| United Advanced International Capital Limited | RO | Advising on securities | 2026-01-29 | - |
| RO | Asset management | 2026-01-29 | - |
| Annum Asset Management (Hong Kong) Limited | RO | Dealing in securities | 2021-07-20 | 2026-01-16 |
| RO | Advising on futures contracts | 2019-08-23 | 2026-01-16 |
| RO | Advising on securities | 2019-08-23 | 2026-01-16 |
| RO | Asset management | 2019-08-23 | 2026-01-16 |
| Rep | Advising on futures contracts | 2019-07-24 | 2019-08-23 |
| Rep | Advising on securities | 2019-07-24 | 2019-08-23 |
| Rep | Asset management | 2019-07-24 | 2019-08-23 |
| SINO-RICH SECURITIES & FUTURES LIMITED | RO | Advising on futures contracts | 2019-05-22 | 2019-07-02 |
| RO | Advising on securities | 2019-05-22 | 2019-07-02 |
| RO | Asset management | 2019-05-22 | 2019-07-02 |
| RO | Dealing in futures contracts | 2019-05-22 | 2019-07-02 |
| RO | Dealing in securities | 2019-05-22 | 2019-07-02 |
| Rep | Advising on futures contracts | 2019-03-04 | 2019-05-22 |
| Rep | Advising on securities | 2019-03-04 | 2019-05-22 |
| Rep | Asset management | 2019-03-04 | 2019-05-22 |
| Rep | Dealing in futures contracts | 2019-03-04 | 2019-05-22 |
| Rep | Dealing in securities | 2019-03-04 | 2019-05-22 |
| China Galaxy International Futures (Hong Kong) Co., Limited | Rep | Dealing in futures contracts | 2015-12-28 | 2019-01-24 |
| China Galaxy International Securities (Hong Kong) Co., Limited | Rep | Dealing in securities | 2015-12-28 | 2019-01-24 |
| BOCOM International Securities Limited | Rep | Dealing in futures contracts | 2010-02-10 | 2010-06-07 |
| Rep | Dealing in securities | 2010-02-10 | 2010-06-07 |
| HSBC BROKING FOREX (ASIA) LIMITED | Rep | Leveraged foreign exchange trading | 2007-05-31 | 2008-07-23 |
| HSBC BROKING FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2007-04-10 | 2008-07-23 |
| HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2007-04-10 | 2008-07-23 |
| ICEA SECURITIES ASIA LIMITED | Rep | Advising on securities | 2006-09-01 | 2007-03-01 |