| SINO-RICH SECURITIES & FUTURES LIMITED | Rep | Advising on futures contracts | 2024-04-18 | - |
| Rep | Asset management | 2024-04-18 | - |
| Rep | Advising on securities | 2021-01-04 | - |
| Calibration Partners (Hong Kong) Limited | Rep | Advising on securities | 2020-12-10 | 2020-12-17 |
| Artephius Partners Limited | RO | Asset management | 2013-10-25 | 2019-05-10 |
| HSBC SECURITIES BROKERS (ASIA) LIMITED | Rep | Dealing in securities | 2008-01-18 | 2011-01-25 |
| Merrill Lynch Far East Limited | Rep | Dealing in securities | 2007-02-16 | 2007-07-31 |
| MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2007-02-16 | 2007-07-31 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Dealing in securities | 2006-04-11 | 2007-07-31 |
| UBS SECURITIES ASIA LIMITED | Rep | Dealing in futures contracts | 2003-06-11 | 2006-03-04 |
| Rep | Advising on corporate finance | 2003-04-01 | 2003-05-12 |
| Rep | Advising on securities | 2003-04-01 | 2003-05-12 |
| Rep | Asset management | 2003-04-01 | 2003-05-12 |
| Rep | Dealing in securities | 2003-04-01 | 2006-03-04 |