 | 2017-10-27 |
| China Jianxin Financial Services Limited | RO | Advising on securities | 2012-11-20 | 2017-03-31 |
| RO | Dealing in securities | 2012-11-20 | 2017-03-31 |
| Realord Asia Pacific Securities Limited | RO | Dealing in securities | 2011-08-15 | 2012-10-31 |
| Rep | Dealing in securities | 2011-08-10 | 2011-08-15 |
| CHINAWIDE SECURITIES LIMITED | RO | Dealing in securities | 2010-11-09 | 2011-07-30 |
| SOUTH CHINA COMMODITIES LIMITED | Rep | Dealing in futures contracts | 2009-12-16 | 2010-11-02 |
| SOUTH CHINA SECURITIES LIMITED | Rep | Dealing in securities | 2009-11-17 | 2010-11-02 |
| XinKong International Securities Limited | Rep | Dealing in securities | 2009-08-13 | 2009-09-03 |
| FULBRIGHT FUTURES LIMITED | RO | Dealing in futures contracts | 2009-01-13 | 2009-05-05 |
| FULBRIGHT SECURITIES LIMITED | Rep | Dealing in securities | 2008-09-25 | 2009-05-05 |
| PRESIDENT SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2008-03-03 | 2008-09-08 |
| HGNH International Futures Co., Limited | RO | Dealing in futures contracts | 2007-06-26 | 2007-12-31 |
| BOCI COMMODITIES & FUTURES LIMITED | Rep | Dealing in futures contracts | 2004-03-31 | 2005-09-01 |
| BOCI SECURITIES LIMITED | Rep | Dealing in securities | 2004-03-31 | 2005-09-01 |
| SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2003-11-25 | 2004-03-19 |
| SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2003-11-25 | 2004-03-19 |
| HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2003-07-09 | 2003-11-17 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Advising on corporate finance | 2003-04-01 | 2003-06-03 |
| Rep | Advising on securities | 2003-04-01 | 2003-06-03 |
| Rep | Asset management | 2003-04-01 | 2003-06-03 |
| Rep | Providing automated trading services | 2003-04-01 | 2003-06-03 |
| Rep | Dealing in securities | 2003-04-01 | 2003-11-17 |