| SDIC SECURITIES FUTURES (HONG KONG) LIMITED | RO | Advising on futures contracts | 2012-08-13 | 2024-10-31 |
| SDIC Securities International Financial Holdings Limited | RO | Dealing in securities | 2012-08-13 | 2014-09-15 |
| SDIC SECURITIES (HONG KONG) LIMITED | RO | Dealing in securities | 2011-11-25 | 2024-10-31 |
| SDIC SECURITIES FUTURES (HONG KONG) LIMITED | RO | Dealing in futures contracts | 2011-11-25 | 2024-10-31 |
| CAPITAL GLOBAL MANAGEMENT LIMITED | RO | Advising on securities | 2010-08-13 | 2011-08-19 |
| RO | Dealing in securities | 2010-08-13 | 2011-08-19 |
| RO | Advising on securities | 2008-10-10 | 2010-05-20 |
| RO | Dealing in securities | 2008-10-10 | 2010-05-20 |
| RO | Advising on securities | 2006-06-21 | 2007-05-21 |
| RO | Dealing in securities | 2006-06-21 | 2007-05-21 |
| Rep | Dealing in securities | 2006-06-01 | 2006-06-21 |
| CSC FUTURES (HK) LIMITED | RO | Dealing in futures contracts | 2003-12-29 | 2006-05-04 |
| CSC SECURITIES (HK) LIMITED | RO | Dealing in futures contracts | 2003-12-29 | 2006-05-04 |
| CSC FUTURES (HK) LIMITED | Rep | Advising on futures contracts | - | 2003-10-30 |
| Rep | Asset management | - | 2003-10-30 |
| Rep | Dealing in futures contracts | - | 2003-12-29 |
| CSC SECURITIES (HK) LIMITED | Rep | Advising on corporate finance | - | 2003-10-30 |
| Rep | Advising on securities | - | 2003-10-30 |
| Rep | Asset management | - | 2003-10-30 |
| Rep | Providing automated trading services | - | 2003-10-30 |
| Rep | Dealing in securities | - | 2006-05-04 |