| SINOPAC SECURITIES (ASIA) LIMITED | RO | Advising on futures contracts | 2018-07-17 | 2021-12-31 |
| RO | Advising on securities | 2018-07-17 | 2021-12-31 |
| RO | Asset management | 2017-02-13 | 2021-12-31 |
| RO | Dealing in futures contracts | 2017-02-13 | 2021-12-31 |
| RO | Dealing in securities | 2017-02-13 | 2021-12-31 |
| Tung Shing Futures (Brokers) Limited | RO | Dealing in futures contracts | 2016-09-26 | 2017-02-12 |
| Tung Shing Securities (Brokers) Limited | RO | Dealing in securities | 2016-09-26 | 2017-02-12 |
| SINOPAC SECURITIES (ASIA) LIMITED | RO | Asset management | 2014-09-30 | 2017-02-12 |
| RO | Dealing in futures contracts | 2013-10-11 | 2017-02-12 |
| Rep | Dealing in futures contracts | 2013-05-28 | 2013-10-11 |
| SINOPAC FUTURES (ASIA) LIMITED | RO | Dealing in futures contracts | 2012-01-10 | 2014-03-31 |
| SINOPAC SECURITIES (ASIA) LIMITED | RO | Dealing in securities | 2011-10-31 | 2017-02-12 |
| Rep | Dealing in securities | 2011-08-17 | 2011-10-31 |
| Waterland Securities (HK) Company Limited | RO | Advising on securities | 2010-07-21 | 2011-08-05 |
| RO | Dealing in securities | 2010-07-21 | 2011-08-05 |
| Rep | Advising on securities | 2010-05-28 | 2010-07-21 |
| Rep | Dealing in securities | 2010-05-28 | 2010-07-21 |
| TIS SECURITIES (HK) LIMITED | RO | Dealing in futures contracts | 2005-01-21 | 2010-05-10 |
| RO | Asset management | - | 2005-01-20 |
| RO | Providing automated trading services | - | 2005-01-20 |
| RO | Advising on corporate finance | - | 2010-05-10 |
| RO | Advising on securities | - | 2010-05-10 |
| RO | Dealing in securities | - | 2010-05-10 |