| GUOTAI JUNAN FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2016-03-11 | 2016-06-20 |
| Guotai Junan FX Limited | Rep | Leveraged foreign exchange trading | 2016-03-11 | 2016-06-20 |
| GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2016-03-11 | 2016-06-20 |
| Nerico Brothers Limited (HK) | Rep | Leveraged foreign exchange trading | 2012-09-26 | 2014-01-06 |
| Rep | Leveraged foreign exchange trading | 2009-05-05 | 2011-04-26 |
| HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Leveraged foreign exchange trading | 2005-11-29 | 2006-05-02 |
| HONG KONG FOREX INVESTMENT LIMITED | Rep | Leveraged foreign exchange trading | 2004-10-19 | 2005-11-08 |
| SHUN LOONG FOREX COMPANY LIMITED | Rep | Leveraged foreign exchange trading | 2003-12-04 | 2004-09-20 |