| PHILLIP COMMODITIES (HK) LIMITED | Rep | Dealing in futures contracts | 2018-10-29 | - |
| Rep | Leveraged foreign exchange trading | 2018-10-10 | - |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Advising on securities | 2018-10-10 | - |
| Rep | Dealing in securities | 2018-10-10 | - |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2018-04-23 | 2018-08-10 |
| iBest Investment Services Limited | Rep | Leveraged foreign exchange trading | 2017-03-09 | 2018-08-10 |
| iBest Consultants Limited | Rep | Dealing in futures contracts | 2016-12-21 | 2017-07-06 |
| Rep | Advising on securities | 2016-12-21 | 2018-08-10 |
| Rep | Asset management | 2016-12-21 | 2018-08-10 |
| Rep | Dealing in securities | 2016-12-21 | 2018-08-10 |
| PHILLIP COMMODITIES (HK) LIMITED | RO | Advising on futures contracts | 2006-09-29 | 2011-07-01 |
| RO | Dealing in futures contracts | 2006-09-29 | 2011-07-01 |
| RO | Leveraged foreign exchange trading | 2006-09-29 | 2011-07-01 |
| Rep | Leveraged foreign exchange trading | 2006-06-20 | 2006-09-29 |
| Rep | Providing automated trading services | 2003-04-01 | 2003-08-15 |
| Rep | Asset management | 2003-04-01 | 2003-12-09 |
| Rep | Advising on futures contracts | 2003-04-01 | 2006-09-29 |
| Rep | Dealing in futures contracts | 2003-04-01 | 2006-09-29 |
| PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2003-04-01 | 2005-03-29 |
| Rep | Asset management | 2003-04-01 | 2005-03-29 |
| Rep | Advising on securities | 2003-04-01 | 2011-07-01 |
| Rep | Dealing in securities | 2003-04-01 | 2011-07-01 |