| Carret Private Capital Limited | Rep | Asset management | 2020-09-04 | - |
| Newedge Broker Hong Kong Limited | RO | Dealing in futures contracts | 2011-11-15 | 2014-06-21 |
| SG Asset Finance (Hong Kong) Limited | RO | Dealing in futures contracts | 2011-11-15 | 2014-06-21 |
| RO | Dealing in securities | 2011-11-15 | 2014-06-21 |
| Merrill Lynch Far East Limited | Rep | Dealing in futures contracts | 2010-08-26 | 2011-04-18 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Dealing in securities | 2006-09-15 | 2011-04-18 |
| Merrill Lynch Far East Limited | Rep | Dealing in securities | 2006-09-15 | 2011-04-18 |
| MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2006-09-15 | 2010-08-26 |