| CCTIC International Limited | RO | Advising on securities | 2016-09-28 | - |
| RO | Asset management | 2016-08-02 | - |
| UBS SDIC Asset Management (Hong Kong) Company Limited | RO | Advising on securities | 2014-04-14 | 2015-07-17 |
| RO | Asset management | 2014-04-14 | 2015-07-17 |
| Rep | Advising on securities | 2014-01-27 | 2014-04-14 |
| Rep | Asset management | 2014-01-27 | 2014-04-14 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Advising on futures contracts | 2006-01-17 | 2007-02-28 |
| Rep | Advising on securities | 2006-01-17 | 2007-02-28 |
| Rep | Asset management | 2006-01-17 | 2007-02-28 |
| HSBC INVESTMENT FUNDS (HONG KONG) LIMITED | Rep | Dealing in securities | 2006-01-17 | 2007-02-28 |
| Legg Mason Asset Management Hong Kong Limited | Rep | Dealing in securities | 2005-12-01 | 2005-12-21 |
| Rep | Advising on corporate finance | 2003-04-01 | 2004-08-09 |
| Rep | Advising on futures contracts | 2003-04-01 | 2005-12-21 |
| Rep | Advising on securities | 2003-04-01 | 2005-12-21 |
| Rep | Asset management | 2003-04-01 | 2005-12-21 |
| LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS) | Rep | Advising on corporate finance | 2003-04-01 | 2004-08-09 |
| Rep | Advising on futures contracts | 2003-04-01 | 2005-12-21 |
| Rep | Advising on securities | 2003-04-01 | 2005-12-21 |
| Rep | Asset management | 2003-04-01 | 2005-12-21 |
| Rep | Dealing in securities | 2003-04-01 | 2005-12-21 |