| NIVALIS PARTNERS LIMITED | Rep | Dealing in securities | 2016-12-19 | 2020-06-15 |
| Rep | Advising on securities | 2016-11-18 | 2020-06-15 |
| Rep | Asset management | 2016-11-18 | 2020-06-15 |
| All-Stars Investment Limited | Rep | Advising on securities | 2016-08-11 | 2016-11-17 |
| Rep | Asset management | 2016-08-11 | 2016-11-17 |
| Fountainhead Partners Company Limited | RO | Advising on securities | 2015-10-12 | 2016-02-15 |
| RO | Asset management | 2015-10-12 | 2016-02-15 |
| RO | Dealing in securities | 2015-10-12 | 2016-02-15 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Dealing in futures contracts | 2010-12-06 | 2011-06-07 |
| Morgan Stanley Asia Limited | Rep | Asset management | 2010-05-20 | 2011-06-07 |
| Rep | Advising on corporate finance | - | 2004-02-11 |
| Rep | Advising on securities | - | 2004-02-11 |
| Rep | Providing automated trading services | - | 2004-02-11 |
| Rep | Dealing in securities | - | 2011-06-07 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Providing automated trading services | - | 2004-02-11 |
| Rep | Dealing in futures contracts | - | 2010-12-06 |